HIGH FALLS ADVISORS, INC

HTTP://WWW.HIGHFALLSADVISORS.COM ROCHESTER, NY Investment Advisor How do I update this listing?

High Falls Advisors is based out of Rochester. High Falls Advisors is a large advisory firm with 947 clients and discretionary assets under management (AUM) of $391,884,930 (Form ADV from 2018-08-01). Their last reported 13F filing for Q3 2019 included $322,874,000 in managed 13F securities and a top 10 holdings concentration of 56.44%. High Falls Advisors's largest holding is SPDR S&P 500 ETF Trust with shares held of 78,826. Whalewisdom has at least 16 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $322.874 Million
  • Prior Market Value $308.439 Million
  • New Purchases6 stocks
  • Additional Purchases46 stocks
  • Sold out of8 stocks
  • Reduced holdings in29 stocks
  • Top 10 Holdings % 56.44 %
  • Turnover % [1]:14.74%
  • Turnover Alt % [2]: 6.00 %
  • Time Held Top20:9.75 quarters
  • Time Held Top10:6.60 quarters
  • Time Held All:10.26 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 1.5%
Performance Last 4 Quarters: 1.79%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

HIGH FALLS ADVISORS, INC.
180 SOUTH CLINTON AVE SUITE 300
ROCHESTER NY    14604
Country: United States

Business Phone: 585-935-5300
Fax: 585-777-4037
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NY
Number of employees: 14
Other Business Activities: registered representative of a broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 14,870,600
Total Number of Clients: 947
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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HIGH FALLS ADVISORS, INC.

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
VOGLER, JENNIFER, ENGLERT CHIEF COMPLIANCE OFFICER 09/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MCBRIDE JAMES HENRY CHIEF COMPLIANCE OFFICER direct 2005-09-01
ENGLERT, JAMES, THOMAS PRESIDENT AND CEO 01/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
MCBRIDE JAMES HENRY MEMBER/OWNER direct 2008-01-01
HIGH FALLS ADVISORS, INC. VICE PRESIDENT direct 2012-01-01
HIGH FALLS ADVISORS, INC. EXECUTIVE VICE PRESIDENT direct 2012-01-01
HIGH FALLS ADVISORS, INC. PRESIDENT AND CEO direct 2017-01-01
BURKE, KENNETH, JOSEPH CHIEF FINANCIAL OFFICER/GENERAL MANAGER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGH FALLS ADVISORS, INC. CHIEF FINANCIAL OFFICER/GENERAL MANAGER direct 2014-06-01

HIGH FALLS ADVISORS, INC.

ownership team - last updated 2018-11-29
Name Title Start Date Direct/Indirect % Ownership
VOGLER, JENNIFER, ENGLERT CHIEF COMPLIANCE OFFICER 09/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MCBRIDE JAMES HENRY CHIEF COMPLIANCE OFFICER direct 2005-09-01
ENGLERT, JAMES, THOMAS PRESIDENT AND CEO 01/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
MCBRIDE JAMES HENRY MEMBER/OWNER direct 2008-01-01
HIGH FALLS ADVISORS, INC. VICE PRESIDENT direct 2012-01-01
HIGH FALLS ADVISORS, INC. EXECUTIVE VICE PRESIDENT direct 2012-01-01
HIGH FALLS ADVISORS, INC. PRESIDENT AND CEO direct 2017-01-01
BURKE, KENNETH, JOSEPH CHIEF FINANCIAL OFFICER/GENERAL MANAGER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGH FALLS ADVISORS, INC. CHIEF FINANCIAL OFFICER/GENERAL MANAGER direct 2014-06-01

HIGH FALLS ADVISORS, INC.

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
VOGLER, JENNIFER, ENGLERT CHIEF COMPLIANCE OFFICER 09/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
MCBRIDE JAMES HENRY CHIEF COMPLIANCE OFFICER direct 2005-09-01
ENGLERT, JAMES, THOMAS PRESIDENT AND CEO 01/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
MCBRIDE JAMES HENRY MEMBER/OWNER direct 2008-01-01
HIGH FALLS ADVISORS, INC. VICE PRESIDENT direct 2012-01-01
HIGH FALLS ADVISORS, INC. EXECUTIVE VICE PRESIDENT direct 2012-01-01
HIGH FALLS ADVISORS, INC. PRESIDENT AND CEO direct 2017-01-01
BURKE, KENNETH, JOSEPH CHIEF FINANCIAL OFFICER/GENERAL MANAGER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGH FALLS ADVISORS, INC. CHIEF FINANCIAL OFFICER/GENERAL MANAGER direct 2014-06-01

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