City
Independent RIAs in Rochester, New York
As of October 2, 2026, 37 independent wealth management RIAs with their main office in Rochester, New York reported $9.8 billion in regulatory assets under management; the largest by assets was Howe and Rusling, Inc., with $2.4 billion.
Include wirehouses and broker-dealer firms
- Independent wealth management RIAs
- 37
- Regulatory assets under management
- $9.8 billion
- Average per firm
- $265.5 million
- SEC-registered, of those listed
- 21 of 37 (56.8%)
Firms by assets
| # | Firm | Registration | RAUM | Accounts |
|---|---|---|---|---|
| 1 | Howe and Rusling, Inc. | SEC | $2.4 billion | 3,397 |
| 2 | Novem Group | SEC | $1.7 billion | 5,571 |
| 3 | Whitney & Company | SEC | $1.5 billion | 1,885 |
| 4 | Seneca Financial Advisors LLC | SEC | $847.2 million | 1,128 |
| 5 | O'Keefe Stevens Advisory, Inc. | SEC | $585.6 million | 943 |
| 6 | Prentice Wealth Management LLC | SEC | $567.5 million | 1,034 |
| 7 | Rise Advisors, LLC | SEC | $441.2 million | 1,354 |
| 8 | Indiano Capital Management | SEC | $253.8 million | 99 |
| 9 | Boyd Capital | SEC | $168.3 million | 281 |
| 10 | W & S Management Services, Inc. | SEC | $166.0 million | 487 |
| 11 | Northlanding Financial Partners, LLC | SEC | $152.2 million | 172 |
| 12 | Fien Capital Management, LLC | SEC | $137.7 million | 109 |
| 13 | Layline Advisors | SEC | $131.3 million | 418 |
| 14 | Hayes Asset Management, LLC | SEC | $116.6 million | 286 |
| 15 | Engleson & Associates | SEC | $114.5 million | 627 |
| 16 | Oak Crest Advisory, LLC | SEC | $90.2 million | 456 |
| 17 | Rochester Investments | SEC | $69.5 million | 300 |
| 18 | Iconoclastic Capital Management LLC | SEC | $68.2 million | 506 |
| 19 | Royale Asset Management LLC | SEC | $52.7 million | 58 |
| 20 | WGS Management Services, Inc | SEC | $41.6 million | 74 |
| 21 | Stone Oak Capital LLC | SEC | $33.7 million | 200 |
| 22 | Janal Capital Management LLC | State | $23.2 million | 15 |
| 23 | Barrett Wealth Management | State | $21.8 million | 32 |
| 24 | About Time Financial Planning | State | $20.4 million | 178 |
| 25 | Fiduciary First Advising, LLC | State | $19.7 million | 95 |
| 26 | Wealth Strategies & Solutions, Ltd. | State | $16.6 million | 76 |
| 27 | Highroad Wealth Advisers, LLC | State | $15.8 million | 30 |
| 28 | Sar Services, Inc. | State | $7.0 million | 39 |
| 29 | Balfour Capital Management | State | $6.8 million | 29 |
| 30 | Alphanso | State | $6.4 million | 20 |
| 31 | Castle Advisors Group, LLC | State | $4.0 million | 21 |
| 32 | First Main Capital | State | $1.4 million | 4 |
| 33 | Capital Designs | State | $0 | 0 |
| 34 | Gorges Capital Management LLC | State | $0 | 0 |
| 35 | Highland Wealth Advisory LLC | State | $0 | 0 |
| 36 | Linden Financial Consultants, LLC | State | $0 | 0 |
| 37 | Peartree Advisory | State | $0 | 0 |
Independent RIAs in New York, including every city.
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.