Novem Group
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 158964
· SEC file 801-72741
· Rochester, NY
· WWW.NOVEMGROUP.COM
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ADV data as of Feb 27, 2026
- Regulatory AUM
- $1.7B
- Discretionary
- $1.5B
- Clients
- 3,653
- Avg AUM / client
- $470K
- Accounts
- 5,571
- Employees
- 52
AUM over time
$0
$1.7B
Nov 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Feb 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,253 | $826M | 48.1% |
| High net worth individuals | 260 | $547M | 31.8% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 137 | $344M | 20.0% |
| Charitable organizations | 2 | $1.3M | 0.07% |
| State or municipal government entities | 1 | $118K | 0.01% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 0 | $0 | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Kaapa Ethanol Holdings, Llc 401(k) & Profit Sharing Plan Kaapa Ethanol Holdings, Llc | 2024 | |
| Ehealth Global Technologies, Inc. 401(k) Profit Sharing Plan And Trust Ehealth Global Technologies, Inc. | 2024 | |
| Construction Industry 401 K Plan Builders Exchange Of The Southern Tier, Inc. | 2024 | |
| United Airlines Pilot Retirement Account Plan United Airlines, Inc. | 2024 |
People (32)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Joseph Bartolotta | Ceo | Jun 2011 (15y) | 75% or more | |
| Amanda Rachel Esteves | Cco | May 2016 (10y) | Less than 5% | |
| Patrick Daniel Manuel | President | Jan 2017 (10y) | Less than 5% | |
| Stephen Gerald Roehrig | Registered representative | May 2013 (13y) | ||
| James William Ugone | Registered representative | Nov 2014 (12y) | ||
| Kris Eric Tower | Registered representative | CFP | Jan 2015 (12y) | |
| Charles Gabriel Herendeen | Registered representative | Feb 2015 (11y) | ||
| Cynthia Mae Deal | Registered representative | CFP | Oct 2015 (11y) | |
| Adam C Morgan | Registered representative | CFP | Nov 2018 (8y) | |
| Bruce Todd Lear | Registered representative | Jan 2019 (8y) | ||
| Mackenzi Elizabeth Springer | Registered representative | Mar 2019 (7y) | ||
| Timothy Douglas Gerlach | Registered representative | Sep 2019 (7y) | ||
| Thomas Christopher Froehlich | Registered representative | Jul 2020 (6y) | ||
| Andrew Louis Gentile | Registered representative | Oct 2020 (6y) | ||
| Jeremy Thomas Raco | Registered representative | Oct 2020 (6y) | ||
| Mark Peter Gatti | Registered representative | CFP | Nov 2020 (6y) | |
| Vincent James Palumbos | Registered representative | Dec 2020 (6y) | ||
| Jeffrey Bernard Altieri | Registered representative | Mar 2021 (5y) | ||
| Gavin James Ugone | Registered representative | Aug 2021 (5y) | ||
| Anthony L Simonetti | Registered representative | Oct 2021 (5y) | ||
| Thomas Coyle Burke | Registered representative | Oct 2021 (5y) | ||
| Torrey James Giancursio | Registered representative | Mar 2022 (4y) | ||
| Ronald Jack Taylor | Registered representative | Apr 2022 (4y) | ||
| Kevin Glenn Albrecht | Registered representative | May 2022 (4y) | ||
| Jordan Allen Reinertson | Registered representative | Nov 2022 (4y) | ||
| Colin J Murray | Registered representative | Mar 2023 (3y) | ||
| Daniel Robert Williams | Registered representative | May 2023 (3y) | ||
| Matthew Ryan Spilfogel | Registered representative | Sep 2024 (2y) | ||
| Joseph George Mcpherson | Registered representative | CFP Chartered Financial Consultant | Sep 2024 (2y) | |
| Catherine Elizabeth Gueli | Registered representative | CFP | Sep 2024 (2y) | |
| Paula Marie Rogala | Registered representative | CFP | Oct 2024 (2y) | |
| Kimberley Kosko | Registered representative | Mar 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Kaapa Ethanol Holdings, Llc 401(k) & Profit Sharing Plan | Kaapa Ethanol Holdings, Llc | 121 | $13.6M | 01/01/2024 |
| Ehealth Global Technologies, Inc. 401(k) Profit Sharing Plan And Trust | Ehealth Global Technologies, Inc. | 179 | $5.8M | 01/01/2024 |
| Construction Industry 401 K Plan | Builders Exchange Of The Southern Tier, Inc. | 136 | $12.4M | 01/01/2024 |
| United Airlines Pilot Retirement Account Plan | United Airlines, Inc. | 17,444 | $16.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/27/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 27, 2026.
View current Form ADV (SEC/IAPD) ↗