Rochester Wealth Strategies provides portfolio management for individuals and small businesses and pension consulting.
Rochester Wealth Strategies reports 141 clients. They include 80 high-net-worth individuals, 60 individual clients and 1 corporate or other business client. Of its assets, 96.1% ($196M across 446 accounts) are managed with discretion; $7.86M across 32 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 43% | 17% |
| High-net-worth individuals | 57% | 83% |
| 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) | 60 | $34.3M | 16.9% | $572K |
| High-net-worth individuals | 80 | $169M | 83.1% | $2.12M |
| Corporations and other businesses | Fewer than 5 | $8.69K | 0.0% | $8.69K |
| Total | 141 | $204M | 100% | — |
- Clients
- 60
- Regulatory AUM
- $34.3M
- AUM share
- 16.9%
- Avg. per client
- $572K
- Clients
- 80
- Regulatory AUM
- $169M
- AUM share
- 83.1%
- Avg. per client
- $2.12M
- Clients
- Fewer than 5
- Regulatory AUM
- $8.69K
- AUM share
- 0.0%
- Avg. per client
- $8.69K
Total
- Clients
- 141
- Regulatory AUM
- $204M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Rochester Wealth Strategies charges 0.50%–1.50% a year for its Wealth Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Held-Away Account Management
- An advisory fee on held-away accounts, based on the full portfolio value under a schedule in each client's Exhibit A; the brochure states no rate.
Dominic Garcia owns 75% or more of Rochester Wealth Strategies. The leadership team of Rochester Wealth Strategies includes Chief Compliance Officer Xenia Woltmann. It has 5 employees, 4 of them in advisory roles.
Staff
- 5 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 75% or more of Rochester Wealth Strategies, LLC
Dominic Garcia
Control person · since September 2018
Rochester Wealth Strategies’ regulatory assets grew from $151M (July 2025) to $204M (August 2026); clients were 141 in both filings and employees fell from 6 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Aug 2026August 2026 | $204M | 141 | 5 | 1 |
| Jul 2025July 2025 | $151M | 142 | 6 | 1 |
Besides its headquarters, Rochester Wealth Strategies has 0 offices, with 1 listed address in 1 state.
Michigan · 1 listed address
- 439 S. Main Street, Suite 250, RochesterHQ
Other business names
Rochester Wealth Strategies has reported 2 other business names to the SEC.
- Retire Confident Community
- Rochester Wealth
Contact and registration details
- Legal name
- Rochester Wealth Strategies, LLC
- Headquarters
- 439 S. Main Street, Suite 250, Rochester, MI 48307
- Phone
- 248-434-6550
- @rochester-wealth-strategies
- SEC file
- 801-131112
- Structure
- Michigan LLC
- Fiscal year end
- December
Rochester Wealth Strategies’ named custodian for separately managed accounts is Charles Schwab ($204M). Rochester Wealth Strategies has custody of $55.1M for 103 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $204M100%
At year end, Rochester Wealth Strategies’ separately managed accounts were mostly in funds (94%). Its reported 13F holdings for the quarter ended 30 June 2026 total $181M across 27 positions; the largest are Vanguard Index Fds (14.2%), Vanguard Index Fds (13.5%) and Vanguard Tax-managed Fds (10.3%).
What the accounts hold
- Stocks4%
- Funds94%
- Bonds1%
- Cash2%
How many clients does Rochester Wealth Strategies have?
Rochester Wealth Strategies has 141 clients and manages $204 million for them, as of August 2026. They include 80 high-net-worth individuals, 60 individual clients and 1 corporate or other business client.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 20 August 2026
What services does Rochester Wealth Strategies offer?
Rochester Wealth Strategies provides portfolio management for individuals and small businesses and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Rochester Wealth Strategies charge?
Rochester Wealth Strategies charges 0.50%–1.50% a year for its Wealth Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000.
Source: ROCHESTER WEALTH STRATEGIES DISCLOSURE BROCHURE, filed 20 August 2026
Which custodians does Rochester Wealth Strategies use?
Rochester Wealth Strategies’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $204M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 August 2026
How many financial advisors does Rochester Wealth Strategies have?
Rochester Wealth Strategies has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Rochester Wealth Strategies invest in?
At the end of its last fiscal year, Rochester Wealth Strategies’ separately managed accounts held 94% registered funds (mutual funds, ETFs, BDCs), 4% exchange-traded equities, 2% cash and equivalents and 1% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Rochester Wealth Strategies have a minimum investment?
Yes, Rochester Wealth Strategies’ minimum account size for its Wealth Management is $500K.
Source: ROCHESTER WEALTH STRATEGIES DISCLOSURE BROCHURE, filed 20 August 2026
Who owns Rochester Wealth Strategies?
Rochester Wealth Strategies’ direct owner is Dominic Garcia (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 20 August 2026
How does Rochester Wealth Strategies get paid?
Rochester Wealth Strategies is paid through a percentage of assets under management. 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 Rochester Wealth Strategies?
Rochester Wealth Strategies’ main office is at 439 S. Main Street, Suite 250, Rochester, MI 48307. Its phone number is 248-434-6550. Its website is rochesterwealthstrategies.com.
