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W.A. Griffin Financial Services Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$14,500,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
64
17% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
64
Very HighAverage account size
$226,563
About
W.A. Griffin Financial Services Inc. is an independent, state‑registered advisory firm managing roughly $14.6 million and providing discretionary asset management primarily for individual and high‑net‑worth clients. The firm also offers financial planning and periodic reviews that can address estate, tax, retirement, insurance, and college planning topics at no additional charge.
Investment programs are tailored to each client’s objectives, time horizon, and risk tolerance, with the firm documenting client goals and allowing written restrictions on investments. The brochure discloses a broad toolkit for portfolio construction and analysis—fundamental, technical, quantitative and Modern Portfolio Theory—and notes the use of strategies ranging from long‑ and short‑term purchases to trading, options (including covered and uncovered writing), and margin trading.
Notable operational features include the adviser’s licensed insurance activity and disclosure that insurance products may be offered for separate commission compensation, which the firm identifies and manages as a conflict of interest. The brochure also identifies Charles Schwab as the primary custodian (with Lincoln Financial used for annuities), states that proxies are not voted by the firm (clients vote their own proxies), and describes quarterly account reviews and reporting.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Tax-loss harvesting
Retirement income strategy
College savings (529s, UTMA, etc.)
Fee options
2.00% annually flat rate on all assets
Main office location
W.A. Griffin Financial Services Inc.
Gainesville GA, United States
Number of offices
1
Most active in
W.A. Griffin Financial Services Inc. has reported serving >5 clients in these states in the last 12 months.
Florida · Georgia · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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