Griffin Financial Services
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
Rotterdam Junction NY
Advisors at this office
1
Most active in
New York
Also doing business as
Griffin Financial Services · Scott S. Griffin
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")