Data / Investment advisers / New York / Prentice Wealth Management LLC
Prentice Wealth Management LLC, Rochester, NY: $568 million AUM, SEC registered investment adviser
Prentice Wealth Management LLC is an SEC registered investment adviser with its main office in Rochester, New York and reports $568 million in regulatory assets under management in its Form ADV filed May 26, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and subscription fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 160052
- SEC file number
- 801-76490
- SEC status
- Approved, effective April 24, 2012
- Main office
- 1150 Penfield Rd., Rochester, NY 14625
- Phone
- (585) 218-0001
- Regulatory AUM
- $567,504,623 in the Form ADV filed May 26, 2026
- Discretionary AUM
- $550,277,246
- Non discretionary AUM
- $17,227,377
- Accounts
- 1,034
- Employees
- 14, of which 4 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, subscription fees, fixed fees
- Other offices
- 2
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- May 26, 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) | 974 | $416.3 million |
| High net worth individuals | 50 | $132 million |
| Corporations or other businesses | 5 | $14.2 million |
| Other investment advisers | Fewer than 5 | $3.4 million |
| Charitable organizations | Fewer than 5 | $1.6 million |
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 | $567.5 million | February 23, 2026 |
| December 1, 2025 | $467.2 million | July 10, 2025 |
Other advisers in Rochester
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Ashton Thomas Securities, LLC | Rochester | $1.86 billion | Not listed | adviserinfo.sec.gov |
| Novem Group | Rochester | $1.72 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 |
| Rise Advisors, LLC | Rochester | $441.2 million | Not listed | adviserinfo.sec.gov |
| Lifemark Securities Corp. | Rochester | $424.9 million | Not listed | adviserinfo.sec.gov |
| Indiano Capital Management | Rochester | $253.8 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Rochester, NY
- Investment advisers in New York
- Advisers with $500 million to $1 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Prentice Wealth Management LLC 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.