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HIGH FALLS ADVISORS, INC.
CRD 108678File 801-34161
APPROVED
Retail clients
Custody
Filing as of Mar 31, 2026
Feed vintage Sep 30, 2026
Regulatory AUM
$694.7M
Above cohort median (national)
Discretionary AUM
$685.8M
Non-discretionary $8.9M
Clients
788
1,848 accounts
Employees
17
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- May 4, 1989
- Principal office
- 180 SOUTH CLINTON AVE, SUITE 300, ROCHESTER, NY, 14604
- Phone
- 585-935-5300
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $694.7M
- Discretionary AUM
- $685.8M
- Non-discretionary AUM
- $8.9M
- Discretionary accounts
- 1,847
- Non-discretionary accounts
- 1
- Total accounts
- 1,848
- AUM per client
- $882K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $3.5M |
| Charitable organizations | Fewer than 5 | $6.1M |
| High net worth individuals | 210 | $457.9M |
| Individuals (other than high net worth individuals) | 574 | $227.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 18 | 17 | decreased by1 |
| Apr 1, 2026 | Clients | 766 | 788 | increased by22 |
| Apr 1, 2026 | AUM | $607,043,854 | $694,723,183 | increased by$87,679,329 |
| Apr 1, 2026 | Accounts | 1,762 | 1,848 | increased by86 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 17 | 18 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 965 | 766 | decreased by199 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $534,109,903 | $607,043,854 | increased by$72,933,951 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,585 | 1,762 | increased by177 |
| Apr 1, 2022 | Employees | 15 | 17 | increased by2 |
| Apr 1, 2022 | Clients | 902 | 965 | increased by63 |
| Apr 1, 2022 | AUM | $473,220,724 | $534,109,903 | increased by$60,889,179 |
| Apr 1, 2022 | Accounts | 1,527 | 1,585 | increased by58 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HIGH FALLS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HIGH FALLS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.