HIGH PROBABILITY ADVISORS, LLC
Adviser information for HIGH PROBABILITY ADVISORS, LLC last updated from Form ADV on February 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 591 | $641.2M |
| Non-Discretionary | 26 | $38.7M |
| Total | 617 | $679.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 138 | $51.1M |
| HNW Individuals | 118 | $556.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 35 | $59.3M |
| Charitable organizations | 5 | $13.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-111913 |
|---|---|
| SEC ERA File Number | 801-111913 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289541 |
| Legal Entity Identifier | None |
Principal Office
167 SULLY'S TRAILSUITE 300
PITTSFORD
NY
United States
Monday - Friday, 8:30 TO 5 PM
Tel: 585-485-0135, Fax: 585-304-8161
Chief Compliance Officer
JEFFREY COONS
CHIEF RISK OFFICER
167 SULLY'S TRAIL
SUITE 300
PITTSFORD
NY
United States
Tel:
585-485-0135
J*****@**************************M
(Full email address available in API data)
Regulatory Contact
STEPHEN JOSEPH CARL
CHIEF EXECUTIVE OFFICER
167 SULLY'S TRAIL
SUITE 300
PITTSFORD
NY
United States
Tel:
585-485-0135
Fax:
585-304-8161
S****@**************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARL, STEPHEN, JOSEPH | Individual | – | CHIEF EXECUTIVE OFFICER | 08/2017 | < 5% |
| JONES, MICHAEL, EDWARD | Individual | – | CHIEF INVESTMENT OFFICER | 10/2017 | < 5% |
| JONES CARL GROUP, LLC | Domestic Entity | – | OWNER | 08/2018 | 50-75% |
| BONADIO & CO, LLP | Domestic Entity | – | OWNER | 08/2018 | 25-50% |
| COONS, JEFFREY, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | 5-10% |