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

Sage, Rutty & Co., Inc.

Independent wealth managerRochester, New YorkCRD 3254SEC 801-35917website IAPD

Latest filing Mar 24, 2026

First filing on the tape Mar 30, 2012 · 27 filings

SEC status approved since Jan 26, 1990

RAUM

$3.5B

reported, Item 5.F

Discretionary

52%

of RAUM

Private clients

95%

$3.3B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$76.8M

derived; firm RAUM over IAPD count

Employees

33 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$3.5B as of Mar 24, 2026

Mar 30, 2012$354M then

HNW client RAUM$519M as of Mar 24, 2026

Mar 29, 2018$146M then

State-registered IARs (5.B.3)33 as of Mar 24, 2026

Mar 30, 20120 then

Employees (5.A)36 as of Mar 24, 2026

Mar 25, 201326 then

Private funds: no history

RAUM +15% over the last fiscal year+21% a year over threeIARs 35 to 33

Practice profile

derived from the filing of Mar 24, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $76.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 182derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $401,447derivedHNW RAUM over HNW clients
Average account: $423,594derivedRAUM over accounts (5.F.2.f)
Discretionary: 52%derivedof RAUM
Institutional: 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.8derivedItem 5.A over advisors
Advisors per office: 45.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: -5.7%derivedItem 5.B.3 between annual amendments
Client growth, one year: +9.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody: $3.5B, 8,163 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$2.8B80%
High-net-worth individuals$519M15%
Corporations and businesses$121M3.5%
Charitable organizations$51.9M1.5%

Individual clients: 6,892reported
HNW clients: 1,292reported
Pension plan clients: n/areported
Charitable clients: 129reported
Accounts: 8,163reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $3.5B for 8,163 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.95 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=34.0derived

Advisors registered through the firm

45 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Douglas Evans Parker	Rochester, Ny	Nov 16, 2007	38 y	0
James Paul BurkeCertified Financial Planner	Rochester, Ny	Nov 16, 2007	34 y	0
Laura J Parker	Rochester, Ny	Feb 5, 2008	23 y	0
Wayne Foster Holly	Rochester, Ny	May 12, 2008	46 y	0
Neil Stewart Frood	Rochester, Ny	Aug 5, 2008	25 y	0
Dawn Marie Gilchrist	Rochester, Ny	Sep 16, 2008	18 y	0
Laura Suzanne Frood	Rochester, Ny	May 13, 2009	25 y	0
Curt Allen Ehrlich	Rochester, Ny	Jun 9, 2009	23 y	0
Kristin Marie Dowejko	Rochester, Ny	Aug 12, 2009	28 y	0
Connor B HollyCertified Financial Planner	Rochester, Ny	Sep 23, 2011	15 y	0
Jennifer Marie Fox	Rochester, Ny	Mar 21, 2012	15 y	0
Melissa Nicole Cropo	Rochester, Ny	Nov 8, 2013	14 y	0
Zachary Theodore ArmstrongCertified Financial Planner	Rochester, Ny	May 19, 2014	12 y	0
Craig David GingerichCertified Financial Planner	Rochester, Ny	Aug 18, 2014	12 y	1
Colin J Young	Rochester, Ny	Sep 8, 2015	12 y	1
Kim Lisbeth NugentCertified Financial Planner	Rochester, Ny	Mar 7, 2016	22 y	0
Aaron Charles YoungCertified Financial Planner	Rochester, Ny	May 23, 2017	13 y	0
Brennan Richard RedmondCertified Financial Planner, Chartered Financial Analyst	Rochester, Ny	Jun 26, 2017	19 y	1
David William Swain	Rochester, Ny	Mar 30, 2018	29 y	0
Ryleigh Marie Manser	Rochester, Ny	May 4, 2018	10 y	0
Kathryn Ann Keenan	Rochester, Ny	Apr 8, 2019	11 y	0
Teresa Lee Robinson	Rochester, Ny	Jun 7, 2019	13 y	0
Corinne Marie Dennis	Rochester, Ny	Mar 10, 2021	11 y	0
David Lawrence Dewind	Rochester, Ny	Jun 18, 2021	41 y	0
Caroline Dow Hill	Rochester, Ny	Jun 22, 2021	12 y	0
Kimberly M Schulwitz	Rochester, Ny	Sep 21, 2021	21 y	1
Joseph Stephen Parks	Rochester, Ny	Mar 8, 2022	11 y	1
Sunny M Ramirez	Rochester, Ny	Apr 6, 2022	11 y	0
Jeffrey Thomas Jones	Rochester, Ny	May 24, 2022	15 y	0
Sara Lindsey Groschadl	Rochester, Ny	Jan 24, 2023	11 y	0
Joshua David Slish	Rochester, Ny	Sep 29, 2023	11 y	2
Lauren Mckerrow	Rochester, Ny	Jan 11, 2024	13 y	0
Donna M Malucci	Rochester, Ny	Jun 17, 2024	36 y	1
Steven Ciotti	Rochester, Ny	Jul 18, 2024	12 y	0
Joseph CerquaChartered Financial Analyst	Rochester, Ny	Sep 11, 2024	30 y	1
John Robert Cairns	Rochester, Ny	Oct 1, 2024	14 y	0
Matthew Magee	Rochester, Ny	Jan 13, 2025	11 y	0
Matthew Webster	Rochester, Ny	Jul 29, 2025	11 y	1
Gina M Griffo	Rochester, Ny	Sep 8, 2025	26 y	1
Nicolas M Spinelli	Rochester, Ny	Oct 29, 2025	10 y	1

All 45 advisors at Sage, Rutty & Co., Inc.

Advisor movement

1 left, 2 joined in 12 months

net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 2.2% of current headcount5 left over 36 months

Left, latest

Andrew Lansing Schuler to Prentice Wealth Management LLC
Mar 10, 2026 · RIA to RIA
Joseph J Nacca to Rockefeller Capital Management
May 23, 2025 · RIA to affiliated broker-dealer or bank
Matthew Baker to Allstate Financial Advisors, LLC
Dec 11, 2024 · RIA to affiliated broker-dealer or bank
Patrick Stewart Cicchetti to Ryse Capital Management
Jul 24, 2024 · RIA to a state-registered adviser
Sarah L Stymus to Whitney & Company
Jan 25, 2024 · RIA to RIA
Christopher Coleman to Fiduciary First Advising, LLC
Aug 16, 2021 · RIA to a state-registered adviser
Brendan Ercole to Cambridge Investment Research Advisors, Inc.
Feb 12, 2021 · RIA to affiliated broker-dealer or bank
Ryan Thomas Miller to Lawley Retirement Advisors
Nov 20, 2020 · Other
Justin Dean Stevens to O'Keefe Stevens Advisory, Inc.
Mar 28, 2017 · Other
Jonathan Tuthill Lawrence to Cambridge Investment Research Advisors, Inc.
Jul 25, 2012 · Other
William Albert Boselli to Strategic Wealth Partners Inc.
Oct 19, 2011 · Other
John J Anadio to Ensemble Financial Services, Inc.
Aug 27, 2009 · Other
Aaron Oakley Finch to Oakley Financial LLC
Apr 25, 2008 · Other

Joined, latest

Dustin Lee Baker from Cooper/Haims Advisors, LLC
Jul 15, 2026 · RIA to RIA
Nicolas M Spinelli from Morgan Stanley
Oct 29, 2025 · Wirehouse to independent RIA
Gina M Griffo from Parks Capital
Sep 8, 2025 · RIA to RIA
Matthew Webster from Equitable Advisors, LLC
Jul 29, 2025 · Affiliated broker-dealer or bank to independent RIA
Andrew Lansing Schuler from Manning & Napier Advisors, LLC
Jan 15, 2025 · RIA to RIA
Joseph Cerqua from Elmwood Income Partners LLC
Sep 11, 2024 · Other
Donna M Malucci from Morgan Stanley
Jun 17, 2024 · Wirehouse to independent RIA
Matthew Baker from LPL Financial LLC
Jan 2, 2024 · Affiliated broker-dealer or bank to independent RIA
Patrick Stewart Cicchetti from Brighton Securities Corp.
Sep 29, 2023 · RIA to RIA
Joshua David Slish from Brighton Securities Corp.
Sep 29, 2023 · RIA to RIA
Joseph Stephen Parks from Ameriprise Financial Services, LLC
Mar 8, 2022 · Affiliated broker-dealer or bank to independent RIA
Kimberly M Schulwitz from Wells Fargo Advisors
Sep 21, 2021 · Wirehouse to independent RIA
Brendan Ercole from Sei Investments Management Corp
Aug 7, 2019 · Other
Brennan Richard Redmond from Brighton Securities Corp.
Jun 26, 2017 · Other
Colin J Young from Equitable Advisors, LLC
Sep 8, 2015 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Brighton Securities Corp.
Sep 29, 2023 · Rochester, Ny

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

James Paul Burke · Secretary, Vice President, Shareholdercontrol
since 10/1996 · owns less than 5%
Corinne Marie Dennis · Chief Compliance Officercontrol
since 01/2024 · owns less than 5%
Robert John Falvey · Shareholder (10/1996)control
since 06/2006 · owns less than 5%
Trevor William Holly · President, Ceo, Shareholdercontrol
since 05/2022 · owns 5% to 10%
Wayne Foster Holly · Executive Chairman, Shareholder, Directorcontrol
since 05/2022 · owns 10% to 25%
Matthew James Lacey · Controller,Treasurer, Finop, Shareholdercontrol
since 05/2009 · owns less than 5%
Robert Lawrence Lohwater · Corporate Officercontrol
since 07/2023 · owns less than 5%
Chelsea Leigh Conway · Director
since 07/2024 · owns less than 5%
Sebastian Anthony Dipasquale · Shareholder
since 02/1987 · owns less than 5%
Curt Allen Ehrlich · Senior Vice President, Financial Advisor, Shareholder
since 04/2003 · owns less than 5%
Laura Suzanne Frood · Financial Advisor, Shareholder
since 08/2001 · owns less than 5%
Neil Stewart III Frood · Financial Advisor, Director
since 07/2023 · owns less than 5%
Audrey Weller Holly · Shareholder
since 10/1999 · owns 10% to 25%
Christopher Robert Holly · Shareholder
since 10/2024 · owns less than 5%
Connor B Holly · Financial Advisor, Shareholder, First Vice President
since 08/2021 · owns less than 5%
Jared Foster Holly · Shareholder
since 10/2022 · owns less than 5%
Jessica Lauren Holly · Shareholder
since 10/2022 · owns less than 5%
Sean Tyler Holly · Shareholder
since 10/2022 · owns less than 5%
Shane Alexander Holly · Shareholder
since 10/2022 · owns less than 5%
Kim Lisbeth Nugent · Senior Vice President, Financial Advisor, Shareholder
since 07/2010 · owns 10% to 25%
Douglas Evans III Parker · Director, Shareholder, Financial Advisor, Senior Vice President
since 06/2006 · owns 10% to 25%
Ralph Joseph Dandrea · Director
since 03/2009 · owns less than 5%
Sandra Jean Wehner · Shareholder
since 03/2005 · 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, Ny · principal	45	6	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 7,702 to 8,163
Aug 11, 2025 to Mar 24, 2026
Advisory employees · 35 to 33
Aug 11, 2025 to Mar 24, 2026
BD registered reps · 37 to 34
Aug 11, 2025 to Mar 24, 2026
Charity clients · 40 to 129
Aug 11, 2025 to Mar 24, 2026
Corporate clients · 192 to 300
Aug 11, 2025 to Mar 24, 2026
HNW clients · 1,078 to 1,292
Aug 11, 2025 to Mar 24, 2026
Individual clients · 6,392 to 6,892
Aug 11, 2025 to Mar 24, 2026
Assets in custody · $3.0B to $3.5B
Aug 11, 2025 to Mar 24, 2026
Employees · 39 to 36
Aug 11, 2025 to Mar 24, 2026
State-registered IARs · 35 to 33
Aug 11, 2025 to Mar 24, 2026
Discretionary RAUM · $1.3B to $1.8B
Aug 11, 2025 to Mar 24, 2026
HNW RAUM · $423M to $519M
Aug 11, 2025 to Mar 24, 2026
Individual RAUM · $2.5B to $2.8B
Aug 11, 2025 to Mar 24, 2026
Non-discretionary RAUM · $1.7B to $1.7B
Aug 11, 2025 to Mar 24, 2026
RAUM · $3.0B to $3.5B
Aug 11, 2025 to Mar 24, 2026
Accounts · 6,934 to 7,702
Oct 11, 2024 to Mar 7, 2025
Advisory employees · 39 to 35
Oct 11, 2024 to Mar 7, 2025
BD registered reps · 39 to 37
Oct 11, 2024 to Mar 7, 2025
Charity clients · 36 to 40
Oct 11, 2024 to Mar 7, 2025
Corporate clients · 173 to 192
Oct 11, 2024 to Mar 7, 2025
HNW clients · 971 to 1,078
Oct 11, 2024 to Mar 7, 2025
Individual clients · 5,754 to 6,392
Oct 11, 2024 to Mar 7, 2025
Assets in custody · $2.5B to $3.0B
Oct 11, 2024 to Mar 7, 2025
Financial planning clients · 51-100 to 51-100
Oct 11, 2024 to Mar 7, 2025
State-registered IARs · 39 to 35
Oct 11, 2024 to Mar 7, 2025
Discretionary RAUM · $971M to $1.3B
Oct 11, 2024 to Mar 7, 2025
HNW RAUM · $345M to $423M
Oct 11, 2024 to Mar 7, 2025
Individual RAUM · $2.0B to $2.5B
Oct 11, 2024 to Mar 7, 2025
Non-discretionary RAUM · $1.5B to $1.7B
Oct 11, 2024 to Mar 7, 2025
RAUM · $2.5B to $3.0B
Oct 11, 2024 to Mar 7, 2025
Accounts · 6,280 to 6,934
Jan 5, 2024 to Mar 28, 2024
Advisory employees · 25 to 39
Jan 5, 2024 to Mar 28, 2024
BD registered reps · 25 to 39
Jan 5, 2024 to Mar 28, 2024
Charity clients · 31 to 36
Jan 5, 2024 to Mar 28, 2024
Corporate clients · 136 to 173
Jan 5, 2024 to Mar 28, 2024
HNW clients · 747 to 971
Jan 5, 2024 to Mar 28, 2024
Individual clients · 5,366 to 5,754
Jan 5, 2024 to Mar 28, 2024
Assets in custody · $2.0B to $2.5B
Jan 5, 2024 to Mar 28, 2024
Employees · 25 to 39
Jan 5, 2024 to Mar 28, 2024
State-registered IARs · 25 to 39
Jan 5, 2024 to Mar 28, 2024

Signals

12 dated events

Andrew Lansing Schuler left Sage, Rutty & Co., Inc. for Prentice Wealth Management Llc (registered 2026-03-26)
Mar 10, 2026 · Advisor changed firm · fact
Joseph J Nacca left Sage, Rutty & Co., Inc. for Rockefeller Capital Management (registered 2025-05-23)
May 23, 2025 · Advisor changed firm · fact
Matthew Baker left Sage, Rutty & Co., Inc. for Allstate Financial Advisors, Llc (registered 2025-05-09)
Dec 11, 2024 · Advisor changed firm · fact
Patrick Stewart Cicchetti left Sage, Rutty & Co., Inc. for Ryse Capital Management (registered 2025-02-12)
Jul 24, 2024 · Advisor changed firm · fact
Sage, Rutty & Co., Inc. reported 39 state-registered advisory representatives, up from 25 (2024-01-05 to 2024-03-28)
Mar 28, 2024 · Advisor headcount change · derived
Sage, Rutty & Co., Inc. reported RAUM $2.5B, up 26% from $2.0B (2024-01-05 to 2024-03-28)
Mar 28, 2024 · RAUM change · derived
Sarah L Stymus left Sage, Rutty & Co., Inc. for Whitney & Company (registered 2024-06-12)
Jan 25, 2024 · Advisor changed firm · fact
Corinne Marie Dennis (Chief Compliance Officer) appeared on Schedule A of Sage, Rutty & Co., Inc.
Jan 5, 2024 · Control person joined · fact
2 advisors left Brighton Securities Corp. (Rochester, NY) for Sage, Rutty & CO., Inc. on the same day
Sep 29, 2023 · Team lift-out · derived
Anne Clair Catillaz (Vice President Of Operations, Corporate Vice President) no longer on Schedule A of Sage, Rutty & Co., Inc. (listed 2021-03-30, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
Trevor William Holly (Corporate Vice President, Shareholder) appeared on Schedule A of Sage, Rutty & Co., Inc.
Mar 30, 2022 · Control person joined · fact
Sage, Rutty & Co., Inc. reported RAUM $1.5B, up 35% from $1.1B (2019-03-25 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived

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: 800-733-1133reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 585-232-3760reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 585-512-2385reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: LINKEDIN.COM/COMPANY-BETA/903105reportedpublic record, Form ADV, Sep 18, 2026
Website: sagerutty401k.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 585-232-3760reportedpublic record, Form ADV, Mar 24, 2026
Contact form: sagerutty401k.com/contactreportedpublished by the firm, firm site, Sep 17, 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: $76.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026