M. Griffith Locke Investment Services Inc. (New Hartford)

Name: M. Griffith Locke Investment Services Inc.
Address: 555 French Rd Bldg 2, New Hartford, NY, 13413 0895
Telephone: 315-797-0130

M. Griffith Locke Investment Services Inc. is a large advisory firm based in New Hartford. It manages $143 million of regulatory assets for 248 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Delaware, Florida, and New York.

M. Griffith Locke Investment Services provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

M. Griffith Locke Investment Services: assets under management

The assets under management (AUM) of M. Griffith Locke Investment Services Inc. is $143 million. The firm's AUM has grown by 4% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $119.3 million in discretionary accounts and $23.7 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $631.22 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $401.69 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay M. Griffith Locke Investment Services Inc. for their services and products based on a percentage of assets under management, hourly charges, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at M. Griffith Locke Investment Services Inc.

David Thomas Griffith has been acting as President since 1 May 1973. William Fox Locke joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Thomas Griffith	Financial and operations principal	1 Jul 1968	Other	230042
David Thomas Griffith	President	1 May 1973	Other	230042
Mary Elizabeth Ford	Corporate secretary	1 May 1994	Other	2070160
Michael Emlyn Evans	Vice president	1 Dec 1994	Other	1307113
Michael Thaddeus Beck	Vice president	1 Apr 1998	Other	3072657
David Thomas Griffith	Chief compliance officer	1 Nov 2004	Other	230042
Mgl Associates Inc.	Shareholder	1 Mar 2005	75% - 100%	20-2414223
Catherine Ann Cucharale	Vice president	1 Mar 2005	Other	3054881
William Fox Locke	President - investment management division	1 Apr 2005	Other	1574382

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
David Thomas Griffith	Shareholder	1 Dec 2004	50% - 75%	230042
William Fox Locke	Shareholder	1 Jul 2005	50% - 75%	1574382

Based in New Hartford

The principal office where M. Griffith Locke Investment Services Inc. performs its advisory services is located at 555 French Rd Bldg 2, New Hartford, NY 13413 0895, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 315-797-0130 or by fax 315-797-1872. The normal business hours are 8:30am - 5:00pm on Monday - Friday. You can find more information about the New York firm at mgriffithlocke.com.