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Wealth Management Firms (RIAs) in Rochester, NY

40 wealth management firms are on this list. Of those that report regulatory assets on Form ADV, Sage, Rutty & Co. is the largest: $3.5 billion through Sage, Rutty & Co., Inc. (filed ).

LVW Advisors follows with $2.5 billion. The 40 advisers counted report $28.4 billion together; the ten largest hold 62% of it, and half report less than $442 million.

Updated . Rechecked quarterly; next check . Figures read , as filed to .

Where the $28.4BN sitsThe 40 firms counted, by size. The bar is each size band's share of the combined dollars.
  1. $1BN to $5BN59%9 firms
  2. $500MM to $1BN22%9 firms
  3. Under $500MM19%22 firms

Latest Form ADV of each, filed Jan 2026 to Oct 2026. Read ; sources at the end of the page.

Wealth management firms listedList of November 2026; 37 are wealth managers and 3 are wealth managers with a broker-dealer
40
Combined assets40 counted; as filed to Oct 2026
$28.4BN
Largest: Sage, Rutty & Co.As filed
$3.5BN
Median firmHalf of the 40 report less
$442MM
Held by the ten largestOf the $28.4BN combined
62%

Sage, Rutty & Co., LVW Advisors and Howe and Rusling lead the Rochester, NY wealth management firms by assets

The twenty largest by regulatory assets on their latest Form ADV. Together they report $23.9BN, 84% of the $28.4BN the 40 counted report.

  1. 1

    Sage, Rutty & Co.

    Wealth manager with a broker-dealer, Rochester, NY

    $3.5BNRegulatory assets, Sep 2026

    80% other individuals, 15% high net worth, 4% businesses

    Individual clients
    8,184
  2. 2

    LVW Advisors

    Wealth manager, Pittsford, NY

    $2.5BNRegulatory assets, Oct 2026

    62% high net worth, 25% businesses, 9% charities

    Individual clients
    493
  3. 3

    Howe and Rusling

    Wealth manager, Rochester, NY

    $2.4BNRegulatory assets, Jul 2026

    76% high net worth, 16% other individuals, 4% charities

    Individual clients
    1,351
  4. 4

    Ashton Thomas Securities

    Wealth manager with a broker-dealer, Rochester, NY

    $1.9BNRegulatory assets, Jun 2026

    55% high net worth, 45% other individuals

    Individual clients
    2,281
  5. 5

    Novem Group

    Wealth manager, Rochester, NY

    $1.7BNRegulatory assets, Sep 2026

    48% other individuals, 32% high net worth, 20% pension plans

    Individual clients
    3,513
  6. 6

    Whitney & Company

    Wealth manager, Rochester, NY

    $1.5BNRegulatory assets, Sep 2026

    70% high net worth, 30% other individuals

    Individual clients
    739
  7. 7

    Cooper/Haims Advisors

    Wealth manager, Victor, NY

    $1.2BNRegulatory assets, Aug 2026

    90% high net worth, 7% other individuals, 2% businesses

    Individual clients
    519
  8. 8

    Armbruster Capital Management

    Wealth manager, Pittsford, NY

    $1.1BNRegulatory assets, Jul 2026

    78% high net worth, 9% pension plans, 8% other individuals

    Individual clients
    462
  9. 9

    High Probability Advisors

    Wealth manager, Pittsford, NY

    $1.0BNRegulatory assets, May 2026

    77% high net worth, 14% pension plans, 7% other individuals

    Individual clients
    344
  10. 10

    Ashford Advisors

    Wealth manager, Pittsford, NY

    $943MMRegulatory assets, Mar 2026

    86% high net worth, 8% businesses, 6% charities

    Individual clients
    51
  11. 11

    Brighton Securities

    Wealth manager with a broker-dealer, Rochester, NY

    $931MMRegulatory assets, Apr 2026

    61% other individuals, 36% high net worth, 1% businesses

    Individual clients
    1,753
  12. 12

    Seneca Financial Advisors

    Wealth manager, Rochester, NY

    $847MMRegulatory assets, Jun 2026

    90% high net worth, 6% other individuals, 2% businesses

    Individual clients
    353
  13. 13

    Blue Horizon Equity

    Wealth manager, Pittsford, NY

    $746MMRegulatory assets, Sep 2026

    69% other individuals, 29% high net worth, 1% businesses

    Individual clients
    1,478
  14. 14

    Kickstand Wealth Advisors

    Wealth manager, Pittsford, NY

    $633MMRegulatory assets, Sep 2026

    86% high net worth, 13% other individuals, 1% pension plans

    Individual clients
    376
  15. 15

    O'Keefe Stevens Advisory

    Wealth manager, Rochester, NY

    $586MMRegulatory assets, Jul 2026

    87% high net worth, 13% other individuals

    Individual clients
    357
  16. 16

    Prentice Wealth Management

    Wealth manager, Rochester, NY

    $568MMRegulatory assets, May 2026

    73% other individuals, 23% high net worth, 3% businesses

    Individual clients
    1,024
  17. 17

    Elevatus Wealth Management

    Wealth manager, Victor, NY

    $513MMRegulatory assets, Sep 2026

    87% high net worth, 10% other individuals, 3% pension plans

    Individual clients
    326
  18. 18

    Horizon Financial

    Wealth manager, West Henrietta, NY

    $510MMRegulatory assets, Aug 2026

    54% other individuals, 46% high net worth

    Individual clients
    734
  19. 19

    Flower City Capital

    Wealth manager, Pittsford, NY

    $445MMRegulatory assets, Jul 2026

    80% high net worth, 11% other individuals, 9% private funds

    Individual clients
    227
    Private funds
    1
  20. 20

    Candace Shira Associates

    Wealth manager, Pittsford, NY

    $443MMRegulatory assets, May 2026

    79% high net worth, 20% other individuals, 2% other

    Individual clients
    431

Regulatory assets each adviser reported in its latest Form ADV. Each pin opens the filing behind the figure; the ranking rule and sources are at the end of the page. Read .

The ten largest hold 62% of the assets

How the 40 firms counted spread by size: most are small, the dollars sit at the top.

Every firm on one scaleEach dot is one firm's regulatory assets in its latest filing. Every dot is one adviser. Dollar scale is logarithmic.
Assets of each of the 40 firms counted, log scaleEach dot is one adviser and links to its row. Sage, Rutty & Co. $3.5BN; LVW Advisors $2.5BN; Howe and Rusling $2.4BN; median $442MM.$100MM$1BN$10BNSage, Rutty & Co.: $3.5BNLVW Advisors: $2.5BNHowe and Rusling: $2.4BNAshton Thomas Securities: $1.9BNNovem Group: $1.7BNWhitney & Company: $1.5BNCooper/Haims Advisors: $1.2BNArmbruster Capital Management: $1.1BNHigh Probability Advisors: $1.0BNAshford Advisors: $943MMBrighton Securities: $931MMSeneca Financial Advisors: $847MMBlue Horizon Equity: $746MMKickstand Wealth Advisors: $633MMO'Keefe Stevens Advisory: $586MMPrentice Wealth Management: $568MMElevatus Wealth Management: $513MMHorizon Financial: $510MMFlower City Capital: $445MMCandace Shira Associates: $443MMRise Advisors: $441MMThe Pitti Group Wealth Management: $374MMRochester Financial Services: $341MMPost Resch Tallon Group: $340MMTwo Point Capital Management: $311MMBright Futures Wealth Management: $295MMFactorpoint Planning: $288MMProfessional Financial: $226MMMilestones Private Investment Advisors: $223MMProsperity Advisory Group: $216MMCapstone Investment Financial Group: $175MMBoyd Capital: $168MMW & S Management Services: $166MMLynnleigh & Company: $162MMFLFS Advisory: $161MMNorthlanding Financial Partners: $152MMCore Alpha: $146MMRDG Capital Management: $132MMLayline Advisors: $131MMEngleson & Associates: $114MMSage, Rutty & Co. $3.5BNLVW Advisors $2.5BNHowe and Rusling $2.4BNMedian $442MMAssets of each of the 40 firms counted, log scaleEach dot is one adviser and links to its row. Sage, Rutty & Co. $3.5BN; LVW Advisors $2.5BN; Howe and Rusling $2.4BN; median $442MM.$1BNSage, Rutty & Co. $3.5BNMedian $442MM

One dot per firm counted. Read .

The 40 firms, by size
Under $500MM2219%$5.4BN
$500MM to $1BN922%$6.3BN
$1BN to $5BN959%$16.7BN
$5BN to $10BN00%$0
$10BN to $25BN00%$0
$25BN and over00%$0

Assets each reported in its latest filing; shares are of the $28.4BN combined, one row per firm. Read .

12%

of the assets reported sits with one firm, Sage, Rutty & Co.. The five largest hold 42%; 31 of 40 report under $1 billion.

12%Largest30%Next 458%Other 35
Who the 40 are
  1. Wealth managers37
  2. Wealth managers with a broker-dealer3

Kind of each, from its Form ADV (Items 5.G and 6.A), October 2026.

Whose money it isShare of the 40 advisers' assets by type of client
  1. High net worth59%
  2. Other individuals32%
  3. Businesses3%
  4. Pension plans3%
  5. Charities2%
  6. Insurers0%

Client types each adviser reports with its assets, latest filing; sums of filed figures.

Leaders beyond the ranking

Figures the main ranking does not compare: the most individual clients, the most high net worth clients.

The most individual clientsIndividuals each firm advises, high net worth and other, on its latest Form ADV (Item 5.D).
RankNameFigure
1Sage, Rutty & Co.8,184Sep 2026
2Novem Group3,513Sep 2026
3Ashton Thomas Securities2,281Jun 2026
4Brighton Securities1,753Apr 2026
5Blue Horizon Equity1,478Sep 2026
6Howe and Rusling1,351Jul 2026
7Prentice Wealth Management1,024May 2026
8Bright Futures Wealth Management879Apr 2026

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

The most high net worth clientsHigh net worth individuals each firm advises, on its latest Form ADV (Item 5.D).
RankNameFigure
1Sage, Rutty & Co.1,292Sep 2026
2Howe and Rusling608Jul 2026
3Brighton Securities374Apr 2026
4Ashton Thomas Securities301Jun 2026
5Cooper/Haims Advisors293Aug 2026
6Novem Group260Sep 2026
7Armbruster Capital Management257Jul 2026
8LVW Advisors247Oct 2026

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

The list is public. The warm path is not. Schedule a conversation

All 40 wealth management firms

A to Z, with each firm's regulatory assets, its clients, the share of its assets held for individuals and its private funds, each with a pin to its Form ADV.

Showing all 40 firms

Kind
Where
Size
Order
Wealth Management Firms (RIAs) in Rochester, NY 40 firms, A to Z
OfficeAssetsBarClientsIndividualsPrivate funds
Armbruster Capital Management
Wealth manager, Pittsford, NY.
Detail and sources for Armbruster Capital Management

Form ADV of Armbruster Capital Management, Inc. (CRD 151590), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $1.1BN; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Armbruster Capital Management, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 462 individuals, 257 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.1BNJul 202652485%
Ashford Advisors
Wealth manager, Pittsford, NY.
Detail and sources for Ashford Advisors

Form ADV of Ashford Advisors, LLC (CRD 114238), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $943MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 51 individuals, 51 of them high net worth; individuals hold 86% of its regulatory assets.

Files: SEC Form ADV.

$943MMMar 20267986%
Ashton Thomas Securities
Wealth manager with a broker-dealer, Rochester, NY.
Detail and sources for Ashton Thomas Securities

Form ADV of Ashton Thomas Securities, LLC (CRD 16629), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $1.9BN; 46 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 2,281 individuals, 301 of them high net worth; individuals hold 100% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$1.9BNJun 20262,282100%
Blue Horizon Equity
Wealth manager, Pittsford, NY.
Detail and sources for Blue Horizon Equity

Form ADV of Blue Horizon Equity, Inc. (CRD 341095), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $746MM; 45 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 1,478 individuals, 56 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$746MMSep 20261,49199%
Boyd Capital
Wealth manager, Rochester, NY.
Detail and sources for Boyd Capital

Form ADV of Boyd Capital Management LLC (CRD 312070), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $168MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 281 individuals, 75 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$168MMSep 2026281100%
Bright Futures Wealth Management
Wealth manager, Webster, NY.
Detail and sources for Bright Futures Wealth Management

Form ADV of Bright Futures Wealth Management, LLC (CRD 284920), SEC registered adviser, filed , main office Webster, NY: regulatory assets $295MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 879 individuals, 105 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$295MMApr 202688599%
Brighton Securities
Wealth manager with a broker-dealer, Rochester, NY.
Detail and sources for Brighton Securities

Form ADV of Brighton Securities Corp. (CRD 3875), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $931MM; 26 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 1,753 individuals, 374 of them high net worth; individuals hold 97% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$931MMApr 20261,79597%
Candace Shira Associates
Wealth manager, Pittsford, NY.
Detail and sources for Candace Shira Associates

Form ADV of Cross Staff Investments Inc. (CRD 165984), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $443MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 431 individuals, 167 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$443MMMay 202643498%
Capstone Investment Financial Group
Wealth manager, Webster, NY.
Detail and sources for Capstone Investment Financial Group

Form ADV of Capstone Investment Financial Group, LLC (CRD 122575), SEC registered adviser, filed , main office Webster, NY: regulatory assets $175MM; 1 private fund, $3.0MM gross; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and management of private funds. Clients (Item 5.D): 387 individuals, 30 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$175MMSep 202639297%1
Cooper/Haims Advisors
Wealth manager, Victor, NY.
Detail and sources for Cooper/Haims Advisors

Form ADV of Cooper/haims Advisors, LLC (CRD 124122), SEC registered adviser, filed , main office Victor, NY: regulatory assets $1.2BN; 19 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Cooper/haims Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 519 individuals, 293 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.2BNAug 202652797%
Core Alpha
Wealth manager, Rochester, NY.
Detail and sources for Core Alpha

Form ADV of Core Alpha, Inc. (CRD 119635), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $146MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 321 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$146MMMar 2026321100%
Elevatus Wealth Management
Wealth manager, Victor, NY.
Detail and sources for Elevatus Wealth Management

Form ADV of Elevatus Wealth Management, LLC (CRD 325629), SEC registered adviser, filed , main office Victor, NY: regulatory assets $513MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 326 individuals, 136 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$513MMSep 202633197%
Engleson & Associates
Wealth manager, Rochester, NY.
Detail and sources for Engleson & Associates

Form ADV of Engleson & Associates, Inc. (CRD 126349), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $114MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 362 individuals, 88 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$114MMMar 2026362100%
Factorpoint Planning
Wealth manager, Pittsford, NY.
Detail and sources for Factorpoint Planning

Form ADV of Factorpoint Planning, LLC (CRD 341229), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $288MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 141 individuals, 67 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$288MMAug 202614198%
FLFS Advisory
Wealth manager, Victor, NY.
Detail and sources for FLFS Advisory

Form ADV of FLFS Advisory LLC (CRD 334771), SEC registered adviser, filed , main office Victor, NY: regulatory assets $161MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 194 individuals, 35 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$161MMJun 202620395%
Flower City Capital
Wealth manager, Pittsford, NY.
Detail and sources for Flower City Capital

Form ADV of Flower City Capital LLC (CRD 281503), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $445MM; 1 private fund, $39MM gross; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Flower City Capital LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and management of private funds. Clients (Item 5.D): 227 individuals, 114 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$445MMJul 202623091%1
High Probability Advisors
Wealth manager, Pittsford, NY.
Detail and sources for High Probability Advisors

Form ADV of High Probability Advisors, LLC (CRD 289541), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $1.0BN; 16 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 344 individuals, 152 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV.

$1.0BNMay 202639885%
Horizon Financial
Wealth manager, West Henrietta, NY.
Detail and sources for Horizon Financial

Form ADV of Horizon Advisory Services, Inc. (CRD 305239), SEC registered adviser, filed , main office West Henrietta, NY: regulatory assets $510MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Horizon Advisory Services, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 734 individuals, 120 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$510MMAug 2026734100%
Howe and Rusling
Wealth manager, Rochester, NY.
Detail and sources for Howe and Rusling

Form ADV of Howe and Rusling, Inc. (CRD 104627), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $2.4BN; 26 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Howe and Rusling, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications and other services. Clients (Item 5.D): 1,351 individuals, 608 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.4BNJul 20261,39792%
Kickstand Wealth Advisors
Wealth manager, Pittsford, NY.
Detail and sources for Kickstand Wealth Advisors

Form ADV of Kickstand Ventures, LLC (CRD 327022), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $633MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Kickstand Ventures, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 376 individuals, 215 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$633MMSep 202637698%
Layline Advisors
Wealth manager, Rochester, NY.
Detail and sources for Layline Advisors

Form ADV of Layline Advisors, LLC (CRD 285136), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $131MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 114 individuals, 48 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$131MMJan 202612190%
LVW Advisors
Wealth manager, Pittsford, NY.
Detail and sources for LVW Advisors

Form ADV of LVW Advisors, LLC (CRD 159403), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $2.5BN; 19 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of LVW Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 493 individuals, 247 of them high net worth; individuals hold 65% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.5BNOct 202651965%
Lynnleigh & Company
Wealth manager, Pittsford, NY.
Detail and sources for Lynnleigh & Company

Form ADV of Lynnleigh & Company, LLC (CRD 285044), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $162MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications and educational seminars. Clients (Item 5.D): 281 individuals, 57 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$162MMMar 202628897%
Milestones Private Investment Advisors
Wealth manager, Fairport, NY.
Detail and sources for Milestones Private Investment Advisors

Form ADV of Milestones Private Investment Advisors LLC (CRD 289116), SEC registered adviser, filed , main office Fairport, NY: regulatory assets $223MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Milestones Private Investment Advisors LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 253 individuals, 70 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$223MMOct 202625499%
Northlanding Financial Partners
Wealth manager, Rochester, NY.
Detail and sources for Northlanding Financial Partners

Form ADV of Northlanding Financial Partners, LLC (CRD 167055), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $152MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Northlanding Financial Partners, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 172 individuals, 43 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$152MMMar 2026172100%
Novem Group
Wealth manager, Rochester, NY.
Detail and sources for Novem Group

Form ADV of Novem Group (CRD 158964), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $1.7BN; 52 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 3,513 individuals, 260 of them high net worth; individuals hold 80% of its regulatory assets.

Files: SEC Form ADV.

$1.7BNSep 20263,65380%
O'Keefe Stevens Advisory
Wealth manager, Rochester, NY.
Detail and sources for O'Keefe Stevens Advisory

Form ADV of O'Keefe Stevens Advisory, Inc. (CRD 286338), SEC registered adviser, filed : regulatory assets $586MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of O'Keefe Stevens Advisory, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 357 individuals, 157 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV, SEC Form 13F.

$586MMJul 2026357100%
The Pitti Group Wealth Management
Wealth manager, Victor, NY.
Detail and sources for The Pitti Group Wealth Management

Form ADV of The Pitti Group Wealth Management, LLC (CRD 314685), SEC registered adviser, filed , main office Victor, NY: regulatory assets $374MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 568 individuals, 75 of them high net worth; individuals hold 79% of its regulatory assets.

Files: SEC Form ADV.

$374MMJun 202660179%
Post Resch Tallon Group
Wealth manager, Pittsford, NY.
Detail and sources for Post Resch Tallon Group

Form ADV of Post Resch Tallon Group, Inc. (CRD 156302), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $340MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 440 individuals, 135 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$340MMMar 2026440100%
Prentice Wealth Management
Wealth manager, Rochester, NY.
Detail and sources for Prentice Wealth Management

Form ADV of Prentice Wealth Management LLC (CRD 160052), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $568MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,024 individuals, 50 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$568MMMay 20261,02997%
Professional Financial
Wealth manager, Pittsford, NY.
Detail and sources for Professional Financial

Form ADV of Professional Financial Strategies, Inc. (CRD 125580), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $226MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and publications. Clients (Item 5.D): 93 individuals, 69 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$226MMApr 20269392%
Prosperity Advisory Group
Wealth manager, Victor, NY.
Detail and sources for Prosperity Advisory Group

Form ADV of Prosperity Advisory Group LLC (CRD 310720), SEC registered adviser, filed , main office Victor, NY: regulatory assets $216MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 244 individuals, 88 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$216MMJul 2026244100%
RDG Capital Management
Wealth manager, Pittsford, NY.
Detail and sources for RDG Capital Management

Form ADV of RDG Capital Management LLC (CRD 329749), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $132MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 46 individuals, 21 of them high net worth; individuals hold 54% of its regulatory assets.

Files: SEC Form ADV.

$132MMSep 20269154%
Rise Advisors
Wealth manager, Rochester, NY.
Detail and sources for Rise Advisors

Form ADV of Rise Advisors, LLC (CRD 309760), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $441MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Rise Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 464 individuals, 108 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$441MMAug 202647284%
Rochester Financial Services
Wealth manager, Pittsford, NY.
Detail and sources for Rochester Financial Services

Form ADV of an adviser filing under a person's name (CRD 107956), SEC registered adviser, filed : regulatory assets $341MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 320 individuals, 130 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$341MMJan 2026320100%
Sage, Rutty & Co.
Wealth manager with a broker-dealer, Rochester, NY.
Detail and sources for Sage, Rutty & Co.

Form ADV of Sage, Rutty & Co., Inc. (CRD 3254), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $3.5BN; 36 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 8,184 individuals, 1,292 of them high net worth; individuals hold 95% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$3.5BNSep 20268,61395%
Seneca Financial Advisors
Wealth manager, Rochester, NY.
Detail and sources for Seneca Financial Advisors

Form ADV of Seneca Financial Advisors LLC (CRD 152824), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $847MM; 19 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 353 individuals, 159 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$847MMJun 202637396%
Two Point Capital Management
Wealth manager, Pittsford, NY.
Detail and sources for Two Point Capital Management

Form ADV of Two Point Capital Management, Inc. (CRD 131816), SEC registered adviser, filed , main office Pittsford, NY: regulatory assets $311MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 106 individuals, 80 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$311MMMar 2026106100%
W & S Management Services
Wealth manager, Rochester, NY.
Detail and sources for W & S Management Services

Form ADV of W & S Management Services, Inc. (CRD 127852), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $166MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 487 individuals, 51 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$166MMMar 2026487100%
Whitney & Company
Wealth manager, Rochester, NY.
Detail and sources for Whitney & Company

Form ADV of W.G.Shaheen & Associates,ltd. (CRD 117307), SEC registered adviser, filed , main office Rochester, NY: regulatory assets $1.5BN; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of W.G.Shaheen & Associates,ltd., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 739 individuals, 209 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.5BNSep 2026739100%

Assets are the regulatory assets in the adviser's latest Form ADV (Item 5.F; solid bar). Clients are every client it counts (Item 5.D); Individuals is the share of its assets held for individuals, high net worth and other; private funds are the funds it advises (Item 7.B). Each pin opens the filing behind the figure. The square beside a name opens every figure with its filing and notes.

A few large advisers hold most of the money

Five findings from the filings of the 40 firms counted.

  1. 12%

    of the $28.4 billion the 40 firms counted report is one firm's: Sage, Rutty & Co.. Without it, the other 39 report $25.0 billion.

    Assets, latest Form ADV of each; sums of filed figures

  2. $442MM

    is the median: half of the 40 report less, and 31 report under $1 billion.

    Assets, latest Form ADV of each

  3. 2

    private funds are advised by the firms counted; Flower City Capital advises the most, 1.

    Private funds on each Form ADV (Schedule D); sums of filed figures

  4. 59%

    of their assets is high net worth money; the next largest client type is other individuals, at 32%.

    Client types each adviser reports with its assets; sums of filed figures

  5. 35

    of the 40 have their main office in Monroe County, NY; the next place is Ontario County, NY, with 5.

    Main office on each Form ADV

Questions

How many wealth management firms are there in Rochester, NY?

This list holds 40 wealth management firms in the Rochester, NY metro; 40 of them report regulatory assets on Form ADV, $28.4 billion together.

What are the largest wealth management firms in Rochester, NY?

By the regulatory assets they report: Sage, Rutty & Co. $3.5 billion, LVW Advisors $2.5 billion, Howe and Rusling $2.4 billion, Ashton Thomas Securities $1.9 billion, Novem Group $1.7 billion.

How much do wealth management firms in Rochester, NY typically manage?

Of the 40 that report, the median reports $442 million in regulatory assets; 31 report under $1 billion.

How do you start a relationship with wealth management firms in Rochester, NY?

Each figure on this page carries a pin that opens the firm's Form ADV, which names its services, its clients and how to reach it. For fund managers and companies raising capital, Praxis Rock runs capital formation programs; see Raise Capital.

Sources and method

Who is listed
40 wealth management firms, 37 are wealth managers and 3 are wealth managers with a broker-dealer. Every SEC registered adviser with a main office in Rochester, NY MSA (Census CBSA 40380) that reports $100 million or more in regulatory assets, half or more of them for individuals, less the firms our other lists carry as another kind.
Ranking rule
The top 20, every total, share and median, the charts and the answers to the questions use one set: the 40 advisers that report regulatory assets in their latest SEC Form ADV, with a main office in the Rochester, NY metro, that the filing itself ties to the row (the CRD the list cites, or the row's own website in Item 1.I), one figure per adviser. A name match with no such tie is shown in the row's detail only, never ranked or counted.
Our arithmetic
The $28.4BN, the median, shares, charts and boards are sums and medians of filed numbers over that one set; 0 firms with a figure outside it stay listed with the figure and the reason.
Pins
Each figure's pin opens the filing it comes from: the adviser's Form ADV as filed, or the SEC filing index of its latest 13F report. The pin's label names the source and its date.
What we searched
On we read every firm's latest Form ADV in the SEC monthly file by its CRD and searched 13F reports by the CIK on its Form ADV record. Of the 40, 40 report on a current Form ADV and 12 file 13F reports.
Words
Each firm's kind is read from its Form ADV: a wealth manager advises individuals and offers financial planning (Items 5.D and 5.G); "also a broker-dealer" where Item 6.A is checked. Firm names only: no person, contact or website is shown.
Sources and dates
FigureSourcePeriod, read
Assets, private funds, client types, main office, employeesSEC Form ADV adviser data, October 2026 report, and each adviser's Form ADV as filed, 40 advisersFilings to 2026-10-01; read 2026-11-06
Reports of listed stocks (13F filer)SEC EDGAR Form 13F, 12 filers, by the CIK on each Form ADVLatest filing; read 2026-11-06
Main office to metroHUD USPS ZIP to county crosswalk, 2026 Q2, and the Census metro delineation, July 2023Read 2026-11-06
LogosNone shown: each firm has a monogramRead 2026-11-06

Cite as: Praxis Rock Advisors, "Wealth Management Firms (RIAs) in Rochester, NY," updated November 6, 2026, praxisrock.com/resources/investors/wealth-management-firms-rochester-ny

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