As of November 6, 2026, TOP Financial Group Ltd is a publicly traded company (Nasdaq: TOP). The largest holder reporting an active stake on Schedule 13D is Junli Yang, the chairman and a director, at 17.1%. No bankruptcy or receivership appears in its SEC Form 8-K filings (Schedule 13D, July 30, 2026).
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Is TOP Financial Group Ltd a real, registered company?
- TOP Financial Group Ltd files with the SEC under CIK 1848275 (its SEC filings).
- Its shares are listed under the ticker TOP on Nasdaq (SEC company record).
- Incorporated in E9; business address in Houston, Texas, as its SEC filings state.
- Court and bankruptcy records: see Before you sign or pay below.
Before you sign or pay
- Court and bankruptcy: No federal court case or bankruptcy filing found under TOP Financial Group Ltd in our court records and SEC 8-K records (as of 2026-11-06).
- Leadership changes: the latest reported is Dean Huge, Director (Form 8-K filed 2026-10-09). Check you are dealing with the people now in charge.
- Ownership: 5%+ holders are reported on Schedule 13D or 13G; the latest names Junli Yang (filed 2026-07-30).
Who are TOP Financial Group Ltd's owners and officers?
TOP Financial Group Ltd: business address in Houston, Texas; industry Security & Commodity Brokers, Dealers, Exchanges & Services (Form D, 2026-10-09).
| Report | Holder | Share |
|---|---|---|
| Schedule 13D, 2026-07-30 | Junli Yang | 17.1% |
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| Filed | Person | Role | Change | Effective |
|---|---|---|---|---|
| Form 8-K, 2026-10-09 | Dean Huge | Director | appointed | 2026-10-08 |
| Form 8-K, 2026-10-09 | Yuli Yan | Director | appointed | 2026-10-08 |
| Form 8-K, 2026-10-09 | Yuli Yan | appointed | ||
| Form 8-K, 2026-09-21 | Ka Fai Yuen | Director | departed | |
| Form 8-K, 2026-09-21 | Hoi Ling Jennifer Tam | Chief Operating Officer | departed | 2026-09-21 |
| Form 8-K, 2026-09-21 | Hoi Ling Jennifer Tam | Chief Executive Officer | appointed | 2026-09-21 |
| Form 8-K, 2026-09-21 | Ka Fai Yuen | Chief Executive Officer | departed | 2026-09-21 |
Which insiders own TOP Financial Group Ltd shares?
Directors, officers and holders of 10% or more report their shares on Forms 3, 4 and 5. Each line is the latest such report, largest holding first.
- , the chairman and a director: 26,824,000 shares (72.4% of shares outstanding), 10,000,000 held directly and 16,824,000 indirectly (Form 3, 2026-07-31).
- , the chief financial officer: 1,212,000 shares (3.3% of shares outstanding), held indirectly through By Zhong Yang Holdings (BVI) Limited (Form 3, 2026-07-31).
- , a director: 40,213 shares (0.11% of shares outstanding) (Form 3, 2026-07-31).
- , a director: 40,213 shares (0.11% of shares outstanding) (Form 3, 2026-07-31).
- , a director: 40,213 shares (0.11% of shares outstanding) (Form 3, 2026-07-31).
Shares outstanding: 37,044,475 as of 2025-03-31, from the company's latest SEC cover page.
How much has TOP Financial Group Ltd raised?
Latest IPO step: TOP Financial Group Ltd filed to go public (F-1, 2026-10-01).
IPO filings: F-1, 2026-10-01; ticker TOP on Nasdaq Capital Market.
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More on TOP Financial Group Ltd and the records around it.
TOP Financial Group Ltd elsewhere on the record
- Leadership changes Sep 2026
- 5%+ stake filings Jul 2026
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