Firm profile

Sage, Rutty & Co.., Inc..

ROCHESTER, NYCRD 3254Registration Status: ApprovedEffective since January 26, 1990SEC # 801-35917Latest ADV September 21, 2026

Sage, Rutty & Co., Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Rochester, NY. Its latest Form ADV filing, dated September 21, 2026, reports $3.5B in regulatory assets under management, 36 employees, 1 office, and 8,163 accounts.

Assets Under Management
$3.5B
Employees
36
Offices
1 office
Total Clients
8,613

Associated firm names

2 names listed
  • SAGE RUTTY TRUST
  • SAGE, RUTTY & CO., INC.

Leadership

2 roles identified
CEOTrevor William Holly
CCOCorinne Marie Dennis

Advisory services offered

5 types reported
Educational seminars/workshops
Financial Planning Services
Portfolio management for individuals and small businesses

Fee models offered

3 types reported
Asset based fees
Fixed fees
Hourly charges

Offices & Contact

Primary office

ROCHESTER, New York, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

New York

ROCHESTERPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$3.5Bas of September 21, 2026
Discretionary51.9%
$1.8B
52% of total RAUM51.9%
Non-discretionary48.1%
$1.7B
48% of total RAUM48.1%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 80.0% of total clients.
Top client categories% of clientsClients
1
Individuals
80.0%
6,892
2
HNWI
15.0%
1,292
3
Corporations
3.5%
300
4
Charitable
1.5%
129
Categories with <5 clients
Banking or thrift institutions<5 clients
Insurance companies<5 clients
Other categories<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$3.5B
Total Accounts8,163
10Y AUM Change+$2.6B (+304.4%)

Private Funds

Private funds reported by Sage, Rutty & Co.., Inc..

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees36
Clients per Employee239:1
10Y Employee Change+11 (+44.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
WAYNE FOSTER HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
10% to < 25%
AUDREY WELLER HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
10% to < 25%
DOUGLAS EVANS III PARKERDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
10% to < 25%
KIM LISBETH NUGENTDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
10% to < 25%
TREVOR WILLIAM HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
5% to < 10%
JAMES PAUL BURKEDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
SANDRA JEAN WEHNERDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
ROBERT JOHN FALVEYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
MATTHEW JAMES LACEYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
CURT ALLEN EHRLICHDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
LAURA SUZANNE FROODDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
CONNOR B HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
JESSICA LAUREN HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
JARED FOSTER HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
SEAN TYLER HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
SHANE ALEXANDER HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%
CHRISTOPHER ROBERT HOLLYDirect owner · Schedule AInterest in SAGE, RUTTY & CO., INC.
< 5%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Sage, Rutty & Co.., Inc...

No indirect ownership information reported in the source’s Schedule B.

Reported ownership and control details

Form ADV · Filing date 2026-09-21 · Schedules A and B

22 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1WAYNE FOSTER HOLLYEXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTORIndividualSAGE, RUTTY & CO., INC.10% to less than 25%Code BYesEXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR05/2022Schedule APDF page 20
2JAMES PAUL BURKESECRETARY, VICE PRESIDENT, SHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NAYesSECRETARY, VICE PRESIDENT, SHAREHOLDER10/1996Schedule APDF page 20
3AUDREY WELLER HOLLYSHAREHOLDERIndividualSAGE, RUTTY & CO., INC.10% to less than 25%Code BNoSHAREHOLDER10/1999Schedule APDF page 20
4SANDRA JEAN WEHNERSHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoSHAREHOLDER03/2005Schedule APDF page 20
5DOUGLAS EVANS III PARKERDIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENTIndividualSAGE, RUTTY & CO., INC.10% to less than 25%Code BNoDIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT06/2006Schedule APDF page 20
6ROBERT JOHN FALVEYSHAREHOLDER (10/1996)IndividualSAGE, RUTTY & CO., INC.Less than 5%Code NAYesSHAREHOLDER (10/1996)06/2006Schedule APDF page 20
7RALPH JOSEPH DANDREADIRECTORIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoDIRECTOR03/2009Schedule APDF page 20
8MATTHEW JAMES LACEYCONTROLLER,TREASURER, FINOP, SHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NAYesCONTROLLER,TREASURER, FINOP, SHAREHOLDER05/2009Schedule APDF page 20
9ROBERT LAWRENCE LOHWATERCORPORATE OFFICERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NAYesCORPORATE OFFICER07/2023Schedule APDF page 20
10CURT ALLEN EHRLICHSENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoSENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER04/2003Schedule APDF page 20
11KIM LISBETH NUGENTSENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDERIndividualSAGE, RUTTY & CO., INC.10% to less than 25%Code BNoSENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER07/2010Schedule APDF page 20
12LAURA SUZANNE FROODFINANCIAL ADVISOR, SHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoFINANCIAL ADVISOR, SHAREHOLDER08/2001Schedule APDF page 20
13TREVOR WILLIAM HOLLYPRESIDENT, CEO, SHAREHOLDERIndividualSAGE, RUTTY & CO., INC.5% to less than 10%Code AYesPRESIDENT, CEO, SHAREHOLDER05/2022Schedule APDF page 20
14CONNOR B HOLLYFINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENTIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoFINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT08/2021Schedule APDF page 20
15JESSICA LAUREN HOLLYSHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoSHAREHOLDER10/2022Schedule APDF page 20
16JARED FOSTER HOLLYSHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoSHAREHOLDER10/2022Schedule APDF page 20
17SEAN TYLER HOLLYSHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoSHAREHOLDER10/2022Schedule APDF page 20
18SHANE ALEXANDER HOLLYSHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoSHAREHOLDER10/2022Schedule APDF page 20
19NEIL STEWART III FROODFINANCIAL ADVISOR, DIRECTORIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoFINANCIAL ADVISOR, DIRECTOR07/2023Schedule APDF page 20
20CORINNE MARIE DENNISCHIEF COMPLIANCE OFFICERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NAYesCHIEF COMPLIANCE OFFICER01/2024Schedule APDF page 20
21CHELSEA LEIGH CONWAYDIRECTORIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoDIRECTOR07/2024Schedule APDF page 20
22CHRISTOPHER ROBERT HOLLYSHAREHOLDERIndividualSAGE, RUTTY & CO., INC.Less than 5%Code NANoSHAREHOLDER10/2024Schedule APDF page 20

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 9/21/2026 2:38:32 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.