Important Disclosures

IMPORTANT DISCLOSURE INFORMATION

WMS Partners, LLC (“WMS”) is an SEC registered investment adviser with its home office in Towson, Maryland, and a branch office in Columbia, Maryland.  WMS may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. WMS’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links.  Accordingly, the publication of WMS’s web site on the Internet should not be construed by any consumer and/or prospective client as WMS’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.  Any subsequent, direct communication by WMS with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.  For information pertaining to the registration status of WMS, please contact the SEC or the state securities regulators for those states in which WMS maintains a notice filing.  A copy of WMS’s current written disclosure statement discussing WMS’s business operations, services, and fees is available from WMS upon written request.  WMS does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to WMS web site or incorporated herein, and takes no responsibility therefore.  All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended or undertaken by WMS), or any non-investment related content, made reference to directly or indirectly in this communication, will be profitable or equal any historical performance level(s), be suitable for your portfolio or individual situation.  Past performance may not be indicative of future results.

Please remember that it remains your responsibility to advise WMS, in writing, if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services, or if you would like to impose, add, or to modify any reasonable restrictions to our investment advisory services.  A copy of our current written disclosure statement discussing our advisory services and fees is available upon request. The scope of the services to be provided depends upon the needs of the client and the terms of the engagement.

Certain portions of WMS’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, WMS (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date.  Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s).  Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from WMS, or from any other investment professional.  WMS is neither a law firm nor a certified public accounting firm, and no portion of the web site content should be interpreted as legal, accounting or tax advice.  To the extent that a reader has any questions regarding the applicability of any specific issue discussed on this website to his/her individual situation, he/she is encouraged to consult with the professional advisor of his/her choosing.

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to WMS’s web site, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from WMS, or from any other investment professional.

The presentation of WMS’s regulatory assets under management is for informational purposes only, and under no circumstance should a reader construe the presentation of this information as an indication WMS’s future performance, or any future performance pertaining to its clients’ investments, nor should the presentation of this figure be construed by a client or prospective client as a guarantee that they will experience a certain level of results if WMS is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of WMS by any of its clients.

Each client and prospective client agrees, as a condition precedent to his/her/its access to WMS’s web site, to release and hold harmless WMS, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from WMS.

AWARDS CRITERIA

Please Note: Limitations: Neither rankings and/or recognition by unaffiliated rating services, publications, or other organizations, nor the achievement of any designation or certification, should be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if WMS Partners, LLC is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of WMS by any of its clients.  Rankings published by magazines, and others, generally base theirs selections exclusively on information prepared and/or submitted by the recognized adviser.  Rankings are generally limited to participating advisers.  ANY QUESTIONS: WMS Partners, LLC’s Chief Compliance Officer remains available to address any questions regarding rankings and/or recognitions, including providing the criteria used for any reflected ranking.

Barron’s Top 40 Independent Advisory Firms—2018

The rankings are based on a survey of more than 100 questions about each participating firm’s practices—from their investment approach, to the number of clients they serve to the size and structure of their staffs. The rankings formula incorporates assets, revenue, and quality of practice, among other criteria. WMS was invited to apply for the award, but paid no fee for consideration.

Financial Advisor Magazine Top Registered Investment Advisor Firms—2018, 2015
The rankings are based on the size of assets under management. There is no application process for these rankings. WMS paid no fee for consideration.

Financial Times Top Registered Investment Advisor Firms—2018, 2015
The Financial Times Top 300 Registered Investment Advisors is an independent listing produced by the Financial Times. FT 300 assesses registered investment advisers (RIAs) on desirable traits for investors. To ensure a list of established companies with substantial expertise, they examine the database of RIAs registered with the US Securities and Exchange Commission and select those that reported to the SEC that they had $300m or more in assets under management (AUM). The FT invited qualifying RIA companies — more than 2,000 — to complete a lengthy application. Some 725 RIA companies applied and 300 made the final list. The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. Areas of consideration include adviser AUM, asset growth, the company’s age, industry certifications of key employees, SEC compliance record and online accessibility. Neither the RIA firms nor their employees pay a fee to The Financial Times for inclusion in the FT 300.

Forbes Top Wealth Advisors—2018, 2017, 2016
The Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria gathered through telephone and in-person due diligence interviews, as well as quantitative data. Those advisors that are considered have a minimum of seven years of experience, and the algorithm weighs factors such as revenue trends, assets under management, compliance records, industry experience and those that encompass best practices in their approach to working with clients. Neither Forbes nor SHOOK receives a fee in exchange for rankings. WMS was invited to apply for the award.

Barron’s Top 30 Independent Advisory Firms—2017
The rankings are based on a survey of more than 100 questions about each participating firm’s practices—from their investment approach, to the number of clients they serve to the size and structure of their staffs. The rankings formula incorporates assets, revenue, and quality of practice, among other criteria. WMS was invited to apply for the award, but paid no fee for consideration.

Investment News Best Practices Award—2016
WMS Partners is one of only 12 financial advisory firms to receive the award which recognizes firms for excellence in practice management and financial performance.To identify the 2016 Best Practices Award winners, Investment NewsResearch created composite scores that examined the rate of growth, profitability and productivity levels for all of the participants in the 2016 Investment News Financial Performance Study. The “Best Practices” were those who ranked among the top-quartile of all participants; in addition, the final firms were selected after qualitative interviews conducted by the Investment News Best Practices Committee. WMS paid no fee for consideration.

WealthManagement.com’s Top 25 High-Net-Worth Advisor—2016
WealthManagement’s Top 25 High-Net-Worth Advisors ranking was assembled using data from Meridian-IQ (in which Penton Media has a stake). Advisory firms are ranked by total assets under management. To land on the list, high-net-worth clients had to account for 76 percent or more of the firm’s business. Firms also had to have a focus on financial and retirement planning; institutional clients do not make up a substantial portion of their businesses. Finally, none of these firms are owned by a bank, broker/dealer or investment company. WMS paid no fee for consideration.

Barron’s Top 100 Independent Financial Advisors—2014
The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors’ practices. The scoring system assigns a top score of 100 and rates the rest by comparing them with the winner. WMS was invited to apply for the award, but paid no fee for consideration.

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