TreeTop Wealth Management provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, and tax planning. Financial planning was provided to 11–25 clients last fiscal year.
TreeTop Wealth Management reports 100 clients. They include 50 individual clients and 50 high-net-worth individuals. Of its assets, 100.0% ($210M across 350 accounts) are managed with discretion. It advised 5 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 50% | 33% |
| High-net-worth individuals | 50% | 67% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 50 | $70M | 33.3% | $1.4M |
| High-net-worth individuals | 50 | $140M | 66.7% | $2.8M |
| Total | 100 | $210M | 100% | $2.1M |
- Clients
- 50
- Regulatory AUM
- $70M
- AUM share
- 33.3%
- Avg. per client
- $1.4M
- Clients
- 50
- Regulatory AUM
- $140M
- AUM share
- 66.7%
- Avg. per client
- $2.8M
Total
- Clients
- 100
- Regulatory AUM
- $210M
- AUM share
- 100%
- Avg. per client
- $2.1M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 5
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
TreeTop Wealth Management is paid through a percentage of assets under management and commissions. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
David Pedley owns 25% to 50% of TreeTop Wealth Management. The leadership team of TreeTop Wealth Management includes Chief Compliance Officer Kevin Yeoman. It has 3 employees.
Staff
- 3 employees
- 3 in advisory functions
- 3 state-registered reps
- 3 insurance agents
- Owns 25% to 50% of Treetop Wealth Management, LLC
David Pedley
Control person · since October 2010
- Owns 25% to 50% of Treetop Wealth Management, LLC
Kevin Yeoman
Control person · since October 2010
- Owns 25% to 50% of Treetop Wealth Management, LLC
Patrick Nord
Control person · since October 2010
TreeTop Wealth Management’s regulatory assets grew from $150M (June 2021) to $210M (January 2026); clients rose from 85 to 100 and employees were 3 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jan 2026January 2026 | $210M | 100 | 3 | 1 |
| Jan 2025January 2025 | $185M | 100 | 3 | 1 |
| Jan 2024January 2024 | $160M | 95 | 3 | 1 |
| Jan 2023January 2023 | $140M | 95 | 3 | 1 |
| Feb 2022February 2022 | $160M | 90 | 3 | 1 |
| Jun 2021June 2021 | $150M | 85 | 3 | 1 |
Besides its headquarters, TreeTop Wealth Management has 0 offices, with 1 listed address in 1 state.
Illinois · 1 listed address
- One Northfield Plaza, Suite 106, NorthfieldHQ
Contact and registration details
- Legal name
- Treetop Wealth Management, LLC
- Headquarters
- One Northfield Plaza, Suite 106, Northfield, IL 60093
- Website
- treetopwm.com
- Phone
- 847-386-6707
- SEC file
- 801-121465
- Founded
- 2010
- Structure
- Illinois LLC
- Fiscal year end
- December
TreeTop Wealth Management does not have custody of client assets.
At year end, TreeTop Wealth Management’s separately managed accounts were mostly in stocks (70%) and bonds (25%).
What the accounts hold
- Stocks70%
- Bonds25%
- U.S. government and agency bonds10%
- Investment grade corporate bonds10%
- High-yield corporate bonds5%
- Cash5%
How many clients does TreeTop Wealth Management have?
TreeTop Wealth Management has 100 clients and manages $210 million for them, as of January 2026. They include 50 individual clients and 50 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 January 2026
What services does TreeTop Wealth Management offer?
TreeTop Wealth Management provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How many financial advisors does TreeTop Wealth Management have?
TreeTop Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does TreeTop Wealth Management invest in?
At the end of its last fiscal year, TreeTop Wealth Management’s separately managed accounts held 70% exchange-traded equities, 10% U.S. government and agency bonds, 10% investment grade corporate bonds, 5% high-yield corporate bonds and 5% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns TreeTop Wealth Management?
TreeTop Wealth Management’s direct owners are David Pedley, Kevin Yeoman and Patrick Nord, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 13 January 2026
How does TreeTop Wealth Management get paid?
TreeTop Wealth Management is paid through a percentage of assets under management and commissions. Its Form ADV lists no performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact TreeTop Wealth Management?
TreeTop Wealth Management’s main office is at One Northfield Plaza, Suite 106, Northfield, IL 60093. Its phone number is 847-386-6707. Its website is treetopwm.com.
