0001569139-16-000004.txt : 20160217 0001569139-16-000004.hdr.sgml : 20160217 20160216173651 ACCESSION NUMBER: 0001569139-16-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160216 EFFECTIVENESS DATE: 20160217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: High Falls Advisors, Inc CENTRAL INDEX KEY: 0001569139 IRS NUMBER: 461165286 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17373 FILM NUMBER: 161430620 BUSINESS ADDRESS: STREET 1: 36 WEST MAIN STREET STREET 2: SUITE 322 CITY: ROCHESTER STATE: NY ZIP: 14614 BUSINESS PHONE: 585-935-5300 MAIL ADDRESS: STREET 1: 36 WEST MAIN STREET STREET 2: SUITE 322 CITY: ROCHESTER STATE: NY ZIP: 14614 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001569139 XXXXXXXX 12-31-2015 12-31-2015 false High Falls Advisors, Inc

36 WEST MAIN STREET SUITE 322 Rochester NY 14614

13F HOLDINGS REPORT 028-17373 N Jennifer Vogler 585-935-5308 Jennifer Vogler Rochester NY 02-16-2016 0 148 352491 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 220 9241 PRN SOLE 0 0 9241 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 145 18939 SH SOLE 0 0 18939 AMGEN INC COM 031162100 442 2721 SH SOLE 0 0 2721 APPLE INC COM 037833100 2369 22503 SH SOLE 0 0 22503 AT&T INC COM 00206R102 864 25110 SH SOLE 0 0 25110 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 520 3941 SH SOLE 0 0 3941 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 458 15653 PRN SOLE 0 0 15653 BRISTOL MYERS SQUIBB CO COM 110122108 221 3206 SH SOLE 0 0 3206 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 239 3618 PRN SOLE 0 0 3618 CHEVRON CORP NEW COM 166764100 289 3212 SH SOLE 0 0 3212 COCA COLA CO COM 191216100 433 10088 SH SOLE 0 0 10088 CVS CAREMARK CORPORATION COM 126650100 1188 12153 SH SOLE 0 0 12153 DIGITAL RLTY TR INC COM 253868103 207 2741 PRN SOLE 0 0 2741 DUKE ENERGY CORP NEW COM NEW 26441C204 222 3111 SH SOLE 0 0 3111 EASTMAN CHEM CO COM 277432100 234 3470 SH SOLE 0 0 3470 EXXON MOBIL CORP COM 30231G102 1395 17899 SH SOLE 0 0 17899 FIDELITY CONSMR STAPLES 316092303 1185 39133 SH SOLE 0 0 39133 FIDELITY MSCI CONSM DIS 316092204 1922 62639 SH SOLE 0 0 62639 FIDELITY MSCI FINLS IDX 316092501 1567 55354 SH SOLE 0 0 55354 FIDELITY MSCI HLTH CARE I 316092600 2016 58374 SH SOLE 0 0 58374 FIDELITY MSCI INFO TECH I 316092808 2367 72085 SH SOLE 0 0 72085 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 24793 1055451 SH SOLE 0 0 1055451 GENERAL ELECTRIC CO COM 369604103 1297 41636 SH SOLE 0 0 41636 GILEAD SCIENCES INC COM 375558103 1827 18055 SH SOLE 0 0 18055 INTERNATIONAL BUSINESS MACHS COM 459200101 1891 13743 SH SOLE 0 0 13743 ISHARES 1-3 YR CR BD ETF 464288646 20801 198860 SH SOLE 0 0 198860 ISHARES 1-3 YR TR BD ETF 464287457 23057 273312 SH SOLE 0 0 273312 ISHARES 7-10 Y TR BD ETF 464287440 112 1062 SH SOLE 0 0 1062 ISHARES CORE S&P MCP ETF 464287507 18092 129860 SH SOLE 0 0 129860 ISHARES CORE S&P SCP ETF 464287804 34 313 SH SOLE 0 0 313 ISHARES CORE S&P500 ETF 464287200 24085 117565 SH SOLE 0 0 117565 ISHARES CORE TOTUSBD ETF 464287226 18353 169921 SH SOLE 0 0 169921 ISHARES DOW JONES US ETF 464287846 41 400 SH SOLE 0 0 400 ISHARES GLOB TELECOM ETF 464287275 4 75 SH SOLE 0 0 75 ISHARES GLOBAL 100 ETF 464287572 50 690 SH SOLE 0 0 690 ISHARES IBOXX HI YD ETF 464288513 28 352 SH SOLE 0 0 352 ISHARES IBOXX INV CP ETF 464287242 18945 166174 SH SOLE 0 0 166174 ISHARES INTL SEL DIV ETF 464288448 12 407 SH SOLE 0 0 407 ISHARES MBS ETF 464288588 17683 164186 SH SOLE 0 0 164186 ISHARES MRG RL ES CP ETF 464288539 10 1000 SH SOLE 0 0 1000 ISHARES MRGSTR MD CP GRW 464288307 124 800 SH SOLE 0 0 800 ISHARES MRGSTR SM CP GR 464288604 13 100 SH SOLE 0 0 100 ISHARES MRNGSTR LG-CP GR 464287119 120 1000 SH SOLE 0 0 1000 ISHARES MSCI EAFE ETF 464287465 15259 259856 SH SOLE 0 0 259856 ISHARES MSCI EMG MKT ETF 464287234 40 1246 SH SOLE 0 0 1246 ISHARES N AMER TECH ETF 464287549 356 3217 SH SOLE 0 0 3217 ISHARES NA TEC-SFTWR ETF 464287515 29 280 SH SOLE 0 0 280 ISHARES NASDQ BIOTEC ETF 464287556 101 300 SH SOLE 0 0 300 ISHARES NAT AMT FREE BD 464288414 45 406 SH SOLE 0 0 406 ISHARES RUS 1000 ETF 464287622 46 402 SH SOLE 0 0 402 ISHARES RUS 1000 GRW ETF 464287614 232 2332 SH SOLE 0 0 2332 ISHARES RUS 1000 VAL ETF 464287598 150 1533 SH SOLE 0 0 1533 ISHARES RUS 2000 GRW ETF 464287648 478 3429 SH SOLE 0 0 3429 ISHARES RUS 3000 GRW ETF 464287671 364 4487 SH SOLE 0 0 4487 ISHARES RUS MD CP GR ETF 464287481 223 2421 SH SOLE 0 0 2421 ISHARES RUS MDCP VAL ETF 464287473 34 500 SH SOLE 0 0 500 ISHARES RUS MID-CAP ETF 464287499 85 529 SH SOLE 0 0 529 ISHARES RUSSELL 2000 ETF 464287655 12219 108501 SH SOLE 0 0 108501 ISHARES RUSSELL 3000 ETF 464287689 36 302 SH SOLE 0 0 302 ISHARES S&P 500 GRWT ETF 464287309 12 100 SH SOLE 0 0 100 ISHARES S&P MC 400GR ETF 464287606 209 1300 SH SOLE 0 0 1300 ISHARES SELECT DIVID ETF 464287168 21280 283171 SH SOLE 0 0 283171 ISHARES SHRT TRS BD ETF 464288679 83 750 SH SOLE 0 0 750 ISHARES SP SMCP600GR ETF 464287887 75 605 SH SOLE 0 0 605 ISHARES TIPS BD ETF 464287176 308 2806 SH SOLE 0 0 2806 ISHARES U.S. CNSM GD ETF 464287812 20 185 SH SOLE 0 0 185 ISHARES U.S. CNSM SV ETF 464287580 24 165 SH SOLE 0 0 165 ISHARES U.S. ENERGY ETF 464287796 10 300 SH SOLE 0 0 300 ISHARES U.S. PFD STK ETF 464288687 15290 393561 SH SOLE 0 0 393561 ISHARES U.S. REAL ES ETF 464287739 17557 233850 SH SOLE 0 0 233850 ISHARES U.S. TECH ETF 464287721 133 1245 SH SOLE 0 0 1245 ISHARES U.S. TELECOM ETF 464287713 6 200 SH SOLE 0 0 200 ISHARES US HLTHCARE ETF 464287762 15 100 SH SOLE 0 0 100 JOHNSON & JOHNSON COM 478160104 752 7325 SH SOLE 0 0 7325 JPMORGAN CHASE & CO COM 46625H100 533 8075 SH SOLE 0 0 8075 KINDER MORGAN INC DEL COM 49456B101 207 13886 SH SOLE 0 0 13886 LENNAR CORP CL A 526057104 1134 23194 SH SOLE 0 0 23194 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 7 517 SH SOLE 0 0 517 MARKET VECTORS ETF TR SEMICONDUCTOR 57060U233 818 15350 SH SOLE 0 0 15350 MCDONALDS CORP COM 580135101 263 2222 SH SOLE 0 0 2222 MICROSOFT CORP COM 594918104 525 9469 SH SOLE 0 0 9469 NUVEEN MUN VALUE FD INC COM 670928100 619 60766 SH SOLE 0 0 60766 ORACLE CORP COM 68389X105 367 10057 SH SOLE 0 0 10057 PAYCHEX INC COM 704326107 787 14879 SH SOLE 0 0 14879 PEPSICO INC COM 713448108 1298 12990 SH SOLE 0 0 12990 PFIZER INC COM 717081103 430 13321 SH SOLE 0 0 13321 POWERSHARES ETF TR II PWRSH S&P500HI 73937B654 63 1896 SH SOLE 0 0 1896 POWERSHARES ETF TR II S&P SMCP HC PO 73937B886 7 100 SH SOLE 0 0 100 POWERSHARES ETF TR II S&P SMCP UTI P 73937B837 63 1524 SH SOLE 0 0 1524 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 255 6615 SH SOLE 0 0 6615 POWERSHARES ETF TR II S&P600 LOVL PT 73937B639 58 1715 SH SOLE 0 0 1715 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3222 28800 SH SOLE 0 0 28800 PROCTER & GAMBLE CO COM 742718109 345 4350 SH SOLE 0 0 4350 ROYAL BK CDA MONTREAL QUE COM 780087102 205 3833 SH SOLE 0 0 3833 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 22846 298093 SH SOLE 0 0 298093 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 843 10789 SH SOLE 0 0 10789 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 849 16810 SH SOLE 0 0 16810 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 133 1845 SH SOLE 0 0 1845 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 60 1000 SH SOLE 0 0 1000 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1228 51538 SH SOLE 0 0 51538 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 360 8307 SH SOLE 0 0 8307 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 22 513 SH SOLE 0 0 513 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1084 6229 SH SOLE 0 0 6229 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 1189 34534 SH SOLE 0 0 34534 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 1 19 SH SOLE 0 0 19 SPDR S&P 500 ETF TR TR UNIT 78462F103 2302 11292 SH SOLE 0 0 11292 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1487 5854 SH SOLE 0 0 5854 SPDR SERIES TRUST BRC BLD AMER BD 78464A276 12 204 SH SOLE 0 0 204 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 93 2746 SH SOLE 0 0 2746 SPDR SERIES TRUST LNG TRM CORP BD 78464A367 5 134 SH SOLE 0 0 134 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 12 100 SH SOLE 0 0 100 SPDR SERIES TRUST S&P 600 SML CAP 78464A813 277 2800 SH SOLE 0 0 2800 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1678 22805 SH SOLE 0 0 22805 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 30 881 SH SOLE 0 0 881 SPDR SERIES TRUST S&P REGL BKG 78464A698 1320 31499 SH SOLE 0 0 31499 STARBUCKS CORP COM 855244109 2111 35168 SH SOLE 0 0 35168 TATA MTRS LTD SPONSORED ADR 876568502 589 19996 SH SOLE 0 0 19996 TOTAL S A SPONSORED ADR 89151E109 459 10210 SH SOLE 0 0 10210 UNDER ARMOUR INC CL A 904311107 1845 22891 SH SOLE 0 0 22891 VANGUARD INDEX FDS GROWTH ETF 922908736 307 2884 SH SOLE 0 0 2884 VANGUARD INDEX FDS LARGE CAP ETF 922908637 37 391 SH SOLE 0 0 391 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 32 320 SH SOLE 0 0 320 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 21 247 SH SOLE 0 0 247 VANGUARD INDEX FDS MID CAP ETF 922908629 1391 11582 SH SOLE 0 0 11582 VANGUARD INDEX FDS REIT ETF 922908553 905 11347 SH SOLE 0 0 11347 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 56 300 SH SOLE 0 0 300 VANGUARD INDEX FDS SM CP VAL ETF 922908611 0 2 SH SOLE 0 0 2 VANGUARD INDEX FDS SMALL CP ETF 922908751 340 3073 SH SOLE 0 0 3073 VANGUARD INDEX FDS SML CP GRW ETF 922908595 54 449 SH SOLE 0 0 449 VANGUARD INDEX FDS TOTAL STK MKT 922908769 28 270 SH SOLE 0 0 270 VANGUARD INDEX FDS VALUE ETF 922908744 24 300 SH SOLE 0 0 300 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 4 100 SH SOLE 0 0 100 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 18 561 SH SOLE 0 0 561 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 40 800 SH SOLE 0 0 800 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 14701 255133 SH SOLE 0 0 255133 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 812 10280 SH SOLE 0 0 10280 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 2 14 SH SOLE 0 0 14 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 3 22 SH SOLE 0 0 22 VANGUARD WORLD FDS ENERGY ETF 92204A306 33 400 SH SOLE 0 0 400 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 109 823 SH SOLE 0 0 823 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1 14 SH SOLE 0 0 14 VANGUARD WORLD FDS INF TECH ETF 92204A702 952 8794 SH SOLE 0 0 8794 VANGUARD WORLD FDS MATERIALS ETF 92204A801 1 14 SH SOLE 0 0 14 VERIZON COMMUNICATIONS INC COM 92343V104 688 14890 SH SOLE 0 0 14890 VISA INC COM CL A 92826C839 310 4000 SH SOLE 0 0 4000 W P CAREY INC COM 92936U109 489 8289 PRN SOLE 0 0 8289 WELLS FARGO & CO NEW COM 949746101 2566 47200 SH SOLE 0 0 47200 XILINX INC COM 983919101 1180 25124 SH SOLE 0 0 25124