Iwms LLC

RIASEC Registered
Total AUM
$22.7M
Discretionary
$16.3M
71% of AUM
Avg account
$4.5M
Accounts
5
Employees
1
Advisory reps
1

Firm details

Headquarters
,
CRD number
298758
Custodians
INTERACTIVE BROKERS LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI100%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Iwms LLC is a small, independent registered investment adviser serving individual and family clients, as well as small businesses. The firm provides financial planning and portfolio management and charges a mix of percentage-of-AUM, hourly, and fixed fees. Its public disclosures show a clear investment emphasis on fixed-income instruments—municipal (state and local) bonds are the largest allocation—while the adviser also deploys externally managed alternative exposure to commodities and oil & gas. Governance and operating profile point to a single-owner, single-office practice that manages a concentrated book of business. Iwms LLC is not flagged as an active ESG investor and is not positioned as a multi-state or pension consultant adviser. The mix of discretionary and non‑discretionary mandates indicates the firm acts with delegated authority on a material portion of client assets while retaining advisory relationships that remain client-directed.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: State & Local Bonds 50%, Exchange Traded Equities 24%, Investment Grade Corp Bonds 16%, US Government Bonds 8%, Cash & Cash Equivalents 2%50%
  • State & Local Bonds50%
  • Exchange Traded Equities24%
  • Investment Grade Corp Bonds16%
  • US Government Bonds8%
  • Cash & Cash Equivalents2%

Contacts

1 of 1
  • Tyrone Lin

    Wealth Management AdvisorCRD 7010670

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

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Location

, null

Headquartered in , null.

Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth