AdvisorCensus / Financial advisors / New York / Rochester / Rothrock Financial Group
Rothrock Financial Group
Filed as ROTHROCK FINANCIAL GROUP · Legal name Rothrock Financial
Rothrock Financial Group is a state-registered investment advisory firm in Fairport, NY, registered since 2025, reporting under $25 million in regulatory assets under management in its Form ADV filing dated January 7, 2026.
Quick answers
From the filingHow is Rothrock Financial Group compensated?
On its Form ADV (Item 5.E, October 2026), Rothrock Financial Group reports these compensation arrangements: a percentage of assets under its management.
Where is Rothrock Financial Group located?
Rothrock Financial Group's principal office is in Fairport, NY, according to its Form ADV.
Is Rothrock Financial Group registered with the SEC or a state?
Rothrock Financial Group is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 335275.
How much does Rothrock Financial Group manage?
Rothrock Financial Group reports $10,000,000 in regulatory assets under management in its Form ADV filing dated January 7, 2026 (0% discretionary).
What types of clients does Rothrock Financial Group serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1).
Does Rothrock Financial Group report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/335275
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$10,000,000 as of October 2026, filing dated January 7, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Other
Registration and firm details
Items 1, 2, 5- Legal name
- Rothrock Financial
- Registration
- State-registered investment adviser. Status as filed: APPROVED.
- Registered since
- 2025 (1 year)
- Employees
- Total: 1. Performing investment advisory functions: 0.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
State-registered investment advisers are examined by their state securities regulator. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Rothrock Financial Group (CRD 335275): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/rothrock-financial-group-fairport-ny-335275