WMS Wealth Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides investment management, supervisory services and occasional financial planning for individuals, trusts, estates, charitable organizations, pension and profit-sharing plans, and business entities, serving both high-net-worth and non-high-net-worth clients. Advisory services are delivered primarily on an asset‑under‑management basis with financial planning available on an hourly or as‑requested basis.
Investment decisions are made using a mix of active and passive strategies and a range of instruments — including stocks, bonds, mutual funds, ETFs and covered‑call options — informed by charting, fundamental and technical analysis and third‑party research. Portfolios are tailored to client objectives and risk tolerance, managed with full discretionary authority, and reviewed at least semi‑annually; clients may impose investment restrictions that the firm accommodates.
Distinctive operational features include a small, two‑advisor firm managing roughly $46.8 million across about 136 client accounts, exclusive custody relationships with Axos Clearing and CNB Custody (including custody of alternative investments and use of Advisor/I share classes), and a stated practice of not voting proxies on clients’ behalf. The firm’s ADV also discloses past arbitration awards and a bankruptcy involving one principal, which are material supervisory and disciplinary details for prospective clients to consider.
Client services
Expertise
Fee options
$0 - $499,000: 1.85% $499,001 - $1,000,000: 1.60% $1,000,001 - $3,000,000: 1.25% $3,000,001+: 1.00%
$250 per hour for financial planning or advice without asset management
Fee-only: Fee only basis with discretion, no commissions or mark-ups received
Main office
12189 Greenhaven, Suite 108
Mukilteo WA 98275-6062
Advisors at this office
2
Most active in
Idaho · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
William S
Series 66
Mukilteo, WA
WMS Wealth Management LLC
William Swayne is a financial advisor at WMS Wealth Management LLC with 23 years of industry experience. He holds the Series 66 designation and has worked at several firms including Integrity Brokerage, LLC, Cabot Lodge Securities LLC, and Independent Financial Group. He is also involved with WMS Consultants, LLC, where he provides insurance consulting services. WMS Wealth Management LLC offers discretionary investment management and financial planning services to individuals, trusts, estates, charitable organizations, and retirement plans. The firm employs both active and passive investment strategies and conducts regular portfolio reviews, serving clients on a fee-only asset-under-management basis.
Candace S
Series 65
Mukilteo, WA
WMS Wealth Management LLC
Candace Swayne is a financial advisor at WMS Wealth Management LLC with nine years of industry experience. She holds a Series 65 designation and previously worked at SANDLAPPER Wealth Management, LLC and Pacific West Securities, Inc. Outside of her advisory role, Candace supports operations at Chelan Ridge Winery, assisting with wine sales, staff management, and customer service. WMS Wealth Management LLC provides investment management, supervisory services, and occasional financial planning for individuals, trusts, estates, charitable organizations, pension and profit-sharing plans, and business entities. The firm serves both high-net-worth and non-high-net-worth clients, managing portfolios with a combination of active and passive strategies tailored to client objectives and risk tolerance.
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