HIGH FALLS ADVISORS, INC.
Latest filing: Mar 31, 2025 (83 days ago)
AUM
$607,043,854
17% change vs. 1 year ago
14% change vs. 3 years ago
33% change vs. 5 years ago
3% change vs. 10 years ago
Employee Count
18
6% change vs. 1 year ago
6% change vs. 3 years ago
29% change vs. 5 years ago
-5% change vs. 10 years ago
Main Office
ROCHESTER, NY
180 SOUTH CLINTON AVE, ROCHESTER, NY, UNITED STATES, 14604
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.6 |
| Non-Discretionary | $0.0 |
| Total | $0.6 |
| Client | AUM |
|---|---|
| Retail | $0.6 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 580 | $0.2 |
| Average Individual AUM | $382,828 | |
| HNW | 182 | $0.4 |
| Average HNW AUM | $2,067,043 | |
| Retail Total | 762 | $0.6 |
| Average Retail AUM | $785,095 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $0.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.6 |
| Retail SMA AUM | $0.6 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 75% | $0.5 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 23% | $0.1 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| JENNIFER ENGLERT VOGLER | $0.0 | law firm | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
10 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DEBORAH KING | ROCHESTER | NY | S66|2014-03-17 | ||||||
| JENNIFER VOGLER | ROCHESTER | NY | |||||||
| KENNETH BURKE | ROCHESTER | NY | S63|2002-05-07|S65|2002-05-14 | PERSONAL FINANCIAL SPECIALIST | |||||
| ROBERT GRANISH | ROCHESTER | NY | S66|2018-08-22 | ||||||
| JAMES ENGLERT | ROCHESTER | NY | S63|1992-09-08|S65|1996-01-09 | CERTIFIED FINANCIAL PLANNER | |||||
| RUSSELL MANDRINO | ROCHESTER | NY | S63|2007-02-13|S65|2007-09-27|S66|2000-10-30 | ||||||
| JAMES MCBRIDE | ROCHESTER | NY | S63|1985-04-15|S65|1996-06-20 | ||||||
| DEBORAH BASTOW | ROCHESTER | NY | S63|1996-12-17|S65|1999-04-12 | ||||||
| ANNRANDYL BEACH | ROCHESTER | NY | S63|2007-03-16|S65|2011-07-27 | ||||||
| ROBERT VAY | ROCHESTER | NY | S65|2010-05-20 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.6 | $0.0 | 0% | 18 | 0 | 0% |
| 2025-04-21 | $0.6 | $0.0 | 0% | 18 | 0 | 0% |
| 2024-04-02 | $0.5 | $0.1 | 17% | 17 | 1 | 6% |
| 2023-04-04 | $0.5 | $0.2 | 34% | 17 | 1 | 6% |
| 2022-04-01 | $0.5 | $0.1 | 14% | 17 | 1 | 6% |
| 2021-04-05 | $0.5 | $0.1 | 28% | 15 | 3 | 20% |
| 2020-04-01 | $0.5 | $0.2 | 33% | 14 | 4 | 29% |
| 2019-04-01 | $0.4 | $0.2 | 55% | 14 | 4 | 29% |
| 2018-04-02 | $0.5 | $0.2 | 33% | 17 | 1 | 6% |
| 2017-04-01 | $0.4 | $0.2 | 43% | 17 | 1 | 6% |
| 2016-04-01 | $0.5 | $0.1 | 12% | 18 | 0 | 0% |
| 2015-04-01 | $0.6 | $0.0 | 3% | 19 | -1 | -5% |
| 2014-04-01 | $0.6 | $0.0 | 7% | 15 | 3 | 20% |
| 2013-04-01 | $0.4 | $0.2 | 43% | 15 | 3 | 20% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, CA-03/30/2011, FL-03/31/2011, MA-03/30/2016, NC-03/30/2011, NY-08/15/2001, PA-03/28/2024, TX-03/29/2014 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
REP BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV