Data / Investment advisers / New York / Novem Group
Novem Group, Rochester, NY: $1.7 billion AUM, SEC registered investment adviser
Novem Group is an SEC registered investment adviser with its main office in Rochester, New York and reports $1.7 billion in regulatory assets under management in its Form ADV filed September 3, 2026. Its clients include individuals, high net worth individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 158964
- SEC file number
- 801-72741
- SEC status
- Approved, effective September 22, 2011
- Main office
- 350 Linden Oaks Suite 140, Rochester, NY 14625
- Phone
- (585) 348-9525
- Website
- novemgroup.com
- Regulatory AUM
- $1,717,643,936 in the Form ADV filed September 3, 2026
- Discretionary AUM
- $1,454,929,528
- Non discretionary AUM
- $262,714,408
- Accounts
- 5,571
- Employees
- 52, of which 50 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Other offices
- 8
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- September 3, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 3,253 | $825.7 million |
| High net worth individuals | 260 | $546.9 million |
| Pension and profit sharing plans | 137 | $343.6 million |
| Charitable organizations | 2 | $1.3 million |
| State or municipal government entities | 1 | $118,470 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $1.72 billion | February 27, 2026 |
| December 1, 2025 | $1.41 billion | November 11, 2025 |
Other advisers in Rochester
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Sage, Rutty & Co., Inc. | Rochester | $3.46 billion | Not listed | adviserinfo.sec.gov |
| Howe and Rusling, Inc. | Rochester | $2.44 billion | Not listed | adviserinfo.sec.gov |
| Ashton Thomas Securities, LLC | Rochester | $1.86 billion | Not listed | adviserinfo.sec.gov |
| Whitney & Company | Rochester | $1.49 billion | Not listed | adviserinfo.sec.gov |
| Brighton Securities Corp. | Rochester | $931 million | Not listed | adviserinfo.sec.gov |
| Seneca Financial Advisors LLC | Rochester | $847.2 million | Not listed | adviserinfo.sec.gov |
| Prentice Wealth Management LLC | Rochester | $567.5 million | Not listed | adviserinfo.sec.gov |
| Rise Advisors, LLC | Rochester | $441.2 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Rochester, NY
- Investment advisers in New York
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Novem Group on the SEC's adviser search
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.