GRIFFIS RESIDENTIAL INVESTMENT ADVISOR
Adviser information for GRIFFIS RESIDENTIAL INVESTMENT ADVISOR last updated from Form ADV on March 21st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 29 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 18 | $2.1B |
| Non-Discretionary | 2 | $43.2M |
| Total | 20 | $2.2B |
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 | 20 | $2.2B |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMINCENTIVE ALLOCATION/CARRIED INTEREST |
Identifiers
| SEC RIA File Number | 801-77578 |
|---|---|
| SEC ERA File Number | 801-77578 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166201 |
| Legal Entity Identifier | None |
Principal Office
6400 S. FIDDLER'S GREEN CIRCLESUITE 1200
GREENWOOD VILLAGE
CO
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 303- 268-2121, Fax: 720-524-5700
Chief Compliance Officer
CHRISTOPHER C. SOUTHER
CHIEF FINANCIAL OFFICER
6400 S. FIDDLER'S GREEN CIRCLE
SUITE 1200
GREENWOOD VILLAGE
CO
United States
Tel:
720-376-6390
Fax:
720-524-5700
C*******@*********************M
(Full email address available in API data)
Regulatory Contact
TAI LUDWIG
RISK AND COMPLIANCE MANAGER
6400 S. FIDDLER'S GREEN CIRCLE
SUITE 1200
GREENWOOD VILLAGE
CO
United States
Tel:
720-376-6390
Fax:
720-524-5700
T******@*********************M
(Full email address available in API data)
Industry Affiliates
| GRIFFIS GROUP OF COMPANIES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GRIFFIS GROUP RESIDENTIAL, LLC | Real estate broker or dealer |
| GRIT FUND MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PAFM III 2400 ELLIOTT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PREMIUM APARTMENT FUND MANAGEMENT III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PREMIUM APARTMENT FUND MANAGEMENT IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PREMIUM APARTMENT FUND MANAGEMENT V, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PREMIUM APARTMENT FUND MANAGEMENT VI, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 2400 ELLIOTT INVESTORS, LLC | Real Estate Fund | $7.0M | $0.1M | 47 |
| GRIFFIS PREMIUM APARTMENT FUND III INVESTMENTS, LLC | Real Estate Fund | $42.8M | $0.5M | 158 |
| GRIFFIS PREMIUM APARTMENT FUND IV (AI), LP | Real Estate Fund | $27.0M | $0.5M | 53 |
| GRIFFIS PREMIUM APARTMENT FUND IV (HNW), LP | Real Estate Fund | $194.2M | $0.5M | 121 |
| GRIFFIS PREMIUM APARTMENT FUND IV (M), LP | Real Estate Fund | $134.1M | $0.5M | 1 |
| GRIFFIS PREMIUM APARTMENT FUND IV (MT), LP | Real Estate Fund | $65.6M | $0.5M | 2 |
| GRIFFIS PREMIUM APARTMENT FUND IV, LP | Real Estate Fund | $176.5M | $0.5M | 11 |
| GRIFFIS PREMIUM APARTMENT FUND V (HNW), LP | Real Estate Fund | $219.6M | $0.3M | 117 |
| GRIFFIS PREMIUM APARTMENT FUND V (INST), LP | Real Estate Fund | $272.2M | $0.4M | 32 |
| GRIFFIS PREMIUM APARTMENT FUND VI (HNW), L.P. | Real Estate Fund | $276.0M | $0.1M | 92 |
| GRIFFIS PREMIUM APARTMENT FUND VI (INST), L.P. | Real Estate Fund | $253.2M | $0.5M | 24 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRIFFIS, IAN, CHRISTOPHER | Individual | – | MANAGING DIRECTOR AND CO-CHIEF EXECUTIVE OFFICER | 11/2012 | < 5% |
| BIRNBAUM, DAVID, MICHAEL | Individual | – | MANAGING DIRECTOR AND CO-CHIEF EXECUTIVE OFFICER | 11/2012 | < 5% |
| BARTA, THOMAS, SHANE | Individual | – | PRESIDENT AND CHIEF OPERATING OFFICER | 11/2012 | < 5% |
| GRIFFIS, IAN, CHRISTOPHER | Individual | GRIFFIS INVESTMENT COMPANY, INC. | OWNER | 10/1997 | > 75% |
| BIRNBAUM, DAVID, MICHAEL | Individual | NEW CENTURY INVESTMENT COMPANY, INC. | OWNER | 03/2005 | > 75% |
| NEW CENTURY INVESTMENT COMPANY, INC. | Domestic Entity | – | MEMBER | 11/2012 | 25-50% |
| GRIFFIS INVESTMENT COMPANY, INC. | Domestic Entity | – | MEMBER | 11/2012 | 50-75% |
| TGT, INC. | Domestic Entity | – | MEMBER | 11/2012 | 5-10% |
| BARTA, THOMAS, SHANE | Individual | TGT, INC. | OWNER | 12/2007 | > 75% |
| Souther, Christopher, Carroll | Individual | – | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | 07/2016 | < 5% |