← Tributary

TOPTIER WEALTH MANAGEMENT

· CRD 292959 · IAPD ↗ · toptierwealthmanagement.com · 262-989-8551

$175.7MRegulatory AUM
2Advisory reps
2Employees
0Clients
0Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
March 2026 — TOPTIER WEALTH MANAGEMENT notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
March 2026 — TOPTIER WEALTH MANAGEMENT reported RAUM up 30% ($135.3M -> $175.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
July 2025 — TOPTIER WEALTH MANAGEMENT notice-filed in IL, MN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
April 2025 — TOPTIER WEALTH MANAGEMENT (location n/a) is newly SEC-registered with $135.3M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.