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RIA / WealthAdvisor24 years in industry

William M Swayne

Advisor at WMS WEALTH MANAGEMENT LLC

MUKILTEO, WA

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Search this name across graphsid dfx:ria:2734656e-90f7-e2e0-f8e4-0bda5c016787

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WMS WEALTH MANAGEMENT LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 30, 2003
First registration: Jan 31, 2003
Dual registered: no
Other names: BILL MADISON SWAYNE |WILLIAM MADISON SWAYNE|William M Swayne|William Madison Swayne
IAPD individual key: 4616158

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WMS WEALTH MANAGEMENT LLC	State registered	Sep 2, 2022	n/a	yes	MUKILTEO, WA	Current employment
SANDLAPPER WEALTH MANAGEMENT, LLC	Former SEC adviser	Sep 7, 2018	Dec 31, 2020	no	Seattle, WA\|GREENVILLE, SC	Previous registration
EMERSON EQUITY LLC	Bd affiliated wealth	Oct 30, 2017	Sep 13, 2018	no	Seattle, WA\|Plano, TX	Previous registration
SANDLAPPER WEALTH MANAGEMENT, LLC	Former SEC adviser	May 17, 2017	Oct 18, 2017	no	Seattle, WA\|GREENVILLE, SC	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Feb 17, 2012	Apr 21, 2017	no	SAN DIEGO, CA\|SAN DIEGO, CA\|SEATTLE, WA	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Jan 31, 2003	Feb 10, 2012	no	RENTON, WA\|SEATTLE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SANDLAPPER WEALTH MANAGEMENT, LLC	WMS WEALTH MANAGEMENT LLC	Dec 31, 2020	Sep 2, 2022	610	Firm change after gap	RIA to state RIA
EMERSON EQUITY LLC	SANDLAPPER WEALTH MANAGEMENT, LLC	Sep 13, 2018	Sep 7, 2018	-6	Firm change	Other
SANDLAPPER WEALTH MANAGEMENT, LLC	EMERSON EQUITY LLC	Oct 18, 2017	Oct 30, 2017	12	Firm change	Other
INDEPENDENT FINANCIAL GROUP, LLC	SANDLAPPER WEALTH MANAGEMENT, LLC	Apr 21, 2017	May 17, 2017	26	Firm change	Other
PACIFIC WEST FINANCIAL CONSULTANTS INC	INDEPENDENT FINANCIAL GROUP, LLC	Feb 10, 2012	Feb 17, 2012	7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
41534:311372:SC:2020-12-31	Dec 31, 2020	Sep 2, 2022	GREENVILLE, SC	Firm change after gap

Relationships

Registered with (5)

→ WMS WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Sep 2, 2022 to presentfactForm ADV
→ SANDLAPPER WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 7, 2018 to Dec 31, 2020factForm ADV
→ EMERSON EQUITY LLCRegistered adviserregistration: previous registration
Oct 30, 2017 to Sep 13, 2018factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Feb 17, 2012 to Apr 21, 2017factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Jan 31, 2003 to Feb 10, 2012factForm ADV

Dated events

No dated event names this entity yet.