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Data / Investment advisers / New York / Rochester

Investment advisers in Rochester, NY: 27 firms, $15.9 billion in AUM

27 investment advisers have their main office in Rochester, New York: 24 SEC registered and 3 exempt reporting. The registered advisers report $15.9 billion in regulatory assets under management in the SEC's Form ADV file of November 2, 2026, and the largest is Sage, Rutty & Co., Inc. with $3.5 billion.

SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.

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  • 27Advisers
  • 24SEC registered
  • 3Exempt reporting
  • $15.9 billionTotal AUM
  • 19Advisers over $100 million
  • 3Manage private funds
  • November 2, 2026File date

Largest advisers by AUM

Ranked by regulatory AUM, then by private funds. Each row links to the firm page where it has one, and to its SEC record.

AdviserCityAUMAccountsEmployeesPrivate fundsPhoneWebsiteSource
Sage, Rutty & Co., Inc.Rochester$3.46 billion8,16336Not listed(585) 232-3760adviserinfo.sec.gov
Howe and Rusling, Inc.Rochester$2.44 billion3,39725Not listed(585) 325-4140adviserinfo.sec.gov
Ashton Thomas Securities, LLCRochester$1.86 billion2,28246Not listed(800) 323-3746ashtonthomaspw.comadviserinfo.sec.gov
Novem GroupRochester$1.72 billion5,57152Not listed(585) 348-9525novemgroup.comadviserinfo.sec.gov
Whitney & CompanyRochester$1.49 billion1,88512Not listed(585) 232-6200adviserinfo.sec.gov
Brighton Securities Corp.Rochester$931 million3,13026Not listed(585) 473-3590brightonsecurities.comadviserinfo.sec.gov
Seneca Financial Advisors LLCRochester$847.2 million1,12819Not listed(585) 203-1211senecafinancialadvisors.comadviserinfo.sec.gov
Prentice Wealth Management LLCRochester$567.5 million1,03414Not listed(585) 218-0001adviserinfo.sec.gov
Rise Advisors, LLCRochester$441.2 million1,3549Not listed(585) 565-3444adviserinfo.sec.gov
Lifemark Securities Corp.Rochester$424.9 million1,05378Not listed(585) 424-5672lifemark.comadviserinfo.sec.gov
Indiano Capital ManagementRochester$253.8 million992Not listed(585) 248-9888indiano.comadviserinfo.sec.gov
Boyd CapitalRochester$168.3 million2813Not listed(585) 269-8511boydcapital.comadviserinfo.sec.gov
W & S Management Services, Inc.Rochester$166 million4874Not listed(585) 720-9971wandsmgmt.comadviserinfo.sec.gov
Northlanding Financial Partners, LLCRochester$152.2 million1722Not listed(585) 497-5000adviserinfo.sec.gov
Core Alpha, Inc.Rochester$146.1 million8583Not listed(585) 235-3600adviserinfo.sec.gov
Fien Capital Management, LLCRochester$137.7 million1092Not listed(585) 271-8910adviserinfo.sec.gov
Layline AdvisorsRochester$131.3 million4184Not listed(585) 210-8222laylineadvisors.comadviserinfo.sec.gov
Hayes Asset Management, LLCRochester$116.6 million2864Not listed(585) 730-6951hayesassetmgt.comadviserinfo.sec.gov
Engleson & AssociatesRochester$114.5 million6274Not listed(585) 424-6150adviserinfo.sec.gov
Oak Crest Advisory, LLCRochester$90.2 million4563Not listed(585) 507-1681oakcrestadvisory.comadviserinfo.sec.gov
Rochester InvestmentsRochester$69.5 million3001Not listed(585) 568-6656rochesterinvestments.comadviserinfo.sec.gov
Iconoclastic Capital Management LLCRochester$68.2 million5065Not listed(585) 504-1616iconocapital.comadviserinfo.sec.gov
WGS Management Services, IncRochester$41.6 million741Not listed(585) 720-9970adviserinfo.sec.gov
Stone Oak Capital LLCRochester$33.7 million2002Not listed(585) 695-5588stoneoakcap.comadviserinfo.sec.gov
Impellent VenturesRochesterNot listedNot listedNot listed8(585) 737-6907impellent.vcadviserinfo.sec.gov
Excell Technology VenturesRochesterNot listedNot listedNot listed6(585) 204-0373excellny.comadviserinfo.sec.gov
Five Stones CapitalRochesterNot listedNot listedNot listed1(610) 241-5910fivestonestrading.comadviserinfo.sec.gov

Advisers in Rochester that manage private funds

3 advisers report private funds. The 30 with the most funds.

AdviserCityStatePrivate fundsHedgePrivate equityVenture capitalReal estateFund gross assetsAUMSource
Impellent VenturesRochesterNY8Not listedNot listed8Not listed$59.5 millionNot listedadviserinfo.sec.gov
Excell Technology VenturesRochesterNY6Not listedNot listed6Not listed$40.5 millionNot listedadviserinfo.sec.gov
Five Stones CapitalRochesterNY11Not listedNot listedNot listed$364,218Not listedadviserinfo.sec.gov

Also on SpecStream

Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.