Highland Wealth Advisory LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
55
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
55
HighAverage account size
$0
About
Highland Wealth Advisory LLC provides ongoing portfolio management and financial planning to roughly 55 clients, including individuals, high-net-worth individuals, pension and profit-sharing plans, and foundations/charities. The firm offers discretionary investment supervisory services implemented through individualized Investment Policy Statements, along with fixed-fee or hourly financial planning and advice limited to mutual funds, equities, bonds, ETFs, REITs and certain insurance products.
The firm typically documents client goals and risk tolerance in an Investment Policy Statement and implements portfolios using discretionary authority, combining long-term and short-term trading, options writing, and tax-aware strategies coordinated with clients’ tax advisors. Its investment process draws on charting, fundamental, technical and cyclical analysis, and accounts are reviewed on schedules ranging from quarterly to annually or in response to material events.
What distinguishes this adviser is its material engagement with employer retirement plans — the brochure discloses approximately $14.16 million in ERISA-related assets within total discretionary assets — indicating a notable pension consulting practice for an independent adviser. The firm also requires clients to custody assets with its recommended custodian and employs options-writing strategies (including covered and uncovered positions), which can affect both the firm’s operational relationships and the risk profile of client portfolios relative to many peers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Tax-loss harvesting
Annuities
Fee options
Financial planning fixed fees ranging from $100 to $5,000; fees negotiable
$1 - $500,000: 1.25% $500,000 - $1,000,000: 1.00% $1,000,000 - $2,000,000: 0.85% $2,000,000 - $3,000,000: 0.70% $3,000,000 - $5,000,000: 0.60% Above $5,000,000+: Negotiable
$300 per hour for financial planning services; fees negotiable
Fee-only: Fixed fees for financial plans between $100 and $5,000; hourly fees at $300/hour; fees negotiable
Main office location
Highland Wealth Advisory LLC
70 Linden Oaks
Rochester NY 14625, United States
Number of offices
2
Most active in
Highland Wealth Advisory LLC has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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