Sara R. Warntz
Professional summary
Sara Ruth Warntz, CFP®, who also goes by Sara Ruth Novak, Sara Novak Warntz, is a registered financial advisor currently at TOPSAIL WEALTH MANAGEMENT LLC located in Charlotte, North Carolina.
Sara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Sara has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sara Ruth Warntz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2024 - Present
TOPSAIL WEALTH MANAGEMENT LLC
Office #1: 10800 Sikes Place Suite 230, Charlotte, NC 28277October 25, 2023 - July 1, 2024
INDEPENDENT ADVISOR ALLIANCE, LLC
May 4, 2018 - November 3, 2023
VANGUARD ADVISERS, INC.
July 12, 2012 - November 3, 2023
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
TOPSAIL WEALTH MANAGEMENT LLC
CRD#: 331098 / SEC#: 801-130245
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/18/2024)
(7/12/2024)
(7/12/2024)
Exams
Current Firm
TOPSAIL WEALTH MANAGEMENT LLC
CRD#: 331098 / SEC#: 801-130245
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 729 |
| AUM (Assets Under Management) | $ 1,309,690,152 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/23/2026 | ||
| 09/12/2025 | ||
| 02/28/2025 |
Red Flags
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