# Griffin Financial Services

> Griffin Financial Services is a state-registered investment advisory firm, registered since 1998, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 5, 2026.

- CRD: 125990
- Filed as: GRIFFIN FINANCIAL SERVICES
- Legal name: Scott S. Griffin
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in New York
- Filing period: October 2026
- Form ADV filing dated: March 5, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/125990
- AdvisorCensus page: https://advisorcensus.com/firm/griffin-financial-services-125990

## Quick answers

**How is Griffin Financial Services compensated?**
On its Form ADV (Item 5.E, October 2026), Griffin Financial Services reports these compensation arrangements: a percentage of assets under its management; hourly charges; commissions. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Griffin Financial Services registered with the SEC or a state?**
Griffin Financial Services is a state-registered investment advisory firm, registered since 1998. Status as filed: APPROVED. CRD 125990.

**How much does Griffin Financial Services manage?**
Griffin Financial Services reports $7,200,000 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (100% discretionary).

**What types of clients does Griffin Financial Services serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (29).

**Does Griffin Financial Services report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/125990

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Commissions

### Regulatory assets under management (Item 5.F)
- Total: $7,200,000
- Discretionary: $7,200,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 29 | $7,200,000 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1998 (27 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/125990

### Websites listed on Form ADV (Item 1.I)
- gfsamerica.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Griffin Financial Services (CRD 125990): Form ADV filing data as of October 2026.