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WMS ADVISORS, LLC

CHARLOTTE, NC · CRD 122224 · IAPD ↗ · 301-294-7804

$280.9MRegulatory AUM
6Advisory reps
7Employees
5Clients
26-50Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
March 2026 — WMS ADVISORS, LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
March 2026 — WMS ADVISORS, LLC reported RAUM up 27% ($221.4M -> $280.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
March 2024 — WMS ADVISORS, LLC moved its main office from ROCKVILLE, MD to CHARLOTTE, NC.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
65
March 2024 — WMS ADVISORS, LLC now reports custody of client assets ($84.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
40
February 2024 — WMS ADVISORS, LLC filed an Item 4A succession naming WMS ADVISORS, LLC (CRD 122224) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.