ROCHESTER INVESTMENTS

Legal name: ROCHESTER INVESTMENTS INC

CRD 306782File 801-119583

APPROVED

Retail clients

Filing as of Mar 13, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$69.5M

Bottom 25% of cohort (national)

Discretionary AUM

$69.5M

Clients

147

300 accounts

Employees

Bottom 25% of cohort in NY

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: NYRO
Registration date: Oct 5, 2020
Principal office: 1580 W RIDGE RD, ROCHESTER, NY, 14615
Phone: 585-568-6656
Website: https://rochesterinvestments.com/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $69.5M
Discretionary AUM: $69.5M
Non-discretionary AUM: $0
Discretionary accounts: 300
Non-discretionary accounts: 0
Total accounts: 300
AUM per client: $473K

Clients by type

ADV Item 5D

Client type	Clients	AUM
High net worth individuals	24	$40.8M
Individuals (other than high net worth individuals)	123	$28.7M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
Hourly charges
A percentage of assets under your management

Advisory activities

Financial planning services
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Employees	2	1	decreased by1
Apr 1, 2026	Clients	155	147	decreased by8
Apr 1, 2026	AUM	$58,706,582	$69,546,598	increased by$10,840,016
Apr 1, 2026	Accounts	325	300	decreased by25
May 1, 2025 vs Oct 1, 2022	Employees	3	2	decreased by1
May 1, 2025 vs Oct 1, 2022	Clients	129	155	increased by26
May 1, 2025 vs Oct 1, 2022	AUM	$45,047,833	$58,706,582	increased by$13,658,749
May 1, 2025 vs Oct 1, 2022	Accounts	269	325	increased by56
Mar 1, 2022	Clients	127	129	increased by2
Mar 1, 2022	AUM	$40,058,780	$45,047,833	increased by$4,989,053
Mar 1, 2022	Accounts	127	269	increased by142
Aug 1, 2021	AUM	$35,073,217	$40,058,780	increased by$4,985,563
Jul 1, 2021	Employees	1	3	increased by2
Apr 1, 2021	Registration	—	APPROVED

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “ROCHESTER INVESTMENTS” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ROCHESTER INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.