# Financial advisors in Rochester, NY

> AdvisorCensus lists 108 investment advisory firms with a principal office in the Rochester metro area, drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; sort by years registered or assets band using the controls below. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.

Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/ny/rochester/page/3

## At a glance

- Investment advisory firms: 108
- Registration: SEC-registered investment adviser: 74, State-registered investment adviser: 29, Exempt reporting adviser: 5
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 46 (45%); Percentage of assets 92 (89%); Hourly charges 46 (45%); Subscription fees (newsletter or periodical) 2 (2%); Fixed fees 60 (58%); Commissions 3 (3%); Performance-based fees 8 (8%); Other 11 (11%); No compensation arrangements reported 5
- Regulatory assets under management (Item 5.F): Under $25 million 17 (16%); $25 million to $100 million 27 (25%); $100 million to $500 million 28 (26%); $500 million to $1 billion 9 (8%); $1 billion to $5 billion 11 (10%); Over $5 billion 2 (2%); Not reported 14 (13%)
- Years registered: Under 5 years 37 (34%); 5 to 9 years 23 (21%); 10 to 19 years 25 (23%); 20 years or more 23 (21%)

## Firms (page 3 of 3, 101 to 108 of 108, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [The Pitti Group Wealth Management, LLC](https://advisorcensus.com/firm/the-pitti-group-wealth-management-llc-victor-ny-314685) ([md](https://advisorcensus.com/firm/the-pitti-group-wealth-management-llc-victor-ny-314685.md)) | 314685 | Victor, NY | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Hourly, Fixed fee |
| [Transparent Wealth Consulting LLC](https://advisorcensus.com/firm/transparent-wealth-consulting-llc-new-york-ny-283193) ([md](https://advisorcensus.com/firm/transparent-wealth-consulting-llc-new-york-ny-283193.md)) | 283193 | New York, NY | SEC-registered investment adviser | $25 million to $100 million | 8 | % of assets, Hourly, Fixed fee |
| [Two Point Capital Management, Inc.](https://advisorcensus.com/firm/two-point-capital-management-inc-pittsford-ny-131816) ([md](https://advisorcensus.com/firm/two-point-capital-management-inc-pittsford-ny-131816.md)) | 131816 | Pittsford, NY | SEC-registered investment adviser | $100 million to $500 million | 13 | % of assets |
| [Upstate Advisers Inc](https://advisorcensus.com/firm/upstate-advisers-inc-pittsford-ny-341449) ([md](https://advisorcensus.com/firm/upstate-advisers-inc-pittsford-ny-341449.md)) | 341449 | Pittsford, NY | SEC-registered investment adviser | $25 million to $100 million | 0 | % of assets |
| [W & S Management Services, Inc.](https://advisorcensus.com/firm/w-and-s-management-services-inc-rochester-ny-127852) ([md](https://advisorcensus.com/firm/w-and-s-management-services-inc-rochester-ny-127852.md)) | 127852 | Rochester, NY | SEC-registered investment adviser | $100 million to $500 million | 18 | % of assets, Hourly, Fixed fee, Performance fee |
| [Wealth Strategies & Solutions, Ltd.](https://advisorcensus.com/firm/wealth-strategies-and-solutions-ltd-rochester-ny-297130) ([md](https://advisorcensus.com/firm/wealth-strategies-and-solutions-ltd-rochester-ny-297130.md)) | 297130 | Rochester, NY | State-registered investment adviser | Under $25 million | 8 | % of assets, Hourly, Other |
| [WGS Management Services, Inc](https://advisorcensus.com/firm/wgs-management-services-inc-rochester-ny-270003) ([md](https://advisorcensus.com/firm/wgs-management-services-inc-rochester-ny-270003.md)) | 270003 | Rochester, NY | SEC-registered investment adviser | $25 million to $100 million | 0 | % of assets, Hourly |
| [Whitney & Company](https://advisorcensus.com/firm/whitney-and-company-rochester-ny-117307) ([md](https://advisorcensus.com/firm/whitney-and-company-rochester-ny-117307.md)) | 117307 | Rochester, NY | SEC-registered investment adviser | $1 billion to $5 billion | 24 | % of assets, Fixed fee |

- Previous page: https://advisorcensus.com/advisors/ny/rochester/page/2.md

## Questions people ask

**How many financial advisory firms are there in Rochester, NY?**
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.

**How many fee-only financial advisors are in Rochester, NY?**
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.

**How many financial advisors in Rochester, NY offer financial planning?**
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.

**Are the financial advisors in Rochester, NY fiduciaries?**
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.

**How do I check whether a financial advisor has disciplinary disclosures?**
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.

**Does AdvisorCensus rate, verify, or recommend these firms?**
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.

**What does regulatory assets under management mean?**
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.

## Related pages

- [Financial advisors in New York](https://advisorcensus.com/advisors/ny) (https://advisorcensus.com/advisors/ny.md)
- [Financial advisors in Rochester, NY](https://advisorcensus.com/advisors/ny/rochester) (https://advisorcensus.com/advisors/ny/rochester.md)
- [Fee-only financial advisors in Rochester, NY](https://advisorcensus.com/advisors/ny/rochester/fee-only) (https://advisorcensus.com/advisors/ny/rochester/fee-only.md)
- [Flat-fee financial advisors in Rochester, NY](https://advisorcensus.com/advisors/ny/rochester/flat-fee) (https://advisorcensus.com/advisors/ny/rochester/flat-fee.md)
- [Hourly financial advisors in Rochester, NY](https://advisorcensus.com/advisors/ny/rochester/hourly) (https://advisorcensus.com/advisors/ny/rochester/hourly.md)
- [Financial advisors for business owners in Rochester, NY](https://advisorcensus.com/advisors/ny/rochester/business-owners) (https://advisorcensus.com/advisors/ny/rochester/business-owners.md)
- [Financial advisors in Pittsford, NY](https://advisorcensus.com/advisors/ny/rochester/pittsford) (https://advisorcensus.com/advisors/ny/rochester/pittsford.md)
- [Financial advisors in New York](https://advisorcensus.com/advisors/ny/new-york) (https://advisorcensus.com/advisors/ny/new-york.md)
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- [Financial advisors in Buffalo](https://advisorcensus.com/advisors/ny/buffalo) (https://advisorcensus.com/advisors/ny/buffalo.md)
- [Financial advisors in Syracuse](https://advisorcensus.com/advisors/ny/syracuse) (https://advisorcensus.com/advisors/ny/syracuse.md)
- [Financial advisors in Kiryas Joel](https://advisorcensus.com/advisors/ny/kiryas-joel) (https://advisorcensus.com/advisors/ny/kiryas-joel.md)
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- [Financial advisors in Ithaca](https://advisorcensus.com/advisors/ny/ithaca) (https://advisorcensus.com/advisors/ny/ithaca.md)

Every firm in this list as CSV: https://advisorcensus.com/advisors/ny/rochester.csv

Cite as: AdvisorCensus. Financial advisors in Rochester, NY: 108 firms from Form ADV filings as of October 2026.