{ "path": "/advisors/ny/rochester/for-businesses", "url": "https://advisorcensus.com/advisors/ny/rochester/for-businesses", "page_type": "metro_answer", "title": "Financial advisors for businesses in Rochester, NY", "filters": {}, "scope_total": 36, "faq": [ { "q": "Which financial advisors in Rochester, NY work with businesses?", "a": "36 investment advisory firms with a principal office in the Rochester metro area report businesses among their clients on Form ADV Item 5.D, as of October 2026; this page lists them. Form ADV Item 5.D asks every registered adviser which types of clients it advises, with the number of each and the assets it manages for them; a firm appears here when it reports at least one." }, { "q": "How many financial advisory firms are there in Rochester, NY?", "a": "AdvisorCensus lists 108 investment advisory firms with a principal office in the Rochester metro area, from Form ADV filings as of October 2026: 74 SEC-registered, 29 state-registered, and 5 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in Rochester, NY?", "a": "46 of the 108 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in Rochester, NY offer financial planning?", "a": "75 of the 103 firms in Rochester, NY that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in Rochester, NY fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 46 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "AdvisorCensus lists 36 investment advisory firms with a principal office in the Rochester metro area that report businesses among their clients on Form ADV Item 5.D, from filings as of October 2026. Item 5.D asks each firm which types of clients it advises; reporting a client type means the firm serves it, not that it serves only that type. Firms are listed alphabetically; each firm's page lists its client types as filed.", "about_market": "Rochester has 108 investment advisory firms with a principal office in the metro area as of October 2026: 74 SEC-registered, 29 state-registered, and 5 exempt reporting advisers. 46 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 44 report under $100 million in regulatory assets under management. The metro area has 445,836 households, 43,867 of them with income of $200,000 or more, or 406 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).", "citation": "AdvisorCensus. Financial advisors for businesses in Rochester, NY: 36 firms from Form ADV filings as of October 2026.", "total_firms": 36, "page": 1, "total_pages": 1, "sort": "name", "registration_types": { "sec": 33, "state": 3, "exempt": 0 }, "fee_model_mix": [ { "code": "fee-only", "count": 13 }, { "code": "percentage_of_aum", "count": 36 }, { "code": "hourly", "count": 20 }, { "code": "subscription", "count": 1 }, { "code": "fixed", "count": 25 }, { "code": "commissions", "count": 1 }, { "code": "performance_based", "count": 5 }, { "code": "other", "count": 5 }, { "code": "not_reported", "count": 0 } ], "years_registered_distribution": [ { "code": "under_5", "count": 12 }, { "code": "5_to_9", "count": 7 }, { "code": "10_to_19", "count": 8 }, { "code": "20_plus", "count": 9 }, { "code": "not_reported", "count": 0 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 2 }, { "code": "25m_100m", "count": 5 }, { "code": "100m_500m", "count": 13 }, { "code": "500m_1b", "count": 6 }, { "code": "1b_5b", "count": 8 }, { "code": "over_5b", "count": 2 }, { "code": "not_reported", "count": 0 } ], "firms": [ { "crd_number": 339091, "name": "Alesco Advisors, LLC, an ESL Company", "name_as_filed": "ALESCO ADVISORS, LLC, AN ESL COMPANY", "url": "https://advisorcensus.com/firm/alesco-advisors-llc-an-esl-company-pittsford-ny-339091", "city": "Pittsford", "state": "NY", "years_registered": 0, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "enhanced": false }, { "crd_number": 151590, "name": "Armbruster Capital Management, Inc.", "name_as_filed": "ARMBRUSTER CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/armbruster-capital-management-inc-pittsford-ny-151590", "city": "Pittsford", "state": "NY", "years_registered": 16, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 114238, "name": "Ashford Advisors, LLC", "name_as_filed": "ASHFORD ADVISORS, LLC", "url": "https://advisorcensus.com/firm/ashford-advisors-llc-pittsford-ny-114238", "city": "Pittsford", "state": "NY", "years_registered": 25, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 16629, "name": "Ashton Thomas Securities, LLC", "name_as_filed": "ASHTON THOMAS SECURITIES, LLC", "url": "https://advisorcensus.com/firm/ashton-thomas-securities-llc-rochester-ny-16629", "city": "Rochester", "state": "NY", "years_registered": 18, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 341095, "name": "Blue Horizon Equity, Inc.", "name_as_filed": "BLUE HORIZON EQUITY, INC.", "url": "https://advisorcensus.com/firm/blue-horizon-equity-inc-pittsford-ny-341095", "city": "Pittsford", "state": "NY", "years_registered": 0, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 284920, "name": "Bright Futures Wealth Management, LLC", "name_as_filed": "BRIGHT FUTURES WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/bright-futures-wealth-management-llc-webster-ny-284920", "city": "Webster", "state": "NY", "years_registered": 9, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 3875, "name": "Brighton Securities Corp.", "name_as_filed": "BRIGHTON SECURITIES CORP.", "url": "https://advisorcensus.com/firm/brighton-securities-corp-rochester-ny-3875", "city": "Rochester", "state": "NY", "years_registered": 23, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 124122, "name": "COOPER/HAIMS Advisors, LLC", "name_as_filed": "COOPER/HAIMS ADVISORS, LLC", "url": "https://advisorcensus.com/firm/cooper-haims-advisors-llc-victor-ny-124122", "city": "Victor", "state": "NY", "years_registered": 23, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 157054, "name": "Elevation Investment Consulting", "name_as_filed": "ELEVATION INVESTMENT CONSULTING", "url": "https://advisorcensus.com/firm/elevation-investment-consulting-rochester-ny-157054", "city": "Rochester", "state": "NY", "years_registered": 6, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 325629, "name": "Elevatus Wealth Management, LLC", "name_as_filed": "ELEVATUS WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/elevatus-wealth-management-llc-victor-ny-325629", "city": "Victor", "state": "NY", "years_registered": 3, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 341229, "name": "Factorpoint Planning, LLC", "name_as_filed": "FACTORPOINT PLANNING, LLC", "url": "https://advisorcensus.com/firm/factorpoint-planning-llc-pittsford-ny-341229", "city": "Pittsford", "state": "NY", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 114951, "name": "Fien Capital Management, LLC", "name_as_filed": "FIEN CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/fien-capital-management-llc-rochester-ny-114951", "city": "Rochester", "state": "NY", "years_registered": 25, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 334771, "name": "FLFS Advisory LLC", "name_as_filed": "FLFS ADVISORY LLC", "url": "https://advisorcensus.com/firm/flfs-advisory-llc-victor-ny-334771", "city": "Victor", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "performance_based" ], "enhanced": false }, { "crd_number": 281503, "name": "Flower City Capital LLC", "name_as_filed": "FLOWER CITY CAPITAL LLC", "url": "https://advisorcensus.com/firm/flower-city-capital-llc-pittsford-ny-281503", "city": "Pittsford", "state": "NY", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 333306, "name": "Honeoye Falls Capital LLC", "name_as_filed": "HONEOYE FALLS CAPITAL LLC", "url": "https://advisorcensus.com/firm/honeoye-falls-capital-llc-honeoye-falls-ny-333306", "city": "Honeoye Falls", "state": "NY", "years_registered": 1, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 104627, "name": "Howe and Rusling, Inc.", "name_as_filed": "HOWE AND RUSLING, INC.", "url": "https://advisorcensus.com/firm/howe-and-rusling-inc-rochester-ny-104627", "city": "Rochester", "state": "NY", "years_registered": 85, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 325574, "name": "Hyjc Capital of WNY", "name_as_filed": "HYJC CAPITAL OF WNY", "url": "https://advisorcensus.com/firm/hyjc-capital-of-wny-lakeville-ny-325574", "city": "Lakeville", "state": "NY", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 122620, "name": "Indiano Capital Management", "name_as_filed": "INDIANO CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/indiano-capital-management-rochester-ny-122620", "city": "Rochester", "state": "NY", "years_registered": 20, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 110275, "name": "Karpus Investment Management", "name_as_filed": "KARPUS INVESTMENT MANAGEMENT", "url": "https://advisorcensus.com/firm/karpus-investment-management-pittsford-ny-110275", "city": "Pittsford", "state": "NY", "years_registered": 39, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 285136, "name": "Layline Advisors", "name_as_filed": "LAYLINE ADVISORS", "url": "https://advisorcensus.com/firm/layline-advisors-rochester-ny-285136", "city": "Rochester", "state": "NY", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 159403, "name": "LVW Advisors, LLC", "name_as_filed": "LVW ADVISORS, LLC", "url": "https://advisorcensus.com/firm/lvw-advisors-llc-pittsford-ny-159403", "city": "Pittsford", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "enhanced": false }, { "crd_number": 285044, "name": "Lynnleigh & Company, LLC", "name_as_filed": "LYNNLEIGH & COMPANY, LLC", "url": "https://advisorcensus.com/firm/lynnleigh-and-company-llc-pittsford-ny-285044", "city": "Pittsford", "state": "NY", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 105992, "name": "Manning & Napier Advisors, LLC", "name_as_filed": "MANNING & NAPIER ADVISORS, LLC", "url": "https://advisorcensus.com/firm/manning-and-napier-advisors-llc-fairport-ny-105992", "city": "Fairport", "state": "NY", "years_registered": 51, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 289116, "name": "Milestones Private Investment Advisors LLC", "name_as_filed": "MILESTONES PRIVATE INVESTMENT ADVISORS LLC", "url": "https://advisorcensus.com/firm/milestones-private-investment-advisors-llc-fairport-ny-289116", "city": "Fairport", "state": "NY", "years_registered": 9, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 288758, "name": "Nexus Capital, LLC", "name_as_filed": "NEXUS CAPITAL, LLC", "url": "https://advisorcensus.com/firm/nexus-capital-llc-pittsford-ny-288758", "city": "Pittsford", "state": "NY", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 158964, "name": "Novem Group", "name_as_filed": "NOVEM GROUP", "url": "https://advisorcensus.com/firm/novem-group-rochester-ny-158964", "city": "Rochester", "state": "NY", "years_registered": 15, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 317854, "name": "Piano Wealth Management", "name_as_filed": "PIANO WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/piano-wealth-management-victor-ny-317854", "city": "Victor", "state": "NY", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 160052, "name": "Prentice Wealth Management LLC", "name_as_filed": "PRENTICE WEALTH MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/prentice-wealth-management-llc-rochester-ny-160052", "city": "Rochester", "state": "NY", "years_registered": 14, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "subscription", "fixed" ], "enhanced": false }, { "crd_number": 125580, "name": "Professional Financial", "name_as_filed": "PROFESSIONAL FINANCIAL", "url": "https://advisorcensus.com/firm/professional-financial-pittsford-ny-125580", "city": "Pittsford", "state": "NY", "years_registered": 10, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 329749, "name": "RDG Capital Management LLC", "name_as_filed": "RDG CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/rdg-capital-management-llc-pittsford-ny-329749", "city": "Pittsford", "state": "NY", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 309760, "name": "Rise Advisors, LLC", "name_as_filed": "RISE ADVISORS, LLC", "url": "https://advisorcensus.com/firm/rise-advisors-llc-rochester-ny-309760", "city": "Rochester", "state": "NY", "years_registered": 6, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 335275, "name": "Rothrock Financial Group", "name_as_filed": "ROTHROCK FINANCIAL GROUP", "url": "https://advisorcensus.com/firm/rothrock-financial-group-fairport-ny-335275", "city": "Fairport", "state": "NY", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 3254, "name": "Sage, Rutty & Co., Inc.", "name_as_filed": "SAGE, RUTTY & CO., INC.", "url": "https://advisorcensus.com/firm/sage-rutty-and-co-inc-rochester-ny-3254", "city": "Rochester", "state": "NY", "years_registered": 36, "raum_band": 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"https://advisorcensus.com/firm/wgs-management-services-inc-rochester-ny-270003", "city": "Rochester", "state": "NY", "years_registered": 0, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false } ], "states": [], "metros": [], "siblings": { "national": "/advisors", "state": { "path": "/advisors/ny", "label": "Financial advisors in New York" }, "metro": { "path": "/advisors/ny/rochester", "label": "Financial advisors in Rochester, NY" }, "city_pages": [ { "path": "/advisors/ny/rochester/pittsford", "label": "Financial advisors in Pittsford, NY", "firm_count": 34 } ], "fee_pages": [ { "path": "/advisors/ny/rochester/fee-only", "label": "Fee-only financial advisors in Rochester, NY", "firm_count": 46 }, { "path": "/advisors/ny/rochester/flat-fee", "label": "Flat-fee financial advisors in Rochester, NY", "firm_count": 60 }, { "path": "/advisors/ny/rochester/hourly", "label": "Hourly financial advisors in Rochester, NY", "firm_count": 46 } ], "answer_pages": [ { "path": "/advisors/ny/rochester/for-high-net-worth-individuals", "firm_count": 82, "label": "Financial advisors for high-net-worth individuals in Rochester, NY" }, { "path": "/advisors/ny/rochester/for-retirement-plans", "firm_count": 31, "label": "Financial advisors for retirement plans in Rochester, NY" }, { "path": "/advisors/ny/rochester/for-charities", "firm_count": 36, "label": "Financial advisors for charitable organizations in Rochester, NY" }, { "path": "/advisors/ny/rochester/no-account-minimum", "firm_count": 18, "label": "Financial advisors with no account minimum in Rochester, NY" } ], "niche_pages": [ { "path": "/advisors/ny/rochester/business-owners", "firm_count": 1, "label": "Financial advisors for business owners in Rochester, NY" } ] }, "csv": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }