Rise Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, educational seminars, education planning, estate planning, and insurance. Financial planning was provided to 11–25 clients last fiscal year.
Rise Advisors reports 472 clients. They include 356 individual clients, 108 high-net-worth individuals and 5 charitable organizations. Of its assets, 94.5% ($417M across 1,194 accounts) are managed with discretion; $24.1M across 160 accounts are not. It advised 7 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 75% | 30% |
| High-net-worth individuals | 23% | 54% |
| Charitable organizations | 1% | 15% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 356 | $134M | 30.5% | $378K |
| High-net-worth individuals | 108 | $236M | 53.6% | $2.19M |
| Charitable organizations | 5 | $66.1M | 15.0% | $13.2M |
| Corporations and other businesses | 3 | $4.31M | 1.0% | $1.44M |
| Total | 472 | $441M | 100% | $935K |
- Clients
- 356
- Regulatory AUM
- $134M
- AUM share
- 30.5%
- Avg. per client
- $378K
- Clients
- 108
- Regulatory AUM
- $236M
- AUM share
- 53.6%
- Avg. per client
- $2.19M
- Clients
- 5
- Regulatory AUM
- $66.1M
- AUM share
- 15.0%
- Avg. per client
- $13.2M
- Clients
- 3
- Regulatory AUM
- $4.31M
- AUM share
- 1.0%
- Avg. per client
- $1.44M
Total
- Clients
- 472
- Regulatory AUM
- $441M
- AUM share
- 100%
- Avg. per client
- $935K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 7
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Rise Advisors charges 0.25%–1.00% a year for its Investment Management Fees. The fee is billed in arrears and is negotiable. The brochure also prices 3 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Stand-alone planning or consulting is $200 to $400 per hour or a fixed fee of $750 to $25,000, negotiated in advance.
- Retirement Plan Services
- Negotiable, from 0.50% to 1.00% of plan assets, based on plan needs and plan asset size; additional plan consulting is a separate flat fee.
- Variable Annuity Advisory
- Negotiable depending on assets and scope, with a maximum of 1.00%, charged quarterly under the client's agreement with the insurer.
Mark Jones owns 25% to 50% of Rise Advisors. It has 9 employees, 7 of them in advisory roles.
Leadership
Zachary HarringtonPartner
Mark JonesPartner
Stephanie KelmCCO, Partner
Investment adviser representatives
8 representatives listed in the SEC register as of 9 October 2026.
Staff
- 9 employees
- 7 in advisory functions
- 7 state-registered reps
- 5 insurance agents
- Owns 25% to 50% of Rise Advisors, LLC
Mark Jones
Control person · since June 2020
- Owns 25% to 50% of Rise Advisors, LLC
Zachary Harrington
Control person · since June 2020
- Owns 25% to 50% of Rise Advisors, LLC
Stephanie Kelm
Control person · since June 2020
Rise Advisors’ regulatory assets grew 2.6× from $171M (March 2021) to $441M (August 2026); clients rose from 297 to 472 and employees from 5 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| August 2026 | $441M | 472 | 9 | 1 |
| March 2025 | $341M | 426 | 7 | 1 |
| March 2024 | $250M | 425 | 7 | 1 |
| May 2023 | $200M | 408 | 7 | 1 |
| April 2022 | $188M | 759 | 6 | 1 |
| March 2021 | $171M | 297 | 5 | 1 |
Besides its headquarters, Rise Advisors has 0 offices, with 1 listed address in New York.
New York · 1 listed address
- 500 Linden Oaks, Suite 320, RochesterHQ
Contact and registration details
- Legal name
- Rise Advisors, LLC
- Headquarters
- 500 Linden Oaks, Suite 320, Rochester, NY 14625
- Website
- riseadvisorsgroup.com
- Phone
- 585-565-3444
- @rise-advisors-llc
- SEC file
- 801-119066
- Structure
- New York LLC
- Fiscal year end
- December
Rise Advisors uses Fidelity ($441M) as custodian for its separately managed accounts. Rise Advisors has custody of $3.94M in client assets for 5 clients.
- FidelityNational Financial Services LLC · Boston, MA · $441M100%
At year end, Rise Advisors’ separately managed accounts were mostly in funds (75%) and stocks (18%). Its reported 13F holdings for the quarter ended 30 June 2026 total $355M across 103 positions; the largest are Vanguard Growth ETF (14.8%), First Trust Rising Dividend Achievers ETF (11.2%) and Vanguard Core Bond ETF (10.0%).
What the accounts hold
- Stocks18%
- Funds75%
- Registered funds67%
- Pooled vehicles8%
- Bonds2%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash5%
Reported 13F holdings
- $355M
- Reported 13F value
- 103
- Positions
- 76.7%
- In the 10 largest
- +25.2%
- Value vs. prior quarter
- Vanguard Growth ETFETF14.8%
- First Trust Rising Dividend Achievers ETFETF11.2%
- Vanguard Core Bond ETFETF10.0%
- Vanguard Value ETFETF8.7%
- Fidelity Total Bond ETFETF7.3%
- Janus Henderson Small/mid Cap Growth Alpha ETFETF7.3%
- FT Vest Laddered Moderate Buffer ETFETF5.5%
- FT Vest Investment Grade & Target Income ETFETF5.3%
- Janus Henderson Short Duration Income ETFETF3.8%
- Janus Henderson Securitized Income ETFETF2.7%
Together, the ten largest are 76.7% of reported value.
How many clients does Rise Advisors have?
Rise Advisors has 472 clients and manages $441 million for them, as of August 2026. They include 356 individual clients, 108 high-net-worth individuals and 5 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 17 August 2026
What services does Rise Advisors offer?
Rise Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, educational seminars, education planning, estate planning, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Rise Advisors charge?
Rise Advisors charges 0.25%–1.00% a year for its Investment Management Fees. The fee is billed in arrears and is negotiable.
Which custodians does Rise Advisors use?
Rise Advisors’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $441M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 August 2026
How many financial advisors does Rise Advisors have?
Rise Advisors has 7 investment adviser representatives registered with state securities authorities, out of 9 employees, and 7 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Rise Advisors invest in?
At the end of its last fiscal year, Rise Advisors’ separately managed accounts held 67% registered funds (mutual funds, ETFs, BDCs), 18% exchange-traded equities, 8% pooled vehicles (private funds and similar), 5% cash and equivalents, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Rise Advisors?
Rise Advisors’ direct owners are Mark Jones, Zachary Harrington and Stephanie Kelm, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 17 August 2026
How does Rise Advisors get paid?
Rise Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Rise Advisors?
Rise Advisors’ main office is at 500 Linden Oaks, Suite 320, Rochester, NY 14625. Its phone number is 585-565-3444. Its website is riseadvisorsgroup.com.