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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M. GRIFFITH INVESTMENT SERVICES, INC.

CRD 2078

NEW HARTFORD, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ff59f200-32cd-cbb5-db2c-72e73d52e11d

Data as of Mar 26, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2011 to Mar 26, 2018
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.5BItem 5.F on the latest filing (2018-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $682M
Private client RAUM: $861MderivedItem 5.D individuals plus high net worth individuals
Private client share: 57%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21
Advisory employees: 17
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,931
Individual clients: 2,219
High net worth clients: 643
Custody, client assets: $906M
SEC number: 801-64649
CRD: 2078
Filings on the tape: 33
First filed: Dec 12, 2011
Latest filed: Mar 26, 2018
Organised: Corporation, New York

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GRIFFITH, DAVID THOMAS	President	Na	yes	05/1973	Dec 12, 2011	Mar 26, 2018
GRIFFITH, DAVID THOMAS	Shareholder	D	yes	12/2004	Dec 12, 2011	Mar 26, 2018
MGL ASSOCIATES INC.	Shareholder	E	yes	03/2005	Dec 12, 2011	Mar 26, 2018
CUCHARALE, CATHERINE ANN	CHIEF OPERATING OFFICER	Na	no	03/2005	Dec 12, 2011	Mar 26, 2018
GRIFFITH, JANET NELSON	Director	Na	no	12/2015	Mar 15, 2018	Mar 26, 2018
GURTOWSKI, MARY LOURDES	CORPORATE SECRETARY	Na	no	01/2015	Feb 2, 2015	Mar 26, 2018
M. GRIFFITH INVESTMENT SERVICES EMPLOYEE STOCK OWNERSHIP PLAN	Shareholder	C	no	06/2012	Jun 5, 2012	Mar 26, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M. GRIFFITH INVESTMENT SERVICES, INC.	n/a	Former SEC adviser	$1.5B	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 15, 2018	$1.5B	$682M	21	17	0	n/a	n/a
2016	Feb 16, 2017	$1.3B	$436M	22	14	n/a	n/a	n/a
2015	Feb 11, 2016	$1.1B	$340M	20	13	n/a	n/a	n/a
2014	Mar 5, 2015	$1.0B	$305M	20	13	n/a	n/a	n/a
2013	Mar 6, 2014	$924M	$209M	18	11	n/a	n/a	n/a
2012	Mar 14, 2013	$431M	$152M	16	11	n/a	n/a	n/a
2011	Mar 23, 2012	$344M	$125M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.5B	$1.3B	19.1%	$1.0B	14.1%	21	22	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ROBERT W. BAIRD & CO. INCORPORATED	10	Dec 12, 2018	Dec 11, 2018	NEW HARTFORD, NY	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (1)

→ M. GRIFFITH INVESTMENT SERVICES, INC.Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Controls (2)

← GRIFFITH, DAVID THOMASOwnerSHAREHOLDER, ownership code D, individual
Dec 12, 2011 to presentfactForm ADV
← MGL ASSOCIATES INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Dec 12, 2011 to presentfactForm ADV

Owns (4)

← CUCHARALE, CATHERINE ANNOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 12, 2011 to presentfactForm ADV
← GURTOWSKI, MARY LOURDESOwnerCORPORATE SECRETARY, ownership code NA, individual
Feb 2, 2015 to presentfactForm ADV
← GRIFFITH, JANET NELSONOwnerDIRECTOR, ownership code NA, individual
Mar 15, 2018 to presentfactForm ADV
← M. GRIFFITH INVESTMENT SERVICES EMPLOYEE STOCK OWNERSHIP PLANOwnerSHAREHOLDER, ownership code C, domestic entity
Jun 5, 2012 to presentfactForm ADV

Registered with (10)

← THERESA MARIE FLEMMAAdvisorregistration: previous registration
May 15, 2007 to Dec 12, 2018factForm ADV
← HONORINE MARIE GERARD WALLACKAdvisorregistration: previous registration
May 22, 2012 to Dec 12, 2018factForm ADV
← MICHELE ANGELA SHERIDANAdvisorregistration: previous registration
May 15, 2007 to Dec 12, 2018factForm ADV
← Scott Alan GeorgeAdvisorregistration: previous registration
May 15, 2007 to Dec 12, 2018factForm ADV
← MELISSA ANNE MOTYLAdvisorregistration: previous registration
Mar 7, 2017 to Dec 12, 2018factForm ADV
← JON MATTHEW EARLAdvisorregistration: previous registration
Jul 18, 2012 to Dec 12, 2018factForm ADV
← JASON J TOPIAdvisorregistration: previous registration
Jul 19, 2012 to Dec 12, 2018factForm ADV
← MATTHEW DAVID SAVERYAdvisorregistration: previous registration
Apr 8, 2013 to Dec 12, 2018factForm ADV
← ZACHARY D MAXWELLAdvisorregistration: previous registration
May 13, 2014 to Dec 12, 2018factForm ADV
← MATTHEW JAMES SHERIDANAdvisorregistration: previous registration
Apr 13, 2016 to Dec 12, 2018factForm ADV

Moved with (1)

→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviser10 advisors, firm absorbed, same day
Dec 12, 2018 to Dec 11, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ff59f200-32cd-cbb5-db2c-72e73d52e11d
First observed: Dec 12, 2011
Last observed: Mar 26, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

M. GRIFFITH INVESTMENT SERVICES, INC.

CRD 2078

NEW HARTFORD, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ff59f200-32cd-cbb5-db2c-72e73d52e11d

Data as of Mar 26, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GRIFFITH, DAVID THOMAS

President

yes

05/1973

Dec 12, 2011

Mar 26, 2018

GRIFFITH, DAVID THOMAS

Shareholder

yes

12/2004

Dec 12, 2011

Mar 26, 2018

MGL ASSOCIATES INC.

Shareholder

yes

03/2005

Dec 12, 2011

Mar 26, 2018

CUCHARALE, CATHERINE ANN

CHIEF OPERATING OFFICER

03/2005

Dec 12, 2011

Mar 26, 2018

GRIFFITH, JANET NELSON

Director

12/2015

Mar 15, 2018

Mar 26, 2018

GURTOWSKI, MARY LOURDES

CORPORATE SECRETARY

01/2015

Feb 2, 2015

Mar 26, 2018

M. GRIFFITH INVESTMENT SERVICES EMPLOYEE STOCK OWNERSHIP PLAN

Shareholder

06/2012

Jun 5, 2012

Mar 26, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

M. GRIFFITH INVESTMENT SERVICES, INC.

n/a

Former SEC adviser

$1.5B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 15, 2018

$1.5B

$682M

n/a

2016

Feb 16, 2017

$1.3B

$436M

n/a

2015

Feb 11, 2016

$1.1B

$340M

n/a

2014

Mar 5, 2015

$1.0B

$305M

n/a

2013

Mar 6, 2014

$924M

$209M

n/a

2012

Mar 14, 2013

$431M

$152M

n/a

2011

Mar 23, 2012

$344M

$125M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$1.5B

$1.3B

19.1%

$1.0B

14.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ROBERT W. BAIRD & CO. INCORPORATED

Dec 12, 2018

Dec 11, 2018

NEW HARTFORD, NY

Firm absorbed

RIA to RIA

100.0%