GRIFFITH & WERNER, INC.
Adviser information for GRIFFITH & WERNER, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 368 | $140.2M |
| Non-Discretionary | 0 | $0 |
| Total | 368 | $140.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 340 | $102.0M |
| HNW Individuals | 24 | $30.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $7.7M |
| 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 | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-117889 |
|---|---|
| SEC ERA File Number | 801-117889 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136380 |
| Legal Entity Identifier | None |
Principal Office
111 MOUNTAIN BROOK DRIVESUITE 208
CANTON
GA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 678-901-4167, Fax: 678-493-7854
Websites
Chief Compliance Officer
GREGORY S. PHELPS
PRESIDENT
109 MOUNTAIN BROOK DRIVE
SUITE 100
CANTON
GA
United States
Tel:
678-901-4167
Fax:
678-493-7854
G***@******************M
(Full email address available in API data)
Regulatory Contact
R. KYLE TOMLINSON
VICE PRESIDENT
109 MOUNTAIN BROOK DRIVE
SUITE 100
CANTON
GA
United States
Tel:
678-901-4167
Fax:
678-493-7854
K***@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PHELPS, GREGORY, SCOTT | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 01/2012 | > 75% |