HIGH FALLS ADVISORS, INC.
Adviser information for HIGH FALLS ADVISORS, INC. last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,704 | $520.6M |
| Non-Discretionary | 0 | $0 |
| Total | 1,704 | $520.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 816 | $189.7M |
| HNW Individuals | 160 | $325.2M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $5.7M |
| 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 | 11 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Principal Office
180 SOUTH CLINTON AVESUITE 300
ROCHESTER
NY
United States
Monday - Friday, 8:30AM TO 4:30PM
Tel: 585-935-5300, Fax: 585-777-4037
Websites
www.highfallsadvisors.com
www.facebook.com/highfallsadvisorsinc
www.linkedin.com/company/high-falls-advisors/
www.youtube.com/@highfallsadvisors
www.yelp.com/biz/high-falls-advisors-rochester
goo.gl/maps/4cwcm34juaxxk9zxa
www.bing.com/maps?osid=9998a113-e5b8-488f-ae57-81590b624998&cp=43.153253~-77.609301&lvl=16&imgid=dd91a4ab-fa3d-4516-bcd6
Chief Compliance Officer
JENNIFER E. VOGLER
CHIEF COMPLIANCE OFFICER
180 SOUTH CLINTON AVE
SUITE 300
ROCHESTER
NY
United States
Tel:
585-935-5308
Fax:
585-777-4037
J******@********************M
(Full email address available in API data)
Regulatory Contact
ROBERT VAY
OPERATIONS
180 SOUTH CLINTON AVENUE
SUITE 300
ROCHESTER
NY
United States
Tel:
585-935-8507
Fax:
585-777-4037
R***@********************M
(Full email address available in API data)
Industry Affiliates
| JENNIFER ENGLERT VOGLER, ESQ | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VOGLER, JENNIFER, ENGLERT | Individual | – | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 01/2020 | 50-75% |
| BURKE, KENNETH, JOSEPH | Individual | – | PRESIDENT/CHIEF EXECUTIVE OFFICER | 01/2020 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 15th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 308K | 2K | – |
| ALPHABET INC | CAP STK CL C | 240K | 1K | – |
| AMAZON COM INC | COM | 815K | 4K | – |
| AMGEN INC | COM | 466K | 1K | – |
| APPLE INC | COM | 12M | 55K | – |
| ARM HOLDINGS PLC | SPONSORED ADS | 654K | 4K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 612K | 1 | – |
| BLACKROCK ETF TRUST | US CARBON TRANS | 284K | 5K | – |
| BLACKROCK ETF TRUST | US EQT FACTOR | 24M | 509K | – |
| BLACKROCK ETF TRUST II | AAA CLO ETF | 512K | 10K | – |
| BLACKROCK ETF TRUST II | FLEXIBLE INCOME | 7M | 129K | – |
| BOEING CO | COM | 796K | 4K | – |
| BROADCOM INC | COM | 385K | 240 | – |
| CAPITAL GROUP CORE EQUITY ET | SHS CREATION UNI | 409K | 13K | – |
| CAPITAL GROUP DIVIDEND VALUE | SHS CREATION UNI | 282K | 9K | – |
| CAPITAL GROUP GBL GROWTH EQT | SHS CREATION UNI | 224K | 8K | – |
| CAPITAL GROUP GROWTH ETF | SHS CREATION UNI | 230K | 7K | – |
| CATERPILLAR INC | COM | 2M | 5K | – |
| COCA COLA CO | COM | 338K | 5K | – |
| CORNING INC | COM | 257K | 7K | – |
| DEERE & CO | COM | 580K | 2K | – |
| EASTMAN CHEM CO | COM | 250K | 3K | – |
| ELI LILLY & CO | COM | 476K | 526 | – |
| EXXON MOBIL CORP | COM | 992K | 9K | – |
| HONEYWELL INTL INC | COM | 427K | 2K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 220K | 1K | – |
| INTUIT | COM | 372K | 566 | – |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 388K | 6K | – |
| INVESCO EXCHANGE TRADED FD T | INTL DIVI ACHI | 295K | 16K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 222K | 1K | – |
| INVESCO EXCHANGE TRADED FD T | ZACKS MULT AST | 278K | 11K | – |
| INVESCO QQQ TR | UNIT SER 1 | 5M | 10K | – |
| ISHARES INC | CORE MSCI EMKT | 8M | 153K | – |
| ISHARES INC | ESG AWR MSCI EM | 232K | 7K | – |
| ISHARES INC | MSCI EMRG CHN | 8M | 143K | – |
| ISHARES INC | MSCI GBL MIN VOL | 229K | 2K | – |
| ISHARES TR | 10-20 YR TRS ETF | 1M | 12K | – |
| ISHARES TR | 20 YR TR BD ETF | 8M | 89K | – |
| ISHARES TR | 7-10 YR TRSY BD | 589K | 6K | – |
| ISHARES TR | AGGRES ALLOC ETF | 693K | 9K | – |
| ISHARES TR | CONV BD ETF | 307K | 4K | – |
| ISHARES TR | CORE DIV GRWTH | 534K | 9K | – |
| ISHARES TR | CORE HIGH DV ETF | 215K | 2K | – |
| ISHARES TR | CORE MSCI EAFE | 415K | 6K | – |
| ISHARES TR | CORE MSCI TOTAL | 266K | 4K | – |
| ISHARES TR | CORE S&P MCP ETF | 591K | 10K | – |
| ISHARES TR | CORE S&P SCP ETF | 450K | 4K | – |
| ISHARES TR | CORE S&P US GWT | 569K | 4K | – |
| ISHARES TR | CORE S&P500 ETF | 75M | 137K | – |
| ISHARES TR | CORE TOTAL USD | 56M | 1M | – |
| ISHARES TR | CORE US AGGBD ET | 230K | 2K | – |
| ISHARES TR | EAFE GRWTH ETF | 21M | 209K | – |
| ISHARES TR | EAFE VALUE ETF | 9M | 171K | – |
| ISHARES TR | ESG AWR MSCI USA | 3M | 26K | – |
| ISHARES TR | ESG MSCI LEADR | 261K | 3K | – |
| ISHARES TR | EUROPE ETF | 678K | 12K | – |
| ISHARES TR | EXPND TEC SC ETF | 382K | 4K | – |
| ISHARES TR | FALN ANGLS USD | 430K | 16K | – |
| ISHARES TR | GLOBAL ENERG ETF | 249K | 6K | – |
| ISHARES TR | GLOBAL TECH ETF | 436K | 5K | – |
| ISHARES TR | GRWT ALLOCAT ETF | 992K | 18K | – |
| ISHARES TR | HDG MSCI EAFE | 4M | 110K | – |
| ISHARES TR | IBOXX HI YD ETF | 300K | 4K | – |
| ISHARES TR | IBOXX INV CP ETF | 2M | 15K | – |
| ISHARES TR | INVESTMENT GRADE | 1M | 33K | – |
| ISHARES TR | ISHS 1-5YR INVS | 354K | 7K | – |
| ISHARES TR | ISHS 5-10YR INVT | 508K | 10K | – |
| ISHARES TR | JPMORGAN USD EMG | 2M | 27K | – |
| ISHARES TR | MBS ETF | 16M | 172K | – |
| ISHARES TR | MRGSTR MD CP GRW | 237K | 4K | – |
| ISHARES TR | MSCI INTL VLU FT | 678K | 25K | – |
| ISHARES TR | MSCI KLD400 SOC | 200K | 2K | – |
| ISHARES TR | MSCI USA MIN VOL | 660K | 8K | – |
| ISHARES TR | MSCI USA QLT FCT | 24M | 141K | – |
| ISHARES TR | MSCI USA VALUE | 223K | 2K | – |
| ISHARES TR | NATIONAL MUN ETF | 6M | 53K | – |
| ISHARES TR | PFD AND INCM SEC | 249K | 8K | – |
| ISHARES TR | RUS 1000 GRW ETF | 745K | 2K | – |
| ISHARES TR | RUS 2000 GRW ETF | 421K | 2K | – |
| ISHARES TR | RUS MD CP GR ETF | 243K | 2K | – |
| ISHARES TR | S&P 100 ETF | 2M | 6K | – |
| ISHARES TR | S&P 500 GRWT ETF | 30M | 326K | – |
| ISHARES TR | S&P 500 VAL ETF | 14M | 74K | – |
| ISHARES TR | S&P MC 400GR ETF | 344K | 4K | – |
| ISHARES TR | SELECT DIVID ETF | 1M | 12K | – |
| ISHARES TR | SHRT NAT MUN ETF | 517K | 5K | – |
| ISHARES TR | TIPS BD ETF | 1M | 10K | – |
| ISHARES TR | U.S. REAL ES ETF | 321K | 4K | – |
| ISHARES TR | U.S. TECH ETF | 11M | 76K | – |
| ISHARES TR | US INFRASTRUC | 3M | 60K | – |
| ISHARES TR | US TREAS BD ETF | 1M | 62K | – |
| JOHNSON & JOHNSON | COM | 276K | 2K | – |
| JPMORGAN CHASE & CO. | COM | 1M | 6K | – |
| LAKELAND INDS INC | COM | 447K | 19K | – |
| LOCKHEED MARTIN CORP | COM | 414K | 885 | – |
| M & T BK CORP | COM | 223K | 1K | – |
| MCDONALDS CORP | COM | 905K | 4K | – |
| MERCK & CO INC | COM | 502K | 4K | – |
| MICROSOFT CORP | COM | 4M | 8K | – |
| NVIDIA CORPORATION | COM | 3M | 22K | – |
| ORACLE CORP | COM | 530K | 4K | – |
| PAYCHEX INC | COM | 613K | 5K | – |
| PROCTER AND GAMBLE CO | COM | 245K | 1K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 257K | 3K | – |
| SELECT SECTOR SPDR TR | FINANCIAL | 270K | 7K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 312K | 5K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 3M | 6K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 1M | 3K | – |
| SPDR SER TR | PORTFLI INTRMDIT | 257K | 9K | – |
| SPDR SER TR | PORTFOLIO S&P600 | 240K | 6K | – |
| SPDR SER TR | S&P DIVID ETF | 2M | 16K | – |
| SRH TOTAL RETURN FUND INC | COM | 182K | 13K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 869K | 5K | – |
| TESLA INC | COM | 407K | 2K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 236K | 907 | – |
| VANGUARD INDEX FDS | GROWTH ETF | 398K | 1K | – |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 3M | 69K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 284K | 2K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 263K | 2K | – |
| VANGUARD WORLD FD | INF TECH ETF | 398K | 691 | – |
| VERIZON COMMUNICATIONS INC | COM | 213K | 5K | – |
| VISA INC | COM CL A | 1M | 5K | – |
| WALMART INC | COM | 375K | 6K | – |