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Topwater Investment Management LLC (Norwalk)


Topwater Investment Management LLC is a large advisory firm based in Norwalk. It manages $250 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Connecticut.

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Topwater Investment Management provides market timing services. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Topwater Investment Management: assets under management

The assets under management (AUM) of Topwater Investment Management LLC is $250 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 136% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $250 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $50 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Topwater Investment Management LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Norwalk

The principal office where Topwater Investment Management LLC performs its advisory services is located at 80 Washington St., Norwalk, CT 06854, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-852-8005 or by fax 203-852-0192. The normal business hours are 8am - 6pm on Monday - Friday. You can find more information about the New York firm at www.topwaterllc.com.


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