Broker-dealer firm · Rochester, NY
Sage, Rutty & Co., Inc.
SEC-registered investment adviser · CRD 3254 · SEC 801-35917
At a glance
Sage, Rutty & Co., Inc. is an SEC-registered investment adviser based in Rochester, New York, with $3.5 billion in regulatory assets under management as of its Form ADV filed September 21, 2026. Its largest client group by assets is individuals, and it reports 8,184 individual clients. By Form ADV it is a broker-dealer firm, ranked 105th of 391 broker-dealer firms and 2,616th of 17,210 SEC-registered advisers by assets.
Main office 585-232-3760sagerutty.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.5B
- Rank among broker-dealer firms
- #105 of 391
- Rank among all SEC RIAs
- #2,616 of 17,210
- Rank in New York
- #654 of 2,591
- Individual clients
- 8,184
- High-net-worth clients
- 1,292
- Accounts
- 8,163
- Discretionary
- 52% of AUM
- Employees
- 36
- Advisory staff
- 33
- Offices
- 1
Owners and executives on its Form ADV
- Wayne Foster HollyExecutive Chairman, Shareholder, Director
- James Paul BurkeSecretary, Vice President, Shareholder
- Sandra Jean WehnerShareholder
- Douglas Evans III ParkerDirector, Shareholder, Financial Advisor, Senior Vice President
- Robert John FalveyShareholder (10/1996)
- Matthew James LaceyController,treasurer, Finop, Shareholder
- Robert Lawrence LohwaterCorporate Officer
- Curt Allen EhrlichSenior Vice President, Financial Advisor, Shareholder
- Kim Lisbeth NugentSenior Vice President, Financial Advisor, Shareholder
- Laura Suzanne FroodFinancial Advisor, Shareholder
- Trevor William HollyPresident, CEO, Shareholder
- Connor B HollyFinancial Advisor, Shareholder, First Vice President
Custody and brokerage
Custodian
Sage, Rutty & Co., Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Sage, Rutty & Co., Inc. is a hybrid RIA: 34 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 6,892 | $2.8B | 80% |
| High-net-worth individuals | 1,292 | $519M | 15% |
| Corporations or other businesses | 300 | $121M | 4% |
| Charitable organizations | 129 | $52M | 1% |
Disciplinary disclosures
Sage, Rutty & Co., Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗sagerutty.com ↗
AtlasMembers
The full record on Sage, Rutty & Co., Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 95 peers of its type and size
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- Owners and executives, with titles and stakes
- 22 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Sage, Rutty & Co., Inc. manage?
Sage, Rutty & Co., Inc. reports $3.5 billion in regulatory assets under management across 8,163 accounts, 52% of it on a discretionary basis, on its Form ADV filed September 21, 2026.
What kind of firm is Sage, Rutty & Co., Inc.?
Sage, Rutty & Co., Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Sage, Rutty & Co., Inc.’s clients?
By assets, its largest client types are individuals ($2.8 billion, 6,892 clients); high-net-worth individuals ($519 million, 1,292 clients); corporations or other businesses ($121 million, 300 clients).
Does Sage, Rutty & Co., Inc. have any disciplinary history?
Sage, Rutty & Co., Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Sage, Rutty & Co., Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-21), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →