DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Rochester Wealth Strategies, LLC
Latest filing Aug 20, 2026
First filing on the tape Aug 15, 2024 · 10 filings
SEC status approved since Sep 16, 2024
RAUM
$204M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$204M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$50.9M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$204M as of Aug 20, 2026
Feb 11, 2025$138M then
HNW client RAUM$169M as of Aug 20, 2026
Feb 11, 2025$92.3M then
State-registered IARs (5.B.3)4 as of Aug 20, 2026
Feb 11, 20254 then
Employees (5.A)5 as of Aug 20, 2026
Feb 11, 20256 then
Private funds: no history
RAUM +48% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $50.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $426,036derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $55.1M, 103 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$169M83%
- Individuals$34.3M17%
- Corporations and businesses$8,6930.0%
- Individual clients
- 60reported
- HNW clients
- 80reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 478reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.1M for 103 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dominic Garcia | Rochester, Mi | Dec 12, 2018 | 19 y | 2 |
| Julie Ann-Frakes Lobaza | Rochester, Mi | Jun 19, 2020 | 18 y | 0 |
| Xenia Kristina Woltmann | Rochester, Mi | Mar 27, 2025 | 25 y | 1 |
| Zhaoji George YangChartered Financial Analyst | Rochester, Mi | May 29, 2026 | 18 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Bradley Michael Sorenson to Diversified Portfolios, Inc.Aug 24, 2022 · RIA to RIA
Joined, latest
- Xenia Kristina Woltmann from Citizens Securities, Inc.Mar 27, 2025 · Affiliated broker-dealer or bank to independent RIA
- Bradley Michael Sorenson from Equitable Advisors, LLCAug 3, 2021 · Affiliated broker-dealer or bank to independent RIA
- Dominic Garcia from Private Advisor Group, LLCDec 12, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D'Angelo Dominic Garcia · Sole Membercontrolsince 09/2018 · owns 75% or more
- Kristina Xenia Woltmann · Chief Compliance Officersince 06/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Mi · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 445 to 478Jun 17, 2026 to Aug 20, 2026
- Charity clients · 2 to 0Jun 17, 2026 to Aug 20, 2026
- HNW clients · 68 to 80Jun 17, 2026 to Aug 20, 2026
- Individual clients · 66 to 60Jun 17, 2026 to Aug 20, 2026
- Discretionary RAUM · $169M to $196MJun 17, 2026 to Aug 20, 2026
- HNW RAUM · $139M to $169MJun 17, 2026 to Aug 20, 2026
- Individual RAUM · $38.9M to $34.3MJun 17, 2026 to Aug 20, 2026
- Non-discretionary RAUM · $8.4M to $7.9MJun 17, 2026 to Aug 20, 2026
- RAUM · $178M to $204MJun 17, 2026 to Aug 20, 2026
- Accounts · 446 to 445Aug 20, 2025 to Mar 27, 2026
- Advisory employees · 5 to 4Aug 20, 2025 to Mar 27, 2026
- Charity clients · 0 to 2Aug 20, 2025 to Mar 27, 2026
- HNW clients · 51 to 68Aug 20, 2025 to Mar 27, 2026
- Individual clients · 90 to 66Aug 20, 2025 to Mar 27, 2026
- Assets in custody · $36.6M to $55.1MAug 20, 2025 to Mar 27, 2026
- Employees · 7 to 5Aug 20, 2025 to Mar 27, 2026
- State-registered IARs · 5 to 4Aug 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $144M to $169MAug 20, 2025 to Mar 27, 2026
- HNW RAUM · $100M to $139MAug 20, 2025 to Mar 27, 2026
- Individual RAUM · $50.6M to $38.9MAug 20, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $6.4M to $8.4MAug 20, 2025 to Mar 27, 2026
- RAUM · $151M to $178MAug 20, 2025 to Mar 27, 2026
- Advisory employees · 4 to 5Jul 18, 2025 to Aug 20, 2025
- Employees · 6 to 7Jul 18, 2025 to Aug 20, 2025
- State-registered IARs · 4 to 5Jul 18, 2025 to Aug 20, 2025
- Accounts · 409 to 446Apr 9, 2025 to Jul 18, 2025
- HNW clients · 49 to 51Apr 9, 2025 to Jul 18, 2025
- Individual clients · 85 to 90Apr 9, 2025 to Jul 18, 2025
- Financial planning clients · unset to Apr 9, 2025 to Jul 18, 2025
- Discretionary RAUM · $133M to $144MApr 9, 2025 to Jul 18, 2025
- HNW RAUM · $92.3M to $100MApr 9, 2025 to Jul 18, 2025
- Individual RAUM · $45.2M to $50.6MApr 9, 2025 to Jul 18, 2025
- Non-discretionary RAUM · $4.8M to $6.4MApr 9, 2025 to Jul 18, 2025
- RAUM · $138M to $151MApr 9, 2025 to Jul 18, 2025
- Accounts · 365 to 409Oct 15, 2024 to Feb 11, 2025
- HNW clients · 41 to 49Oct 15, 2024 to Feb 11, 2025
- Individual clients · 91 to 85Oct 15, 2024 to Feb 11, 2025
- Assets in custody · $29.3M to $36.6MOct 15, 2024 to Feb 11, 2025
- Discretionary RAUM · $120M to $133MOct 15, 2024 to Feb 11, 2025
- HNW RAUM · $75.0M to $92.3MOct 15, 2024 to Feb 11, 2025
Signals
2 dated events
- Rochester Wealth Strategies, Llc filed its initial SEC registration (Form ADV)Aug 15, 2024 · First SEC registration · fact
- Bradley Michael Sorenson left Rochester Wealth Strategies, Llc for Diversified Portfolios, Inc. (registered 2023-02-24)Aug 24, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 248-434-6550reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rochester-wealth-strategiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ROCHESTERWEALTHSTRATEGIES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (248) 434-6550reportedpublic record, Form ADV, Aug 20, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $50.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026