Rochester Financial Services
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$340,628,516
Total clients
320
41% high-net worth
Total advisors
1
of 1 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
320
Average account size
$1,064,464
About
The firm provides investment supervisory services and comprehensive financial planning to individuals, high‑net‑worth individuals, trusts and estates, along with one‑time investment advice. Portfolios are typically structured as balanced allocations and implemented primarily with no‑load mutual funds, with individual securities used only when clients request them.
The advisor builds customized portfolios by selecting mutual fund share classes based on purchase size and expected holding period, monitors accounts continuously, and makes rebalancing or fine‑tuning adjustments as needed while treating tax consequences as secondary to performance. Clients receive monthly performance reports and formal reviews at six‑month intervals, and non‑supervisory planning work is available on an hourly basis.
Noteworthy for a supported, single‑advisor practice, the firm manages over $340 million and serves more than 300 client accounts with one advisor, a scale and client load that is uncommon among peers. The advisor uses an independent discount brokerage custodian and can execute aggregated mutual fund transactions across client accounts; the firm does not take custody of client assets.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
General tax planning
Retirement plans for business owners (SEP, solo 401k)
Fee options
$0 - $250,000: 0.40% per 6 month period $250,000 - $1,000,000: 0.30% per 6 month period $1,000,000 - $3,000,000: 0.20% per 6 month period $3,000,000+: 0.10% per 6 month period
$150 per hour for Non-Supervisory Investment Services and Comprehensive Financial Planning
Minimum fee: $250 per 6 month service period minimum Fee-only: $150 per hour for Non-Supervisory Investment Services and Comprehensive Financial Planning
Main office location
Rochester Financial Services
Pittsford NY, United States
Number of offices
1
Most active in
Rochester Financial Services has reported serving >5 clients in these states in the last 12 months.
Florida · New Hampshire · New Jersey · New York · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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