DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
H••• F•••• A•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since May 4, 1989
RAUM
$695M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$685M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$63.2M
derived; firm RAUM over IAPD count
Employees
17
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$695M as of Mar 31, 2026
Mar 30, 2012$425M then
HNW client RAUM$458M as of Mar 31, 2026
Mar 31, 2018$26.9M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)17 as of Mar 31, 2026
Apr 1, 201315 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $63.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $375,932derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$458M66%
- Individuals$227M33%
- Charitable organizations$6.1M0.9%
- Corporations and businesses$3.5M0.5%
- Individual clients
- 574reported
- HNW clients
- 210reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 1,848reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J• M••••••• | Rochester, Ny | Jul 29, 2014 | 25 y | 2 |
| K•••••• J••••• B••••Personal Financial Specialist | Rochester, Ny | Aug 29, 2021 | 24 y | 0 |
| J•••• T••••• E••••••Certified Financial Planner | Rochester, Ny | Aug 29, 2021 | 34 y | 0 |
| A•••••••• B•••• | Folsom, Ca | Sep 2, 2021 | 19 y | 0 |
| J•••• H• M•••••• | Rochester, Ny | Sep 3, 2021 | 41 y | 0 |
| R••••• E• V•• | Folsom, Ca | Sep 4, 2021 | 20 y | 0 |
| J••••••• E•••••• V••••• | Folsom, Ca | Sep 4, 2021 | 26 y | 0 |
| D•••••• D•••••••• B••••• | Rochester, Ny | Sep 4, 2021 | 29 y | 1 |
| R••••• S•••••• G•••••• | Rochester, Ny | Jun 29, 2022 | 15 y | 2 |
| S••••• L••• | Rochester, Ny | May 30, 2025 | 12 y | 0 |
| J••• G•••••• K•••Certified Financial Planner | Rochester, Ny | May 4, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- G••••• D• M••••• to H••• P••••••••• A•••••••• L••Jan 2, 2023 · RIA to RIA
- M•••••• J• P••••• to H••• P••••••••• A•••••••• L••Sep 10, 2018 · RIA to RIA
- A••••• B••• F••••• D•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 3, 2018 · Other
- Z•••••• M•••••• H••••••••• to N••••••••• F•••••••• P•••••••• L••Dec 6, 2017 · Other
- M•••••• R••• to N••••••••• F•••••••• P•••••••• L••May 16, 2016 · Other
Joined, latest
- J••• G•••••• K••• from S••••• F•••••••• A••••••• L••May 4, 2026 · RIA to RIA
- R••••• S•••••• G•••••• from A••••••••• F•••••••• S•••••••• L••Jun 29, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••••• D•••••••• B••••• from W••• S••••• F•••••••• G••••• I••Sep 4, 2021 · Other
- G••••• D• M••••• from K••••• I••••••••• M•••••••••Aug 30, 2021 · RIA to RIA
- M•••••• J• P••••• from L•• F•••••••• L••Nov 14, 2014 · Other
- R•••••• J• M••••••• from W••• S••••• F•••••••• G••••• I••Jul 29, 2014 · Other
- A••••• B••• F••••• D•••••••• from S•••••••• A••••••• L••Dec 16, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••••• J••••• · President/Chief Executive Officercontrolsince 01/2020 · owns 50% to 75%
- V•••••• J•••••••• E•••••• · Vice President/Chief Compliance Officercontrolsince 01/2020 · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,762 to 1,848Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 2 to 0Mar 31, 2025 to Mar 31, 2026
- HNW clients · 182 to 210Mar 31, 2025 to Mar 31, 2026
- Individual clients · 580 to 574Mar 31, 2025 to Mar 31, 2026
- Employees · 18 to 17Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $599M to $686MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $376M to $458MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $222M to $227MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $8.1M to $8.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $607M to $695MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,704 to 1,762Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 11 to 7Mar 28, 2024 to Mar 31, 2025
- BD registered reps · 3 to 2Mar 28, 2024 to Mar 31, 2025
- Charity clients · 4 to 3Mar 28, 2024 to Mar 31, 2025
- Corporate clients · unset to 1.0Mar 28, 2024 to Mar 31, 2025
- HNW clients · 160 to 182Mar 28, 2024 to Mar 31, 2025
- Individual clients · 816 to 580Mar 28, 2024 to Mar 31, 2025
- Employees · 17 to 18Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 11 to 7Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $521M to $599MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $325M to $376MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $190M to $222MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $8.1MMar 28, 2024 to Mar 31, 2025
- RAUM · $521M to $607MMar 28, 2024 to Mar 31, 2025
- Accounts · 1,640 to 1,704Mar 29, 2023 to Mar 28, 2024
- HNW clients · 132 to 160Mar 29, 2023 to Mar 28, 2024
- Individual clients · 828 to 816Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $451M to $521MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $248M to $325MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $198M to $190MMar 29, 2023 to Mar 28, 2024
- RAUM · $451M to $521MMar 29, 2023 to Mar 28, 2024
- Accounts · 1,585 to 1,640Mar 31, 2022 to Mar 29, 2023
- HNW clients · 171 to 132Mar 31, 2022 to Mar 29, 2023
- Individual clients · 790 to 828Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $534M to $451MMar 31, 2022 to Mar 29, 2023
- HNW RAUM · $345M to $248MMar 31, 2022 to Mar 29, 2023
- Individual RAUM · $183M to $198MMar 31, 2022 to Mar 29, 2023
- RAUM · $534M to $451MMar 31, 2022 to Mar 29, 2023
Signals
4 dated events
- G••••• D• M••••• left H••• F•••• A•••••••• I••• for H••• P••••••••• A•••••••• L•• (registered 2023-04-20)Jan 2, 2023 · Advisor changed firm · fact
- T••••• J•••• E•••••• (Chief Executive Officer) no longer on Schedule A of H••• F•••• A•••••••• I••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- H••• F•••• A•••••••• I••• reported 0 state-registered advisory representatives, down from 10 (2018-11-29 to 2019-03-31)Mar 31, 2019 · Advisor headcount change · derived
- H••• F•••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 1, 2013 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/high-falls-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••F••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-935-5300reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $63.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026