13F-HR filed by High Falls Advisors, Inc
High Falls Advisors, Inc filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-16, with 81 holding rows worth $268,935,000.
- Accession
- 0001569139-16-000010
- Filer
- CIK 1569139
- Filed
- 2016-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 81 entries on the cover page, a total value of $268,935,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $268,935,000 with VALUE read as thousands by filing date, 13F file number 028-17373. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 593,738 | $26,974,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 278,791 | $21,241,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 388,561 | $18,565,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 204,225 | $17,821,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 200,862 | $17,212,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 200,149 | $16,730,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 131,667 | $16,219,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 181,524 | $15,437,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 125,534 | $14,113,000 | thousands by filing date | |
| IJH | 464287507 | COM | 87,888 | $13,597,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 121,157 | $13,338,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 161,191 | $12,998,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 288,404 | $11,392,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 76,022 | $9,438,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 81,893 | $3,398,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 8,266 | $2,333,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 19,084 | $2,266,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 13,777 | $2,189,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 22,611 | $1,907,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 14,135 | $1,598,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 17,939 | $1,566,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 6,272 | $1,357,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 14,085 | $1,135,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 38,122 | $1,129,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 23,707 | $963,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 14,276 | $951,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 15,949 | $923,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 7,600 | $898,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 6,335 | $762,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 9,992 | $694,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 7,970 | $691,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 8,874 | $659,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 12,619 | $618,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 24,988 | $615,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 22,681 | $599,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 12,498 | $597,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 15,879 | $595,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,826 | $553,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 21,138 | $540,000 | thousands by filing date | principal |
| Pfizer Inc. | 717081103 | COM | 15,911 | $539,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 9,285 | $535,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 24,617 | $530,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 3,420 | $509,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,024 | $504,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 9,300 | $483,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,826 | $482,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 4,000 | $466,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3,601 | $452,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 41,130 | $432,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 10,088 | $427,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 3,338 | $408,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,351 | $391,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 10,055 | $385,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 8,974 | $382,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 3,877 | $377,000 | thousands by filing date | principal |
| WP CAREY INC COM | 92936U109 | REIT | 5,118 | $330,000 | thousands by filing date | principal |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 2,650 | $328,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 8,350 | $328,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 3,145 | $324,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2,486 | $322,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 2,813 | $316,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,800 | $312,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,270 | $299,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,522 | $291,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,007 | $289,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,539 | $284,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 26,138 | $277,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 2,526 | $267,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 3,878 | $262,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,404 | $257,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,627 | $256,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 2,792 | $250,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,129 | $241,000 | thousands by filing date | principal |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,301 | $240,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 12,311 | $238,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 2,957 | $237,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,300 | $227,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 4,840 | $223,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 5,027 | $214,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 3,987 | $205,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 8,881 | $205,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001569139-16-000010 | this filing | 2016-11-16 | acceptance time not in the bulk data set |