W. S. Griffith & Co., Inc. (East Hartford)

Name: W. S. Griffith & Co., Inc.
Address: 111 Founders Plaza, East Hartford, CT, 06108
Telephone: 860-403-3453

W. S. Griffith & Co., Inc. is a large advisory firm based in East Hartford. It manages $125 million of regulatory assets for 500 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 43 other states.

W. S. Griffith & Co. provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for approximately 1,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

W. S. Griffith & Co.: assets under management

The assets under management (AUM) of W. S. Griffith & Co., Inc. is $125 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay W. S. Griffith & Co., Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at W. S. Griffith & Co., Inc.

Robert Edward Primmer has been acting as President since 1 Feb 1998. Matthew David Verdi joined the executive team most recently as the Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Laura Eileen Miller	Vice president treasurer	1 Nov 1992	Other	1558203
Inc. Pm Holdings	Parent company	1 Dec 1993	75% - 100%	06-1065485
David William Searfoss	Director	1 Aug 1994	Other	1834286
Dona Young	Director	1 Aug 1994	Other	2539505
Philip Robert Mcloughlin	Director	1 Jan 1995	Other	329529
Matthew David Verdi	Avp	1 Feb 1998	Other	1304990
Robert Edward Primmer	Director	1 Feb 1998	Other	2610505
John H Beers	Secretary	1 Jun 1999	Other	xxx-xx-xxxx
Richard Dale Keidan	President/chief operating officer	1 Dec 1999	Other	xxx-xx-xxxx
Moira Elizabeth Lowe	Vice president, compliance officer	1 Jun 2000	Other	4076427
Joseph E Kelleher	Director	1 Jun 2000	Other	4017209
Richard Stewart Dahl	Vice president, operations	1 Dec 2000	Other	1080878
Matthew David Verdi	Vice president	1 Jun 2001	Other	1304990
Barry Douglas Boyte	Vice president & chief marketing officer	1 Jun 2001	Other	2228218
Inc. Ws Griffith Advisors	Parent company	1 Jun 2001	75% - 100%	06-1605027

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Phoenix Home Life Mutual Insurance Company	Shareholder	1 Oct 1970	75% - 100%	13-5146490
Phoenix Distribution Holding Company	Holding company	1 Jun 2001	75% - 100%	06-1605028
Inc. The Phoenix Companies	Parent company	1 Jun 2001	75% - 100%	06-1599088

Based in East Hartford

The principal office where W. S. Griffith & Co., Inc. performs its advisory services is located at 111 Founders Plaza, East Hartford, CT 06108, which is also the mailing address of the firm. An additional office of the firm is in East Hanover, NJ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-403-3453 or by fax 860-403-3722. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.wsgriffith.com.