Data / Investment advisers / New York / Rochester Investments
Rochester Investments, Rochester, NY: $69.5 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Rochester Investments is an SEC registered investment adviser with its main office in Rochester, New York and reports $69.5 million in regulatory assets under management in its Form ADV filed March 13, 2026. Its clients include high net worth individuals and individuals. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch Rochester Investments (CRD number 306782): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 306782
- SEC file number
- 801-119583
- SEC status
- Approved, effective October 5, 2020
- Legal name
- Rochester Investments Inc
- Main office
- 1580 W Ridge Rd, Rochester, NY 14615
- Phone
- (585) 568-6656
- Website
- rochesterinvestments.com
- Regulatory AUM
- $69,546,598 in the Form ADV filed March 13, 2026
- Discretionary AUM
- $69,546,598
- Accounts
- 300
- Employees
- 1, of which 1 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 13, 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 |
|---|---|---|
| High net worth individuals | 24 | $40.8 million |
| Individuals (other than high net worth individuals) | 123 | $28.7 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 |
|---|---|---|
| April 1, 2026 | $69.5 million | March 13, 2026 |
| December 1, 2025 | $58.7 million | November 21, 2025 |
Other advisers in Rochester
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Fien Capital Management, LLC | Rochester | $137.7 million | Not listed | adviserinfo.sec.gov |
| Layline Advisors | Rochester | $131.3 million | Not listed | adviserinfo.sec.gov |
| Hayes Asset Management, LLC | Rochester | $116.6 million | Not listed | adviserinfo.sec.gov |
| Engleson & Associates | Rochester | $114.5 million | Not listed | adviserinfo.sec.gov |
| Oak Crest Advisory, LLC | Rochester | $90.2 million | Not listed | adviserinfo.sec.gov |
| Iconoclastic Capital Management LLC | Rochester | $68.2 million | Not listed | adviserinfo.sec.gov |
| Impellent Ventures | Rochester | Not listed | 8 | adviserinfo.sec.gov |
| Excell Technology Ventures | Rochester | Not listed | 6 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Rochester, NY
- Investment advisers in New York
- Advisers with $50 million to $100 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Rochester Investments on the SEC's adviser search
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.