The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
03-31-2021 |
| Check here if Amendment |
|
Amendment Number: |
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing this Report: |
| Name: |
High Probability Advisors, LLC |
| Address: |
167 Sully's Trail |
|
Suite 300 |
|
Pittsford,
NY
14534
|
| Form 13F File Number: |
028-24451 |
| CRD Number (if applicable): |
000289541 |
| SEC File Number (if applicable): |
801-111913 |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of Reporting Manager: |
| Name: |
Jeffrey Scott Coons |
| Title: |
Chief Compliance Officer |
| Phone: |
585-485-0135 |
| Signature, Place, and Date of Signing: |
| /s/ Jeffrey Scott Coons |
Pittsford,
NY
|
11-14-2024 |
| [Signature] |
[City, State] |
[Date] |
| High Probability Advisors, LLC (HPA) failed to make required Form 13F filings from Q4 2020 to Q2 2024 and Form N-PX filings for the period ending 6/30/2024. HPA recently became aware of the Rule 13(f)-1 requirements after reviewing an article on SEC press release 2024-135. HPA has been using a third party compliance consultant since our firm's inception to advise us on regulatory compliance policies, procedures, and practices. Unfortunately, our compliance consultant had not advised us regarding the requirement to file Form 13F, and the compliance issue was not identified in their Annual Compliance Reviews even as HPA's assets under management grew and our investments shifted from primarily mutual funds to Exchange Traded Funds. HPA is making all late filings immediately as part of our self-correction measures. Also, our Chief Compliance Officer has taken steps to update HPA's Compliance Manual to include Rule 13(f)-1, Form 13F, and Form N-PX requirements. |
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| |
13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |
| |
13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included Managers: |
0 |
|
|
|
Form 13F Information Table Entry Total: |
34 |
|
Form 13F Information Table Value Total: |
189,614,370 |
|
(round to nearest dollar) |
|
| List of Other Included Managers: |
| Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
| [If there are no entries in this list, state “NONE” and omit the
column headings and list entries.] |
| NONE |