Sage, Rutty & Co., Inc.
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 3254
· SEC file 801-35917
· Rochester, NY
· WWW.LINKEDIN.COM
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ADV data as of Mar 24, 2026
- Regulatory AUM
- $3.5B
- Discretionary
- $1.8B
- Clients
- 8,613
- Avg AUM / client
- $401K
- Accounts
- 8,163
- Employees
- 36
AUM over time
$354M
$3.5B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 6,892 | $2.8B | 80.0% |
| High net worth individuals | 1,292 | $519M | 15.0% |
| Banking or thrift institutions | Fewer than 5 clients | $0 | — |
| Pension and profit sharing plans | Fewer than 5 clients | $0 | — |
| Charitable organizations | 129 | $51.9M | 1.5% |
| State or municipal government entities | Fewer than 5 clients | $0 | — |
| Other investment advisers | Fewer than 5 clients | $0 | — |
| Insurance companies | Fewer than 5 clients | $0 | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 | — |
| Corporations and other businesses | 300 | $121M | 3.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Enbi 401(k) Plan Enbi Rochester, Inc. | Rochester, NY | 2024 |
| Ongweoweh Corp. 401(k) Plan Ongweoweh Corp. | 2024 | |
| Arnold & Porter Profit Sharing And 401(k) Plan And Trust Arnold & Porter Kaye Scholer Llp | 2024 | |
| East House 401(k) Plan East House Corporation | 2024 | |
| Itx Corp. 401(k) Plan Itx Corp. | 2024 |
People (54)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Paul Burke | Secretary, Vice President, Shareholder | CFP | Oct 1996 (30y) | Less than 5% |
| Laura Suzanne Frood | Financial Advisor, Shareholder | Aug 2001 (25y) | Less than 5% | |
| Curt Allen Ehrlich | Senior Vice President, Financial Advisor, Shareholder | Apr 2003 (23y) | Less than 5% | |
| Wehner, Sandra Jean | Shareholder, Director | Mar 2005 (21y) | Less than 5% | |
| Douglas Evans Parker | Director, Shareholder, Financial Advisor, Senior Vice President | Jun 2006 (20y) | 10% – 25% | |
| Falvey, Robert John | Shareholder (10/1996) | Jun 2006 (20y) | Less than 5% | |
| Wayne Foster Holly | Executive Chairman, Shareholder, Director | May 2008 (18y) | 25% – 50% | |
| Neil Stewart Frood | Financial Advisor, Director | Aug 2008 (18y) | Less than 5% | |
| Lacey, Matthew James | Controller,Treasurer, Finop | May 2009 (17y) | Less than 5% | |
| Kim Lisbeth Nugent | Senior Vice President, Financial Advisor, Shareholder | CFP | Jul 2010 (16y) | 10% – 25% |
| Connor B Holly | Financial Advisor, Shareholder, First Vice President | CFP | Sep 2011 (15y) | Less than 5% |
| Corinne Marie Dennis | Chief Compliance Officer | Mar 2021 (5y) | Less than 5% | |
| Holly, Trevor William | President, Ceo, Shareholder | May 2022 (4y) | Less than 5% | |
| Holly, Jared Foster | Shareholder | Oct 2022 (4y) | Less than 5% | |
| Holly, Jessica Lauren | Shareholder | Oct 2022 (4y) | Less than 5% | |
| Holly, Sean Tyler | Shareholder | Oct 2022 (4y) | Less than 5% | |
| Holly, Shane Alexander | Shareholder | Oct 2022 (4y) | Less than 5% | |
| Lohwater, Robert Lawrence | Corporate Officer | Jul 2023 (3y) | Less than 5% | |
| Laura J Parker | Registered representative | Feb 2008 (18y) | ||
| Dawn Marie Gilchrist | Registered representative | Sep 2008 (18y) | ||
| Kristin Marie Dowejko | Registered representative | Aug 2009 (17y) | ||
| Jennifer Marie Fox | Registered representative | Mar 2012 (14y) | ||
| Melissa Nicole Cropo | Registered representative | Nov 2013 (13y) | ||
| Zachary Theodore Armstrong | Registered representative | CFP | May 2014 (12y) | |
| Craig David Gingerich | Registered representative | CFP | Aug 2014 (12y) | |
| Colin J Young | Registered representative | Sep 2015 (11y) | ||
| Aaron Charles Young | Registered representative | CFP | May 2017 (9y) | |
| Brennan Richard Redmond | Registered representative | CFP CFA | Jun 2017 (9y) | |
| David William Swain | Registered representative | Mar 2018 (8y) | ||
| Ryleigh Marie Manser | Registered representative | May 2018 (8y) | ||
| Kathryn Ann Keenan | Registered representative | Apr 2019 (7y) | ||
| Teresa Lee Robinson | Registered representative | Jun 2019 (7y) | ||
| David Lawrence Dewind | Registered representative | Jun 2021 (5y) | ||
| Caroline Dow Hill | Registered representative | Jun 2021 (5y) | ||
| Kimberly M Schulwitz | Registered representative | Sep 2021 (5y) | ||
| Joseph Stephen Parks | Registered representative | Mar 2022 (4y) | ||
| Sunny M Ramirez | Registered representative | Apr 2022 (4y) | ||
| Jeffrey Thomas Jones | Registered representative | May 2022 (4y) | ||
| Sara Lindsey Groschadl | Registered representative | Jan 2023 (4y) | ||
| Joshua David Slish | Registered representative | Sep 2023 (3y) | ||
| Lauren Mc Kerrow | Registered representative | Jan 2024 (3y) | ||
| Donna M Malucci | Registered representative | Jun 2024 (2y) | ||
| Steven Ciotti | Registered representative | Jul 2024 (2y) | ||
| Joseph Cerqua | Registered representative | CFA | Sep 2024 (2y) | |
| John Robert Cairns | Registered representative | Oct 2024 (2y) | ||
| Matthew Magee | Registered representative | Jan 2025 (2y) | ||
| Matthew Webster | Registered representative | Jul 2025 (1y) | ||
| Gina M Griffo | Registered representative | Sep 2025 (1y) | ||
| Nicolas M Spinelli | Registered representative | Oct 2025 (1y) | ||
| Zachary Lessard | Registered representative | Dec 2025 (1y) | ||
| Jennifer Elizabeth Hall | Registered representative | Apr 2026 (0y) | ||
| Hope Duncan | Registered representative | May 2026 (0y) | ||
| Corey Alan Van Lare | Registered representative | CFA | Jun 2026 (0y) | |
| Dustin Lee Baker | Registered representative | CFP Chartered Financial Consultant | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Holly, Audrey Weller | Shareholder | Oct 1999 | A | 10% – 25% |
| Dipasquale, Sebastian Anthony | Shareholder | Feb 1987 | A | Less than 5% |
| Ralph Joseph Dandrea | Director | Mar 2009 | A | Less than 5% |
Undisclosed: 0% – 45% 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 (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Enbi 401(k) Plan | Enbi Rochester, Inc. | 115 | $10.6M | 01/01/2024 |
| Ongweoweh Corp. 401(k) Plan | Ongweoweh Corp. | 159 | $6.2M | 01/01/2024 |
| Arnold & Porter Profit Sharing And 401(k) Plan And Trust | Arnold & Porter Kaye Scholer Llp | 1,788 | $1.6B | 01/01/2024 |
| East House 401(k) Plan | East House Corporation | 173 | $9.3M | 01/01/2024 |
| Itx Corp. 401(k) Plan | Itx Corp. | 115 | $15.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 1.01 MB | 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
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Firm reports having 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: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗