Top 10 financial advisor firms in Rochester

15 SEC-registered financial advisor firms are headquartered in Rochester, NY, with $8.89B in combined regulatory assets under management. The largest by assets are Howe and Rusling ($2.44B), Novem Group ($1.72B) and W.g.shaheen & Associates,ltd. ($1.49B).

15
Financial advisor firms: $8.89B
Their combined AUM: $168M
Median firm AUM: 8,656
Clients of the top 10

The 10 largest by assets

1
Howe and Rusling
RIA
$2.44B
0.80% to 1.20% a year
2
Novem Group
RIA
$1.72B
Up to 2.50% a year
3
W.g.shaheen & Associates,ltd.
RIA
$1.49B
0.50% to 1.00% a year
4
Seneca Financial Advisors
RIA
$847M
0.65% to 1.00% a year
5
Prentice Wealth Management
RIA
$568M
0.30% to 1.60% a year
6
Rise Advisors
RIA
$441M
0.25% to 1.00% a year
7
Indiano Capital Management
RIA
$254M
Regulatory AUM
8
Boyd Capital Management
RIA
$168M
0.75% to 1.25% a year
9
W & S Management Services
RIA
$166M
0.50% to 0.75% a year
10
NorthLanding Financial Partners
RIA
$152M
Regulatory AUM

Profiles of the top 10

No. 1 · RIA

Howe and Rusling

Howe and Rusling is an investment adviser based in Rochester, NY, registered with the SEC since 1941. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $2.44 billion, as filed on 31 July 2026.

Howe and Rusling charges 0.80%–1.20% a year for its Standard fee schedule for equity and balanced accounts.

Regulatory AUM: $2.44B
Clients: 1,397
Advisory staff: 17
Founded: 1930
Fee schedule: 0.80% to 1.20% a year
Custodians: Charles Schwab, Fidelity
Headquarters: 165 Culver RD, Suite 100, Rochester, NY 14620
Phone: 585-325-4140
Website: howeandrusling.com

No. 2 · RIA

Novem Group

Novem Group is an investment adviser based in Rochester, NY, registered with the SEC since 2011. It provides financial planning and investment management. Its clients include individual clients, high-net-worth individuals, and pension and profit-sharing plans. Its regulatory assets under management total $1.72 billion, as filed on 3 September 2026.

Novem Group charges up to 2.50% a year for its Maximum Fee Schedule.

Regulatory AUM: $1.72B
Clients: 3,653
Advisory staff: 50
Fee schedule: Up to 2.50% a year
Headquarters: 350 Linden Oaks, Suite 140, Rochester, NY 14625
Phone: 585-348-9525
Website: novemgroup.com

No. 3 · RIA

W.g.shaheen & Associates,ltd.

W.g.shaheen & Associates,ltd. is an investment adviser based in Rochester, NY, registered with the SEC since 2001. It provides financial planning and investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $1.49 billion, as filed on 1 September 2026.

W.g.shaheen & Associates,ltd. charges 0.50%–1.00% a year for its Portfolio Management Services.

Regulatory AUM: $1.49B
Clients: 739
Advisory staff: 8
Founded: 1975
Fee schedule: 0.50% to 1.00% a year
Custodians: Fidelity
Headquarters: 959 Panorama Trail S, Suite 190, Rochester, NY 14625
Phone: 585-232-6200
Website: whitney.com

No. 4 · RIA

Seneca Financial Advisors

Seneca Financial Advisors is an investment adviser based in Rochester, NY, registered with the SEC since 2010. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $847 million, as filed on 25 June 2026.

Seneca Financial Advisors charges 0.65%–1.00% a year for its Investment Management and Consulting.

Regulatory AUM: $847M
Clients: 373
Advisory staff: 5
Fee schedule: 0.65% to 1.00% a year
Custodians: Fidelity, Charles Schwab
Headquarters: 100 South Clinton Avenue, Suite 1640, Rochester, NY 14604
Phone: 585-203-1211

No. 5 · RIA

Prentice Wealth Management

Prentice Wealth Management is an investment adviser based in Rochester, NY, registered with the SEC since 2012. It provides financial planning and investment management. Its clients include individual clients, high-net-worth individuals, and corporations and other businesses. Its regulatory assets under management total $568 million, as filed on 26 May 2026.

Prentice Wealth Management charges 0.30%–1.60% a year for its Asset Management.

Regulatory AUM: $568M
Clients: 1,029
Advisory staff: 4
Fee schedule: 0.30% to 1.60% a year
Custodians: Charles Schwab
Headquarters: 1150 Penfield RD., Rochester, NY 14625
Phone: 585-218-0001
Website: prenticewealth.com

No. 6 · RIA

Rise Advisors

Rise Advisors is an investment adviser based in Rochester, NY, registered with the SEC since 2020. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $441 million, as filed on 17 August 2026.

Rise Advisors charges 0.25%–1.00% a year for its Investment Management Fees.

Regulatory AUM: $441M
Clients: 472
Advisory staff: 7
Fee schedule: 0.25% to 1.00% a year
Custodians: Fidelity
Headquarters: 500 Linden Oaks, Suite 320, Rochester, NY 14625
Phone: 585-565-3444
Website: riseadvisorsgroup.com

No. 7 · RIA

Indiano Capital Management

Indiano Capital Management is an investment adviser based in Rochester, NY, registered with the SEC since 2006. It provides investment management. Its clients include high-net-worth individuals, insurance companies and individual clients. Its regulatory assets under management total $254 million, as filed on 30 March 2026.

Regulatory AUM: $254M
Clients: 53
Advisory staff: 2
Founded: 1998
Custodians: Canandaigua National, RBC Dain Rauscher, J.P. Morgan, Charles Schwab, UBS Financial Services
Headquarters: 120 Linden Oaks, Suite 201, Rochester, NY 14625
Phone: 585-248-9888
Website: indiano.com

No. 8 · RIA

Boyd Capital Management

Boyd Capital Management is an investment adviser based in Rochester, NY, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $168 million, as filed on 21 September 2026.

Boyd Capital Management charges 0.75%–1.25% a year for its Portfolio Management Fees.

Regulatory AUM: $168M
Clients: 281
Advisory staff: 2
Fee schedule: 0.75% to 1.25% a year
Headquarters: 400 Linden Oaks, Suite 120, Rochester, NY 14625
Phone: 585-269-8511
Website: boydcapital.com

No. 9 · RIA

W & S Management Services

W & S Management Services is an investment adviser based in Rochester, NY, registered with the SEC since 2008. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $166 million, as filed on 26 March 2026.

W & S Management Services charges 0.50%–0.75% a year for its Portfolio Management Services.

Regulatory AUM: $166M
Clients: 487
Advisory staff: 4
Fee schedule: 0.50% to 0.75% a year
Custodians: Charles Schwab
Headquarters: 470 Long Pond Road Suite 200, Rochester, NY 14612
Phone: 585-720-9971
Website: wandsmgmt.com

No. 10 · RIA

NorthLanding Financial Partners

NorthLanding Financial Partners is an investment adviser based in Rochester, NY, registered with the SEC since 2013. It provides financial planning and investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $152 million, as filed on 18 March 2026.

Regulatory AUM: $152M
Clients: 172
Advisory staff: 2
Custodians: Fidelity, The Lincoln National Life Insurance
Headquarters: 90 Linden Oaks, Suite 220, Rochester, NY 14625
Phone: 585-497-5000
Website: northlandingfp.com

Questions about financial advisors in Rochester

How many financial advisor firms are headquartered in Rochester?

15 SEC-registered financial advisor firms report their principal office in Rochester, NY, managing $8.89B in regulatory assets between them. The other 4 advisers headquartered in the city are broker-dealers, other kinds of wealth firm, or fund and institutional managers.

Source: Form ADV Part 1A, Items 1.F, 5.D and 5.F

What is the largest financial advisor firm in Rochester?

Howe and Rusling, with $2.44B in regulatory assets under management on its latest Form ADV. The next largest are Novem Group ($1.72B) and W.g.shaheen & Associates,ltd. ($1.49B).

Source: Form ADV Part 1A, Item 5.F

How large is a typical financial advisor firm in Rochester?

The median firm manages $168M in regulatory assets. That is the midpoint of the 15 firms headquartered in Rochester.

Source: Form ADV Part 1A, Item 5.F

How much do financial advisors in Rochester charge?

Of the 10 largest firms, 8 publish an asset-based fee schedule for their main service in their brochure. The highest rate in those schedules runs from 0.75% to 2.50% of assets, depending on the firm; each firm's fee is in its profile above.

Source: Form ADV Part 2A brochures, Item 5

How can I check a financial advisor's record in Rochester?

Search the firm or the person on the SEC's Investment Adviser Public Disclosure site, adviserinfo.sec.gov, which shows registrations, Form ADV filings and any disclosures. Each firm profile in this directory links its SEC record.

Source: SEC Investment Adviser Public Disclosure

How is this list ordered?

By regulatory assets under management as filed on Form ADV, largest first. A firm is included when its principal office is in the city and most of its client assets belong to individuals and its type is RIA, which leaves out broker-dealers, wirehouses, RIA networks, digital advice, bank, insurance and family-office firms. A firm with only a branch office here is listed in its own headquarters city.

Source: Niva directory methodology

Rochester has 15 financial advisor firms; see every adviser in the city →

The 10 largest by assets

Profiles of the top 10

Questions about financial advisors in Rochester

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