Data / Investment advisers / North Carolina / WMS Advisors, LLC
WMS Advisors, LLC, Charlotte, NC: $281 million AUM, SEC registered investment adviser
WMS Advisors, LLC is an SEC registered investment adviser with its main office in Charlotte, North Carolina and reports $281 million in regulatory assets under management in its Form ADV filed July 22, 2026. Its clients include high net worth individuals, individuals and charitable organizations. It is paid through a percentage of assets under management and hourly charges.
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- Registration
- SEC registered investment adviser
- CRD number
- 122224
- SEC file number
- 801-109946
- SEC status
- Approved, effective February 7, 2017
- Main office
- 6135 Park South Drive Suite 510, Charlotte, NC 28210
- Phone
- (301) 294-7804
- Regulatory AUM
- $280,924,601 in the Form ADV filed July 22, 2026
- Discretionary AUM
- $249,239,876
- Non discretionary AUM
- $31,684,725
- Accounts
- 411
- Employees
- 7, of which 6 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges
- Other offices
- 3
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- July 22, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 55 | $248.9 million |
| Individuals (other than high net worth individuals) | 76 | $27.9 million |
| Charitable organizations | Fewer than 5 | $3.4 million |
| Pension and profit sharing plans | Fewer than 5 | $687,717 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $280.9 million | February 26, 2026 |
| December 1, 2025 | $221.4 million | October 2, 2025 |
Other advisers in Charlotte
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Insight Folios | Charlotte | $331.3 million | Not listed | adviserinfo.sec.gov |
| WSC & Company, LLC | Charlotte | $320.4 million | 4 | adviserinfo.sec.gov |
| Gibert Wealth Management | Charlotte | $316 million | Not listed | adviserinfo.sec.gov |
| Sparta Wealth Partners | Charlotte | $315.8 million | Not listed | adviserinfo.sec.gov |
| Lyon Wealth Advisors | Charlotte | $311.4 million | Not listed | adviserinfo.sec.gov |
| Worth Advisors | Charlotte | $280.7 million | Not listed | adviserinfo.sec.gov |
| Milestone Investments, Inc. | Charlotte | $277.3 million | Not listed | adviserinfo.sec.gov |
| Muirfield Wealth Advisors LLC | Charlotte | $255.8 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Charlotte, NC
- Investment advisers in North Carolina
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- WMS Advisors, LLC on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.