Rochester Investments
SEC RegisteredAbout the firm
Rochester Investments, Inc is an investment advisor firm registered with the U.S. Securities and Exchange Commission, an investment manager, financial advisor, and financial planner firm located in Rochester NY. They serve individuals and businesses with their investment and financial planning needs. Their primary custodian is Charles Schwab.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Investment management (stocks, bonds, ETFs, mutual funds, CDs), retirement planning (401K, 403B, 457, pension plans, SIMPLE IRA, SEP IRA), financial planning, tax and estate strategies, business planning (executive benefits, buy-sell agreements, business exit strategies, group benefits, corporate-owned life insurance), divorce and loss of spouse financial and retirement planning, account rollovers, retirement distributions, and retirement account management.
Who they serve
Individuals, families, and small businesses, including those changing jobs, approaching retirement, going through divorce or loss of a spouse, and small business owners.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 123 | $29M |
| High Net Worth Individuals | 24 | $41M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 0 | $0 |
| State/Municipal Entities | 0 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
Leadership
Office locations
Advisors at this firm
1 advisor in the directory
Regulatory & compliance
Data as of March 13, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Rochester Investments has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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