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James Thomas Englert

Allworth Financial, L.P.

Rochester, NY

Folsom, CA

High Falls Advisors, Inc.

Rochester, NY

CRD 2203350

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Employer firm

Allworth Financial, L.p. CRD 111167

$33.6B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-08-31
  • NY RA
    APPROVED
    Since 2026-08-31

Branch Locations

180 S Clinton Ave Suite 300, Rochester, NY 14604 • United States

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

High Falls Advisors, Inc.

180 South Clinton Ave Suite 300, Rochester, NY 14604 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-29
  • NY RA
    APPROVED
    Since 2021-08-29

Branch Locations

180 South Clinton Ave Suite 300, Rochester, NY 14604 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
High Falls Advisors, Llc Rochester NY 11/2004 08/2026
Leigh Baldwin & Co., Llc Cazenovia NY 06/2013 12/2017
Allworth Financial, L.P. Rochester NY 08/2026 Present
  • 11/2004 → 08/2026
    High Falls Advisors, Llc
    Rochester, NY
  • 06/2013 → 12/2017
    Leigh Baldwin & Co., Llc
    Cazenovia, NY
  • 08/2026 → Present
    Allworth Financial, L.P.
    Rochester, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-09
S63 Uniform Securities Agent State Law Examination 1992-09-08
  • S65 Uniform Investment Adviser Law Examination
    1996-01-09
  • S63 Uniform Securities Agent State Law Examination
    1992-09-08
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

MORGAN STANLEY
COMMONWEALTH FINANCIAL NETWORK
NOVEM GROUP

Nearby Investors

THERESA CLARE KENYON
JAMES HAROLD HARMAN
GEORGIANN VALLEE COLLINS

Nearby Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY

More in Rochester, NY

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