WMS ADVISORS, LLC
CRD #122224 SEC #801-109946 CHARLOTTE, NC 301-294-7804
SEC Registered
Total AUM
$221.4M
Discretionary
$125.7M
Employees
5
Clients
26
Accounts
372
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- North Carolina
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 2, 2025
- Branch Offices
- 2
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER & IAR | NA | Control |
| SAKALA, CASSANDRA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAKALA, CASSANDRA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAKALA, CASSANDRA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAKALA, CASSANDRA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAKALA, CASSANDRA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAKALA, CASSANDRA, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| Williams, David, Robert | I | IAR | NA | Control |
| Williams, David, Robert | I | IAR | NA | Control |
| Williams, David, Robert | I | IAR | NA | Control |
| Williams, David, Robert | I | IAR | NA | Control |
| Williams, David, Robert | I | IAR | NA | Control |
| Williams, David, Robert | I | IAR | NA | Control |
| Williams, David, Robert | I | IAR | NA | Control |
| Williams, David, Robert | I | IAR | NA | Control |
| WILLIAMS, DAVID, ROBERT | I | OWNER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | OWNER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | OWNER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | OWNER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | OWNER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | OWNER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING MEMBER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | OWNER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING MEMBER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING MEMBER | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING PRINCIPAL | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING PRINCIPAL | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING PRINCIPAL | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING PRINCIPAL | E | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING PRINCIPAL | E | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | D | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TGM CAPITAL, LLC | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| TWG-ADVISOR GRP, INC. | DE | MEMBER | D | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING PRINCIPAL | D | Control |
| WILLIAMS, DAVID, ROBERT | I | MANAGING PRINCIPAL | D | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | B | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | B | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | B | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | B | Control |
| MACLENNAN, THOMAS, GAINES | I | CHIEF COMPLIANCE OFFICER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MACLENNAN, THOMAS, GAINES | I | TGM CAPITAL, LLC | E | Control |
| MACLENNAN, THOMAS, GAINES | I | TGM CAPITAL, LLC | E | Control |
| MACLENNAN, THOMAS, GAINES | I | TGM CAPITAL, LLC | E | Control |
| MACLENNAN, THOMAS, GAINES | I | TGM CAPITAL, LLC | E | Control |
| MACLENNAN, THOMAS, GAINES | I | TGM CAPITAL, LLC | E | Control |
| MACLENNAN, THOMAS, GAINES | I | TGM CAPITAL, LLC | E | Control |
| Williams, David, Robert | I | TWG-ADVISOR GRP, INC. | E | Control |
| Williams, David, Robert | I | TWG-ADVISOR GRP, INC. | E | Control |
| Williams, David, Robert | I | TWG-ADVISOR GRP, INC. | E | Control |
| Williams, David, Robert | I | TWG-ADVISOR GRP, INC. | E | Control |
| Williams, David, Robert | I | TWG-ADVISOR GRP, INC. | E | Control |
| Williams, David, Robert | I | TWG-ADVISOR GRP, INC. | E | Control |
Registrations
Federal
IA
Oct 2, 2025 REGISTERED
Notice Filings (7)
DC FL MD NC SC TX VA
Address
6135 PARK SOUTH DRIVESUITE 510
CHARLOTTE, NC 28210
United States
Phone: 301-294-7804