WMS Financial Services

RIAState Registered

Total AUM

$8.6M

Discretionary

$8.6M

100% of AUM

Avg account

$122K

Accounts

Employees

Advisory reps

Firm details

Headquarters: Anaheim, California
CRD number: 291291
Website: www.wmsretirementsolutions.com
Custodians: CHARLES SCHWAB & CO., INC., LINCOLN FINANCIAL DISTRIBUTORS, INC., MASSMUTUAL ASCEND
Fee structure: Percentage of AUM
Client types: Individuals85.28%
HNWI14.72%
Services: Portfolio Management for IndividualsSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

WMS Financial Services is a California-based limited liability company that provides fee-based portfolio management to individual and family clients. The firm is owned by an individual and charges clients a percentage of assets under management. Its advisory work centers on direct portfolio management for individuals and small businesses, selecting third-party advisers for client allocations, and running educational seminars or workshops. WMS describes itself as a capital allocator, using outside managers for portions of client portfolios, and it lists an insurance company among its industry affiliations. The firm does not emphasize ESG investing and appears to operate primarily within California.