DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Wms Advisors, LLC
Latest filing Jul 22, 2026
First filing on the tape Jan 27, 2017 · 21 filings
SEC status approved since Feb 7, 2017
RAUM
$281M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
99%
$277M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$46.8M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$281M as of Jul 22, 2026
Mar 10, 2017$111M then
HNW client RAUM$249M as of Jul 22, 2026
Mar 8, 2018$109M then
State-registered IARs (5.B.3)6 as of Jul 22, 2026
Mar 10, 20171 then
Employees (5.A)7 as of Jul 22, 2026
Mar 10, 20173 then
Private funds: no history
RAUM +27% over the last fiscal year+19% a year over threeIARs 5 to 6offices 2 to 3
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $46.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $683,515derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $107M, 36 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$249M89%
- Individuals$27.9M9.9%
- Charitable organizations$3.4M1.2%
- Pension and profit-sharing plans$687,7170.2%
- Individual clients
- 76reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 411reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $107M for 36 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Robert WilliamsCertified Financial Planner | Charlotte, Nc | Apr 11, 2006 | 32 y | 3 |
| Thomas Gaines MaclennanCertified Financial Planner | Charlotte, Nc | Nov 28, 2012 | 15 y | 0 |
| Henry Sterling Meadows | Rockville, Md | Nov 21, 2016 | 34 y | 2 |
| Alexander SchutzChartered Financial Consultant | Bethesda, Md | Jan 30, 2022 | 19 y | 2 |
| Timothy Taylor PaschallCertified Financial Planner | Gastonia, Nc | Jan 30, 2022 | 34 y | 1 |
| Thomas C Moss | Charlotte, Nc | Jul 13, 2026 | 43 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Joseph Mccarthy to Edelman Financial Services, LLCOct 13, 2016 · Other
Joined, latest
- Thomas C Moss from Ameriprise Financial Services, LLCJul 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Timothy Taylor Paschall from Concourse Financial Group AdvisorsJan 30, 2022 · Affiliated broker-dealer or bank to independent RIA
- Alexander Schutz from Grove Point Advisors, LLCJan 30, 2022 · Affiliated broker-dealer or bank to independent RIA
- Henry Sterling Meadows from H. Beck, Inc.Nov 21, 2016 · Other
- David Robert Williams from Ifg Advisory Services IncApr 11, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gaines Thomas Maclennan · Chief Compliance Officer & Iarcontrolsince 01/2017 · owns less than 5%
- Robert David Williams · Iarcontrolsince 06/1977 · owns less than 5%
- Gaines Thomas Maclennan · Managing Membercontrolsince 09/2021 · owns 75% or more of Tgm Capital, LLC
- Robert David Williams · Shareholdercontrolsince 01/2022 · owns 75% or more of Twg-Advisor Grp, Inc.
Entity owners
- Tgm Capital, LLC · Memberdirect · owns 50% to 75%
- Twg-Advisor Grp, Inc. · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Simon Krowitz Meadows Bortnick & Associates, Pa, Cpainsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- North Bethesda, MD2 employees
- Gastonia, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 26, 2026discretionary share of RAUM moved from 57.0% to 89.0% between the annual amendments of 2025-03-11 and 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Feb 26, 2026 to Jul 22, 2026
- State-registered IARs · 5 to 6Feb 26, 2026 to Jul 22, 2026
- Accounts · 372 to 411Oct 2, 2025 to Feb 26, 2026
- HNW clients · 43 to 55Oct 2, 2025 to Feb 26, 2026
- Individual clients · 87 to 76Oct 2, 2025 to Feb 26, 2026
- Assets in custody · $105M to $107MOct 2, 2025 to Feb 26, 2026
- Custody of client assets · false to trueOct 2, 2025 to Feb 26, 2026
- Employees · 5 to 7Oct 2, 2025 to Feb 26, 2026
- Other offices · 2 to 3Oct 2, 2025 to Feb 26, 2026
- Discretionary RAUM · $126M to $249MOct 2, 2025 to Feb 26, 2026
- HNW RAUM · $177M to $249MOct 2, 2025 to Feb 26, 2026
- Individual RAUM · $39.6M to $27.9MOct 2, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $95.6M to $31.7MOct 2, 2025 to Feb 26, 2026
- Pension RAUM · $534,076 to $687,717Oct 2, 2025 to Feb 26, 2026
- RAUM · $221M to $281MOct 2, 2025 to Feb 26, 2026
- Accounts · 334 to 372Jun 14, 2024 to Mar 11, 2025
- BD registered reps · 4 to 3Jun 14, 2024 to Mar 11, 2025
- HNW clients · 35 to 43Jun 14, 2024 to Mar 11, 2025
- Individual clients · 70 to 87Jun 14, 2024 to Mar 11, 2025
- Assets in custody · $84.9M to $105MJun 14, 2024 to Mar 11, 2025
- Insurance-licensed employees · 1 to 0Jun 14, 2024 to Mar 11, 2025
- Financial planning clients · 26-50 to 26-50Jun 14, 2024 to Mar 11, 2025
- Discretionary RAUM · $3.7M to $126MJun 14, 2024 to Mar 11, 2025
- HNW RAUM · $163M to $177MJun 14, 2024 to Mar 11, 2025
- Individual RAUM · $29.0M to $39.6MJun 14, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $192M to $95.6MJun 14, 2024 to Mar 11, 2025
- Pension RAUM · $339,238 to $534,076Jun 14, 2024 to Mar 11, 2025
- RAUM · $196M to $221MJun 14, 2024 to Mar 11, 2025
- Accounts · 276 to 334Jan 3, 2024 to Feb 5, 2024
- HNW clients · 36 to 35Jan 3, 2024 to Feb 5, 2024
- Individual clients · 75 to 70Jan 3, 2024 to Feb 5, 2024
- Assets in custody · unset to 84930603.0Jan 3, 2024 to Feb 5, 2024
- HQ city · ROCKVILLE to CHARLOTTEJan 3, 2024 to Feb 5, 2024
- HQ state · MD to NCJan 3, 2024 to Feb 5, 2024
- Discretionary RAUM · $2.6M to $3.7MJan 3, 2024 to Feb 5, 2024
- HNW RAUM · $138M to $163MJan 3, 2024 to Feb 5, 2024
- Individual RAUM · $26.7M to $29.0MJan 3, 2024 to Feb 5, 2024
- Non-discretionary RAUM · $165M to $192MJan 3, 2024 to Feb 5, 2024
- Pension RAUM · $372,415 to $339,238Jan 3, 2024 to Feb 5, 2024
- RAUM · $168M to $196MJan 3, 2024 to Feb 5, 2024
Signals
2 dated events
- Wms Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 3, 2024 · Succession (Item 4) · fact
- Wms Advisors, Llc filed its initial SEC registration (Form ADV)Jan 27, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- wa@wmsadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-294-7804reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wms-advisors-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WMSADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 301-294-7804reportedpublic record, Form ADV, Jul 22, 2026
- Contact form
- wmsadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $46.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026