SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Griffin Asset Management, LLC
New York, NY
CRD 104548
Firm filing updated February 25, 2026 ·
- $1.1BAssets
- 689Clients
- 4Advisory staff
- 689Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals612
- Other investment advisors59
- Charities12
- Pension and profit sharing plans6
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 612 | $682.3 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 6 | $7.6 million |
| Charitable organizations | 12 | $330.5 million |
| Other investment advisors | 59 | $34.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$1.1 billion
- Accounts689
- Discretionary$1.0 billion · 688 accounts
- Non-discretionary$9.3 million · 1 accounts
People
- Employees10
- Advisory staff4
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 104548, SEC file 801-7495.
- Registered with the SEC as an investment advisor (status date on record: June 9, 1971).
Is Griffin Asset Management, LLC a fiduciary?
Short answer: Griffin Asset Management, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.