Rochester Wealth Strategies, Llc
- Regulatory AUM
- $178M
- Discretionary
- $169M
- Clients
- 137
- Avg AUM / client
- $1.3M
- Accounts
- 445
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 17, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 66 | $38.9M | 21.9% |
| High net worth individuals | 68 | $139M | 78.0% |
| Charitable organizations | 2 | $112K | 0.06% |
| Corporations and other businesses | 1 | $1.7K | 0.0% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Dominic Garcia | Sole Member | Sep 2018 (8y) | 75% or more | |
| Xenia Kristina Woltmann | Chief Compliance Officer | Jun 2022 (4y) | Less than 5% | |
| Julie Ann Frakes Lobaza | Registered representative | Jun 2020 (6y) | ||
| Zhaoji George Yang | Registered representative | CFA | May 2026 (0y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/17/2026 | 899 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
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $178M (100% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 17, 2026.
View current Form ADV (SEC/IAPD) ↗