{"url":"https://nivawealth.com/firms/rochester-wealth-strategies-299150","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/299150","regulatoryAum":203645357,"crd":"299150","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5358850","suffix":null,"lastName":"Garcia","firstName":"Dominic","middleName":null},{"crd":"7024766","suffix":null,"lastName":"Lobaza","firstName":"Julie","middleName":"Ann-Frakes"},{"crd":"4256157","suffix":null,"lastName":"WOLTMANN","firstName":"XENIA","middleName":"KRISTINA"},{"crd":"5571294","suffix":null,"lastName":"YANG","firstName":"ZHAOJI","middleName":"GEORGE"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-07-18","regulatoryAum":150810110,"clients":142,"employees":6,"offices":1},{"filedOn":"2026-08-20","regulatoryAum":203645357,"clients":141,"employees":5,"offices":1}],"secFileNumber":"801-131112","legalName":"Rochester Wealth Strategies, LLC","displayName":"Rochester Wealth Strategies","slug":"rochester-wealth-strategies-299150","website":"https://rochesterwealthstrategies.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/rochester-wealth-strategies/","founded":null,"organization":"Michigan limited liability company","fiscalYearEnd":"December","headquarters":{"street":"439 S. 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rochester Wealth Strategies offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Rochester Wealth Strategies charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Rochester Wealth Strategies use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rochester Wealth Strategies have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Rochester Wealth Strategies invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Rochester Wealth Strategies have a minimum investment?","answer":"Yes, Rochester Wealth Strategies’ minimum account size for its Wealth Management is $500K.","source":"ROCHESTER WEALTH STRATEGIES DISCLOSURE BROCHURE, filed 20 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Rochester Wealth Strategies?","answer":"Rochester Wealth Strategies’ direct owner is Dominic Garcia (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rochester Wealth Strategies get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Rochester Wealth Strategies?","answer":"Rochester Wealth Strategies’ main office is at 439 S. Main Street, Suite 250, Rochester, MI 48307. Its phone number is 248-434-6550. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}