This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$69.5MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$69.5M

Private client RAUM

$69.5MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$69.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

1

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

300

Individual clients

123

High net worth clients

24

SEC number

801-119583

CRD

306782

Filings on the tape

18

First filed

Sep 3, 2020

Latest filed

Mar 13, 2026

Organised

Corporation, NY

Website

rochesterinvestments.com

• Occurred

  Sep 3, 2020
  First Form ADV filing

  Rochester Investments filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9cd7af51-a4f8-c95f-a790-a8a71cb82ac8

First observed

Sep 3, 2020

Last observed

Mar 13, 2026 6 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.