Griffin Financial Services
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,200,000
Clients
29
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
29
HighAverage account size
$248,276
About
The firm provides investment advisory services to individuals, trusts, estates, charitable organizations and small businesses, managing roughly $7.25 million in discretionary assets for a modest client roster. It offers portfolio management and advice across a range of securities — including mutual funds, ETFs, equities, bonds, options and variable annuities — and maintains a $50,000 account minimum.
The firm’s investment process uses a mix of fundamental and technical analysis and incorporates third‑party research such as Morningstar; account reviews are performed quarterly and more frequently for portfolio swings of about 5% or significant life events. The adviser operates with limited trading discretion and delivers periodic reports that include positions, performance and fees.
The principal also holds broker‑dealer registration with APW Capital and maintains New York licenses to offer life, variable and health insurance, enabling the firm to provide insurance products and variable annuities in addition to advisory services — a combination less common among independent solo advisers. The firm’s brochure also discloses that the principal has disciplinary information in its regulatory record.
Client services
Financial planning
Portfolio management
Expertise
Passive / index investing
Fee options
$50,000.00 - $99,999.99: 2.00% $100,000.00 - $199,999.99: 1.75% $200,000.00 - $274,999.99: 1.65% $275,000.00 - $349,999.99: 1.55% $350,000.00 - $499,999.99: 1.45% $500,000.00 - $599,999.99: 1.35% $600,000.00 - $749,999.99: 1.25% $750,000.00+: 1.20%
Account minimum: $50,000
Main office location
Griffin Financial Services
Rotterdam Junction NY, United States
Number of offices
1
Most active in
Griffin Financial Services 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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Trust company
They provide trust and estate administration services, typically for separate fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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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