DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

TOPSAIL WEALTH MANAGEMENT LLC

CRD 331098

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7c4d179f-5cc0-4888-972c-2289b0b5aaad

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Apr 9, 2024 to Sep 18, 2026
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $1.3BItem 5.F on the latest filing (2026-09-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $327Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 4
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 729
Individual clients: 79
High net worth clients: 127
Custody, client assets: $706M
SEC number: 801-130245
CRD: 331098
Filings on the tape: 11
First filed: Apr 9, 2024
Latest filed: Sep 18, 2026
Organised: Limited Liability Company, NC
Website: topsailwealthmanagement.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MATTHEW PHILIP SNIPES	Certified Financial Planner	CHARLOTTE, NC	2	20	2	no
SARA RUTH WARNTZ	Certified Financial Planner	CHARLOTTE, NC	2	14	2	no
TIMOTHY JOHN SCHWIEBERT	n/a	CHARLOTTE, NC \| Cincinnati, OH	1	29	1	no
Matthew Elliott Henry	Certified Financial Planner	Cramerton, NC \| CHARLOTTE, NC	0	10	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SNIPES, MATTHEW, PHILIP	FOUNDER, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	E	yes	04/2022	Apr 9, 2024	Oct 29, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 12, 2026	$1.3B	$1.3B	5	4	2	n/a	n/a
2024	Mar 28, 2025	$1.0B	$1.0B	3	3	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	4	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.3B	$1.0B	27.2%	n/a	n/a	5	3	2	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
INDEPENDENT ADVISOR ALLIANCE, LLC	2	Jul 1, 2024	Jul 12, 2024	CHARLOTTE, NC	Team lift out	RIA to new firm	0.8%

Relationships

Registered with (4)

← Matthew Elliott HenryAdvisorregistration: current employment
Mar 6, 2026 to presentfactForm ADV
← TIMOTHY JOHN SCHWIEBERTAdvisorregistration: current employment
Nov 12, 2024 to presentfactForm ADV
← SARA RUTH WARNTZAdvisorregistration: current employment
Jul 12, 2024 to presentfactForm ADV
← MATTHEW PHILIP SNIPESAdvisorregistration: current employment
Jul 1, 2024 to presentfactForm ADV

Controls (1)

← SNIPES, MATTHEW, PHILIPOwnerFOUNDER, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 9, 2024 to Oct 29, 2024factForm ADV

Moved with (1)

← INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviser2 advisors, team lift out, same day
Jul 1, 2024 to Jul 12, 2024factForm ADV

Dated events

Occurred
Mar 12, 2026
Regulatory AUM changed
Topsail Wealth Management Llc reported RAUM $1.3B, up 27% from $1.0B (2025-09-15 to 2026-03-12)
Form ADVobserved 6 days ago
$280M
Occurred
Jul 1, 2024
Team lift-out
2 advisors left Independent Advisor Alliance, LLC (Charlotte, NC) for Topsail Wealth Management LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Apr 9, 2024
First Form ADV filing
Topsail Wealth Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c4d179f-5cc0-4888-972c-2289b0b5aaad
First observed: Apr 9, 2024
Last observed: Sep 18, 2026 3 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TOPSAIL WEALTH MANAGEMENT LLC

CRD 331098

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7c4d179f-5cc0-4888-972c-2289b0b5aaad

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:36 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MATTHEW PHILIP SNIPES

Certified Financial Planner

CHARLOTTE, NC

SARA RUTH WARNTZ

Certified Financial Planner

CHARLOTTE, NC

TIMOTHY JOHN SCHWIEBERT

n/a

CHARLOTTE, NC | Cincinnati, OH

Matthew Elliott Henry

Certified Financial Planner

Cramerton, NC | CHARLOTTE, NC

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SNIPES, MATTHEW, PHILIP

FOUNDER, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER

yes

04/2022

Apr 9, 2024

Oct 29, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 12, 2026

$1.3B

n/a

2024

Mar 28, 2025

$1.0B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.3B

$1.0B

27.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

INDEPENDENT ADVISOR ALLIANCE, LLC

Jul 1, 2024

Jul 12, 2024

CHARLOTTE, NC

Team lift out

RIA to new firm

0.8%