SEC-registered wealth management firm Broker-dealer affiliated
Sage, Rutty & Co., Inc.
As of its Form ADV filed September 21, 2026, Sage, Rutty & Co., Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Rochester, New York, reported $3.5 billion in regulatory assets under management across 8,163 accounts, ranking #52 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 3254
- SEC file number
- 801-35917
- Registered since
- January 26, 1990
- Latest Form ADV filing
- September 21, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $3.5 billion
- Discretionary
- $1.8 billion (51.9%)
- Non-discretionary
- $1.7 billion
- Accounts
- 8,163 (3,974 discretionary)
- Clients
- 8,673, approximate as reported
- Employees
- 36
- Advisory staff
- 33 performing investment advisory functions
- Average account
- $423,594
- Asset growth, 1 year
- 14.6% (from $3.0 billion a year earlier)
- Asset growth, 3-year annual rate
- 21.0% (from $2.0 billion three years earlier)
- Asset growth, 5-year annual rate
- 14.0% (from $1.8 billion five years earlier)
- Client growth, 1 year
- 11.7% (from 7,762)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $432.5 million |
| October 3, 2011 | $376.7 million |
| October 1, 2012 | $354.2 million |
| October 1, 2013 | $471.7 million |
| October 1, 2014 | $622.9 million |
| October 1, 2015 | $712.9 million |
| October 3, 2016 | $714.4 million |
| October 2, 2017 | $855.1 million |
| October 1, 2018 | $971.6 million |
| October 1, 2019 | $1.1 billion |
| October 1, 2020 | $1.5 billion |
| October 4, 2021 | $1.8 billion |
| October 3, 2022 | $2.1 billion |
| October 5, 2023 | $2.0 billion |
| October 1, 2024 | $2.5 billion |
| September 2, 2025 | $3.0 billion |
| October 2, 2026 | $3.5 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 6,892 clients | $2.8 billion | |
| High net worth individuals 1,292 clients | $518.7 million | |
| Corporations or other businesses 300 clients | $121.0 million | |
| Charitable organizations 129 clients | $51.9 million | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| Pension and profit sharing plans fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars or workshops
Financial planning clients (Item 5.H): 51-100.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
Custody (Item 9)
The firm reported custody of client cash or securities, $3.5 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 45
- Also registered through a broker-dealer
- 42
- Employees who are IARs (Form ADV 5.B(3))
- 33
Designations held by the firm's IARs: CFP 8, CFA 3, ChFC 1.
41 of the firm's 45 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Courier Capital, LLC | Buffalo | $3.6 billion |
| Meyer Handelman Company LLC | Rye Brook | $3.2 billion |
| Carrick Lane LLC | New York | $3.0 billion |
| Capital Counsel LLC | New York | $2.9 billion |
| Cordoba Advisory Partners LLC | New York | $2.8 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Sage, Rutty & Co., Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.sagerutty.com
- Wealth management firms in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.