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Griffin Asset Management, LLC: investment adviser
Griffin Asset Management, LLC is an investment adviser registered with the SEC (file 801-7495, CRD 104548). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- $1.1B
- Discretionary
- 99%
- Accounts
- 689
- Employees
- 10
- In advisory roles
- 4
- Disclosures
- 0
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Clients and fees
Whom the firm advises and how it is paid, from Items 5.D, 5.E and 5.G.
| Client type | Clients | Assets | Share |
|---|---|---|---|
| High net worth individuals | 612 | $682.3M | 64.7% |
| Pension and profit-sharing plans | 6 | $7.6M | 0.7% |
| Charities | 12 | $330.5M | 31.3% |
| Other advisers | 59 | $34.5M | 3.3% |
How it is paid
- A percentage of assets under your management
- Performance-based fees
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles)
- Selection of other advisers (including private fund managers)
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| John Bruning Carey | Person | Managing director | C 25% to 50% | Dec 2018 | ||
| Douglas Maxwell Famigletti | Person | Co-president | C 25% to 50% | Jan 2018 | Yes | |
| Michael David Jamison | Person | Co-president | C 25% to 50% | Jan 2018 | Yes | |
| Brian T Famigletti | Person | Managing director | B 10% to 25% | Dec 2018 |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
The firm answered No to every disciplinary question on Form ADV (Item 11).
The brochure
No brochure text was read for this firm.
Other brochures on file
- Griffin ADV Part 2A & B, Feb 25, 2026
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.