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William Swayne

Wms Wealth Management LLC
23 Years of Experience
6 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

William Swayne is a registered investment advisor at Wms Wealth Management LLC, based in Mukilteo, WA, with 23 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 136 clients with $39M in assets under management.

Wms Wealth Management LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
136 clients
Average Client Portfolio
$287K average
Assets Under Management
$39.0M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $499K1.85%
$499K - $1.0M1.60%
$1.0M - $3.0M1.25%
$3M+1.00%

Fees may be adjusted on a case-by-case basis (i.e., negotiable).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

12189 Greenhaven, Suite 108, Mukilteo, WA, 98275

Get directions

History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
December 2017
Final
Customer Dispute
April 2015
Settled
Customer Dispute
October 2014
Settled
Customer Dispute
November 2013
Award / Judgment
Customer Dispute
January 2011
Award / Judgment
Customer Dispute
October 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William is an investment advisor with WMS Wealth Management since 2020, dedicating about half of his time to service and consulting, handling client accounts, and implementation. He is also an insurance broker with WMS Consultants since 2002, spending minimal time reviewing, analyzing, and preparing clients with insurance policies.

Employment History
Current Registrations
Wms Wealth Management LLC
September 2022 - Present · 3 yrs 7 mos
Previous Registrations
Integrity Brokerage, LLCBroker
March 2021 - February 2024 · 2 yrs 11 mos
Cabot Lodge Securities LLCBroker
June 2019 - February 2021 · 1 yr 8 mos
Sandlapper Securities, LLCBroker
September 2018 - May 2019 · 8 mos
Sandlapper Wealth Management, LLC
September 2018 - December 2020 · 2 yrs 3 mos
Emerson Equity LLC
October 2017 - September 2018 · 11 mos
Emerson Equity LLCBroker
October 2017 - September 2018 · 11 mos
Sandlapper Wealth Management, LLC
May 2017 - October 2017 · 5 mos
Sandlapper Securities, LLCBroker
April 2017 - October 2017 · 6 mos
Independent Financial Group, LLC
February 2012 - April 2017 · 5 yrs 2 mos
Independent Financial Group, LLCBroker
February 2012 - April 2017 · 5 yrs 2 mos
Pacific West Financial Consultants INC
January 2003 - February 2012 · 9 yrs 1 mo
Pacific West Securities, INC.Broker
December 2002 - February 2012 · 9 yrs 2 mos
State Registrations1 state
WA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.