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HIGH FALLS ADVISORS, INC.

ROCHESTER, NY · CRD 108678 · IAPD ↗ · 585-935-5300

$694.7MRegulatory AUM
7Advisory reps
17Employees
3Clients
251-500Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
October 2026 — HIGH FALLS ADVISORS, INC. (ROCHESTER, NY) left the SEC roster (was $694.7M RAUM, 7 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
53
April 2025 — HIGH FALLS ADVISORS, INC. shrank from 11 to 7 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
45
April 2024 — HIGH FALLS ADVISORS, INC. notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — HIGH FALLS ADVISORS, INC. crossed $500M in regulatory AUM ($451.4M -> $520.6M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.