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RISE ADVISORS, LLC

ROCHESTER, NY · CRD 309760 · IAPD ↗ · 585-565-3444

$441.2MRegulatory AUM
7Advisory reps
9Employees
7Clients
11-25Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — RISE ADVISORS, LLC notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2026 — RISE ADVISORS, LLC reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
April 2026 — RISE ADVISORS, LLC reported RAUM up 29% ($340.9M -> $441.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2026 — RISE ADVISORS, LLC now reports custody of client assets ($3.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2026 — RISE ADVISORS, LLC grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
March 2026 — RISE ADVISORS, LLC notice-filed in IN, ME.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
March 2025 — RISE ADVISORS, LLC reported RAUM up 36% ($250.1M -> $340.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
63
April 2024 — RISE ADVISORS, LLC reported RAUM up 25% ($200.0M -> $250.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.