City
Wealth management firms in Rochester, New York
As of October 2, 2026, 44 wealth management firms, including broker-dealer firms, with their main office in Rochester, New York reported $16.7 billion in regulatory assets under management; the largest by assets was Sage, Rutty & Co., Inc., with $3.5 billion.
Showing all wealth firms, including wirehouses and broker-dealer firms. Independent RIAs only
- Wealth management firms
- 44
- Regulatory assets under management
- $16.7 billion
- Average per firm
- $379.3 million
- SEC-registered, of those listed
- 26 of 44 (59.1%)
Firms by assets
| # | Firm | Registration | RAUM | Accounts |
|---|---|---|---|---|
| 1 | Sage, Rutty & Co., Inc. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs. | SEC | $3.5 billion | 8,163 |
| 2 | Howe and Rusling, Inc. | SEC | $2.4 billion | 3,397 |
| 3 | Ashton Thomas Securities, LLC Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs. | SEC | $1.9 billion | 2,282 |
| 4 | Novem Group | SEC | $1.7 billion | 5,571 |
| 5 | Whitney & Company | SEC | $1.5 billion | 1,885 |
| 6 | Brighton Securities Corp. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs. | SEC | $931.0 million | 3,130 |
| 7 | Seneca Financial Advisors LLC | SEC | $847.2 million | 1,128 |
| 8 | O'Keefe Stevens Advisory, Inc. | SEC | $585.6 million | 943 |
| 9 | Prentice Wealth Management LLC | SEC | $567.5 million | 1,034 |
| 10 | Rise Advisors, LLC | SEC | $441.2 million | 1,354 |
| 11 | Lifemark Securities Corp. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs. | SEC | $424.9 million | 1,053 |
| 12 | Indiano Capital Management | SEC | $253.8 million | 99 |
| 13 | Boyd Capital | SEC | $168.3 million | 281 |
| 14 | W & S Management Services, Inc. | SEC | $166.0 million | 487 |
| 15 | Northlanding Financial Partners, LLC | SEC | $152.2 million | 172 |
| 16 | Core Alpha, Inc. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs. | SEC | $146.1 million | 858 |
| 17 | Fien Capital Management, LLC | SEC | $137.7 million | 109 |
| 18 | Layline Advisors | SEC | $131.3 million | 418 |
| 19 | Hayes Asset Management, LLC | SEC | $116.6 million | 286 |
| 20 | Engleson & Associates | SEC | $114.5 million | 627 |
| 21 | Oak Crest Advisory, LLC | SEC | $90.2 million | 456 |
| 22 | Rochester Investments | SEC | $69.5 million | 300 |
| 23 | Iconoclastic Capital Management LLC | SEC | $68.2 million | 506 |
| 24 | Royale Asset Management LLC | SEC | $52.7 million | 58 |
| 25 | FSP Advisors, Inc. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs. | State | $43.6 million | 239 |
| 26 | WGS Management Services, Inc | SEC | $41.6 million | 74 |
| 27 | Stone Oak Capital LLC | SEC | $33.7 million | 200 |
| 28 | Janal Capital Management LLC | State | $23.2 million | 15 |
| 29 | Barrett Wealth Management | State | $21.8 million | 32 |
| 30 | About Time Financial Planning | State | $20.4 million | 178 |
| 31 | Fiduciary First Advising, LLC | State | $19.7 million | 95 |
| 32 | Wealth Strategies & Solutions, Ltd. | State | $16.6 million | 76 |
| 33 | Highroad Wealth Advisers, LLC | State | $15.8 million | 30 |
| 34 | Sar Services, Inc. | State | $7.0 million | 39 |
| 35 | Balfour Capital Management | State | $6.8 million | 29 |
| 36 | Alphanso | State | $6.4 million | 20 |
| 37 | Castle Advisors Group, LLC | State | $4.0 million | 21 |
| 38 | First Main Capital | State | $1.4 million | 4 |
| 39 | Capital Designs | State | $0 | 0 |
| 40 | Davie Kaplan Wealth Care Advisors, LLC Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs. | State | $0 | 0 |
| 41 | Gorges Capital Management LLC | State | $0 | 0 |
| 42 | Highland Wealth Advisory LLC | State | $0 | 0 |
| 43 | Linden Financial Consultants, LLC | State | $0 | 0 |
| 44 | Peartree Advisory | State | $0 | 0 |
Wealth management firms 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.