Sage, Rutty & Co. provides financial planning, portfolio management for individuals and small businesses, selecting other managers, publishing newsletters, and educational seminars. Financial planning was provided to 51–100 clients last fiscal year.
Sage, Rutty & Co. reports 8,613 clients. They include 6,892 individual clients, 1,292 high-net-worth individuals, and 300 corporations and other businesses. Of its assets, 51.9% ($1.8B across 3,974 accounts) are managed with discretion; $1.66B across 4,189 accounts are not. It advised 60 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 80% | 80% |
| High-net-worth individuals | 15% | 15% |
| Banking or thrift institutions | Fewer than 5 | 0% |
| Pension and profit-sharing plans | Fewer than 5 | 0% |
| Charitable organizations | 1% | 1% |
| Other client typesState or municipal government entities; Other investment advisers; Insurance companies; Sovereign wealth funds and foreign official institutions; Corporations and other businesses | 3% | 4% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 6,892 | $2.77B | 80.0% | $401K |
| High-net-worth individuals | 1,292 | $519M | 15.0% | $401K |
| Banking or thrift institutions | Fewer than 5 | $0 | 0.0% | — |
| Pension and profit-sharing plans | Fewer than 5 | $0 | 0.0% | — |
| Charitable organizations | 129 | $51.9M | 1.5% | $402K |
| State or municipal government entities | Fewer than 5 | $0 | 0.0% | — |
| Other investment advisers | Fewer than 5 | $0 | 0.0% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 | 0.0% | — |
| Corporations and other businesses | 300 | $121M | 3.5% | $403K |
| Total | 8,613 | $3.46B | 100% | — |
- Clients
- 6,892
- Regulatory AUM
- $2.77B
- AUM share
- 80.0%
- Avg. per client
- $401K
- Clients
- 1,292
- Regulatory AUM
- $519M
- AUM share
- 15.0%
- Avg. per client
- $401K
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 129
- Regulatory AUM
- $51.9M
- AUM share
- 1.5%
- Avg. per client
- $402K
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 300
- Regulatory AUM
- $121M
- AUM share
- 3.5%
- Avg. per client
- $403K
Total
- Clients
- 8,613
- Regulatory AUM
- $3.46B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 60
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Sage, Rutty & Co. is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
The leadership team of Sage, Rutty & Co. includes President James Paul Burke and Chief Compliance Officer Corinne Marie Dennis. It has 36 employees, 33 of them in advisory roles.
Leadership
- James Paul BurkeSecretary, Vice President, Shareholder
- Curt Allen EhrlichSenior Vice President, Financial Advisor, Shareholder
- Connor B HollyFinancial Advisor, Shareholder, First Vice President
- Trevor William HollyPresident, CEO, Shareholder
- Kim Lisbeth NugentSenior Vice President, Financial Advisor, Shareholder
- Douglas Evans III ParkerDirector, Shareholder, Financial Advisor, Senior Vice President
- Corinne Marie DennisChief Compliance Officer
- Chelsea Leigh ConwayDirector
- Robert John FalveyShareholder (10/1996)
- Laura Suzanne FroodFinancial Advisor, Shareholder
- Neil Stewart III FroodFinancial Advisor, Director
- Wayne Foster HollyExecutive Chairman, Shareholder, Director
- Shane Alexander HollyShareholder
- Jessica Lauren HollyShareholder
- Jared Foster HollyShareholder
- Sean Tyler HollyShareholder
- Christopher Robert HollyShareholder
- Matthew James LaceyController,treasurer, FINOP, Shareholder
- Robert Lawrence LohwaterCorporate Officer
- Ralph Joseph DandreaDirector
- Sandra Jean WehnerShareholder
Investment adviser representatives
45 representatives listed in the SEC register as of 9 October 2026.
- Zachary Theodore Armstrong
- Dustin Lee Baker
- James Paul Burke
- John Robert Cairns
- Joseph Cerqua
- Steven Ciotti
- Melissa Nicole Cropo
- Corinne Marie Dennis
- David Lawrence Dewind
- Kristin Marie Dowejko
- Hope Duncan
- Curt Allen Ehrlich
- Jennifer Marie Fox
- Laura Suzanne Frood
- Neil Stewart Frood III
- Dawn Marie Gilchrist
- Craig David Gingerich
- Gina M Griffo
- Sara Lindsey Groschadl
- Jennifer Elizabeth Hall
- Caroline Dow Hill
- Connor B Holly
- Wayne Foster Holly
- Jeffrey Thomas Jones
- Kathryn Ann Keenan
- Zachary Lessard
- Matthew Magee
- Donna M Malucci
- Ryleigh Marie Manser
- Lauren McKerrow
- Kim Lisbeth Nugent
- Douglas Evans Parker III
- Laura J Parker
- Joseph Stephen Parks
- Sunny M Ramirez
- Brennan Richard Redmond
- Teresa Lee Robinson
- Kimberly M Schulwitz
- Joshua David Slish
- Nicolas M Spinelli
- David William Swain
- Corey Alan Van Lare
- Matthew Webster
- Aaron Charles Young
- Colin J Young
Staff
- 36 employees
- 33 in advisory functions
- 33 state-registered reps
- 34 broker-dealer reps
- 28 insurance agents
- Owns 10% to 25% of Sage, Rutty & Co., Inc.
Wayne Foster Holly
Control person · since May 2022
- Owns 10% to 25% of Sage, Rutty & Co., Inc.
Audrey Weller Holly
since October 1999
- Owns 10% to 25% of Sage, Rutty & Co., Inc.
Douglas Evans III Parker
since June 2006
- Owns 10% to 25% of Sage, Rutty & Co., Inc.
Kim Lisbeth Nugent
since July 2010
- Owns 5% to 10% of Sage, Rutty & Co., Inc.
Trevor William Holly
Control person · since May 2022
Sage, Rutty & Co.’s regulatory assets grew 1.9× from $1.8B (March 2021) to $3.46B (September 2026); clients rose from 5,494 to 8,613 and employees from 25 to 36.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $3.46B | 8,613 | 36 | 1 |
| March 2025 | $3.02B | 7,702 | 39 | 1 |
| March 2024 | $2.47B | 6,934 | 39 | 1 |
| March 2023 | $1.95B | 6,280 | 25 | 1 |
| March 2022 | $2.11B | 5,820 | 25 | 1 |
| March 2021 | $1.8B | 5,494 | 25 | 1 |
Besides its headquarters, Sage, Rutty & Co. has 0 offices, with 1 listed address in New York.
New York · 1 listed address
- 100 Corporate Woods, Suite 300, RochesterHQ
Other business names
Sage, Rutty & Co. has reported 2 other business names to the SEC.
- Sage Rutty Trust
- Sage, Rutty & Co., Inc.
Contact and registration details
- Legal name
- Sage, Rutty & Co., Inc.
- Headquarters
- 100 Corporate Woods, Suite 300, Rochester, NY 14623
- Website
- sageruttyuniversity.com
- Phone
- 585-232-3760
- SEC file
- 801-35917
- Structure
- New York corporation
- Fiscal year end
- December
Sage, Rutty & Co. has custody of $3.46B in client assets for 8,163 clients.
At year end, Sage, Rutty & Co.’s separately managed accounts were mostly in funds (59%) and stocks (27%).
What the accounts hold
- Stocks27%
- Non-exchange-traded equities18%
- Exchange-traded equities9%
- Funds59%
- Bonds8%
- Investment grade corporate bonds4%
- State and local bonds2%
- U.S. government and agency bonds1%
- High-yield corporate bonds1%
- Cash6%
How many clients does Sage, Rutty & Co. have?
Sage, Rutty & Co. has 8,613 clients and manages $3.46 billion for them, as of September 2026. They include 6,892 individual clients, 1,292 high-net-worth individuals, and 300 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 21 September 2026
What services does Sage, Rutty & Co. offer?
Sage, Rutty & Co. provides financial planning, portfolio management for individuals and small businesses, selecting other managers, publishing newsletters, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Sage, Rutty & Co. have?
Sage, Rutty & Co. has 33 investment adviser representatives registered with state securities authorities, out of 36 employees, and 33 perform investment advisory functions. 34 employees are registered representatives of a broker-dealer and 28 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 Sage, Rutty & Co. invest in?
At the end of its last fiscal year, Sage, Rutty & Co.’s separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 18% non-exchange-traded equities, 9% exchange-traded equities, 6% cash and equivalents, 4% investment grade corporate bonds, 2% state and local bonds, 1% U.S. government and agency bonds and 1% high-yield 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 Sage, Rutty & Co.?
Sage, Rutty & Co.’s direct owners are Wayne Foster Holly, Audrey Weller Holly, Douglas Evans III Parker, Kim Lisbeth Nugent and Trevor William Holly, each holding 25% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 21 September 2026
How does Sage, Rutty & Co. get paid?
Sage, Rutty & Co. 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 Sage, Rutty & Co.?
Sage, Rutty & Co.’s main office is at 100 Corporate Woods, Suite 300, Rochester, NY 14623. Its phone number is 585-232-3760. Its website is sageruttyuniversity.com.