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TOPSAIL WEALTH MANAGEMENT LLC

CHARLOTTE, NC · CRD 331098 · IAPD ↗ · topsailwealthmanagement.com · 980-308-9901

$1.31BRegulatory AUM
4Advisory reps
5Employees
0Clients
0Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — TOPSAIL WEALTH MANAGEMENT LLC notice-filed in MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2026 — TOPSAIL WEALTH MANAGEMENT LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2026 — TOPSAIL WEALTH MANAGEMENT LLC reported RAUM up 27% ($1.03B -> $1.31B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
August 2025 — TOPSAIL WEALTH MANAGEMENT LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
April 2025 — TOPSAIL WEALTH MANAGEMENT LLC notice-filed in KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
April 2025 — TOPSAIL WEALTH MANAGEMENT LLC crossed $1B in regulatory AUM ($875.7M -> $1.03B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
53
October 2024 — TOPSAIL WEALTH MANAGEMENT LLC notice-filed in CT, GA, IL, MA, NE, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
October 2024 — TOPSAIL WEALTH MANAGEMENT LLC now reports custody of client assets ($454.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
October 2024 — TOPSAIL WEALTH MANAGEMENT LLC grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
October 2024 — TOPSAIL WEALTH MANAGEMENT LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
July 2024 — TOPSAIL WEALTH MANAGEMENT LLC began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
95
June 2024 — TOPSAIL WEALTH MANAGEMENT LLC (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 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.