R
Rothrock Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$10,000,000
Total clients
1
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
1
Average account size
$10,000,000
About
Rothrock Financial Group advises plaintiff attorneys and their clients on settlement planning, including assessments that account for Medicaid and Medicare considerations and cash-flow needs after physical injury. The firm also provides 401(k) and retirement-plan analysis and integration specifically for legal practices.
The firm uses a structured “Guaranteed Needs Analysis” that combines life-care plans, economic projections, and rated ages to align settlement structures with long-term care and income needs. It prepares investment policy statements for Special Needs and Supplemental Needs trusts and operates in a consultative, primarily non-discretionary capacity rather than as a discretionary portfolio manager.
Rothrock’s business mixes settlement-product sales and retirement-plan consulting in ways that differ from many solo independent advisers: it is involved in the placement and sale of structured settlements and discloses affiliations with a structured-settlement firm. The firm also avoids discretionary account authority, does not participate in wrap or soft-dollar programs, and accepts referral arrangements with other advisors, reflecting a niche focus on settlement and plan integration services rather than ongoing investment management.
Client services
Insurance
Expertise
Medicare planning
Cash flow / budgeting
Occupation focus
Attorney
Founder/Business Owner
Fee options
0.5% annually based on the average daily balance of each quarter
Main office location
Rothrock Financial Group
2 Halstead Rise
Fairport NY 14450, United States
Number of offices
1
Most active in
Rothrock Financial Group has reported serving >5 clients in these states in the last 12 months.
New York
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")