GRIFFIN CAPITAL QOZ ADVISOR, LLC
Adviser information for GRIFFIN CAPITAL QOZ ADVISOR, LLC last updated from Form ADV on March 29th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $4 |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $4 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $4 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 3 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesINCREASED BUSINESS TO AFFILIATE |
Identifiers
| SEC RIA File Number | 801-115269 |
|---|---|
| SEC ERA File Number | 801-115269 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300159 |
| Legal Entity Identifier | None |
Principal Office
266 KANSAS STREETEL SEGUNDO
CA
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 310-469-6100, Fax: 310-606-5910
Chief Compliance Officer
SCOTT STREET
CHIEF COMPLIANCE OFFICER
266 KANSAS STREET
EL SEGUNDO
CA
United States
Tel:
310-469-6100
S******@*****************M
(Full email address available in API data)
Regulatory Contact
MARY P. HIGGINS
GENERAL COUNSEL
790 ESTATE DRIVE
SUITE 180
DEERFIELD
IL
United States
Tel:
847-267-1180
Fax:
847-267-1237
M*******@*****************M
(Full email address available in API data)
Industry Affiliates
| GRIFFIN CAPITAL COMPANY, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GRIFFIN CAPITAL QUALIFIED OPPORTUNITY ZONE FUND II, L.P. | Real Estate Fund | $532.0M | $0.1M | 966 |
| GRIFFIN CAPITAL QUALIFIED OPPORTUNITY ZONE FUND III, L.P. | Real Estate Fund | $270.7M | $0.1M | 486 |
| GRIFFIN CAPITAL QUALIFIED OPPORTUNITY ZONE FUND, L.P. | Real Estate Fund | $421.0M | $0.1M | 803 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHIELDS, KEVIN, ALAN | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2018 | < 5% |
| HIGGINS, MARY, P | Individual | – | GENERAL COUNSEL | 07/2019 | < 5% |
| GRIFFIN CAPITAL PRIVATE EQUITY, LLC | Domestic Entity | – | SOLE MEMBER | 12/2018 | > 75% |
| GRIFFIN CAPITAL, LLC | Domestic Entity | GRIFFIN CAPITAL PRIVATE EQUITY, LLC | SOLE MEMBER | 10/2015 | > 75% |
| GRIFFIN CAPITAL COMPANY, LLC | Domestic Entity | GRIFFIN CAPITAL, LLC | MANAGER AND MEMBER OF GRIFFIN CAPITAL, LLC | 10/2015 | > 75% |
| GRIFFIN CAPITAL HOLDINGS CORPORATION | Domestic Entity | GRIFFIN CAPITAL COMPANY, LLC | SOLE MEMBER OF GRIFFIN CAPITAL COMPANY, LLC | 02/2017 | > 75% |
| SHIELDS, KEVIN, ALAN | Individual | GRIFFIN CAPITAL HOLDINGS CORPORATION | AS TRUSTEE FOR THE SHIELDS 2020 IRREVOCABLE TRUST | 12/2020 | 25-50% |
| SHIELDS, EILEEN, T | Individual | GRIFFIN CAPITAL HOLDINGS CORPORATION | AS TRUSTEE FOR THE SHIELDS 2017 IRREVOCABLE TRUST | 12/2020 | 25-50% |
| SHIELDS, JORDAN, DAVID | Individual | GRIFFIN CAPITAL HOLDINGS CORPORATION | AS TRUSTEE FOR THE SHIELDS 2017 IRREVOCABLE TRUST | 12/2020 | 25-50% |
| SHIELDS, JORDAN, DAVID | Individual | GRIFFIN CAPITAL HOLDINGS CORPORATION | AS TRUSTEE FOR THE SHIELDS 2009 IRREVOCABLE TRUST | 12/2020 | 25-50% |
| SHIELDS, EILEEN, T | Individual | GRIFFIN CAPITAL HOLDINGS CORPORATION | AS TRUSTEE FOR THE SHIELDS 2009 IRREVOCABLE TRUST | 12/2020 | 25-50% |
| Snell, Daniel, Chase | Individual | – | CHIEF FINANCIAL OFFICER | 01/2023 | < 5% |
| STREET, SCOTT, MATHEW | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |