DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Griffis Residential Investment Advisor
Latest filing Mar 27, 2026
First filing on the tape Jan 14, 2013 · 23 filings
SEC status approved since Feb 19, 2013
RAUM
$1.9B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.9B as of Mar 27, 2026
Mar 31, 2014$691M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20140 then
Employees (5.A)30 as of Mar 27, 2026
Mar 31, 201410 then
Private funds11 as of Mar 27, 2026
Mar 31, 20142 then
RAUM -6.7% over the last fiscal year-6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $92.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Griffis Premium Apartment Fund Vi (Hnw), L.P. | Real Estate Fund | $276M | 92 | Mar 28, 2023 |
| Griffis Premium Apartment Fund V (Inst), LP | Real Estate Fund | $272M | 32 | Mar 28, 2019 |
| Griffis Premium Apartment Fund Vi (Inst), L.P. | Real Estate Fund | $253M | 24 | Mar 28, 2023 |
| Griffis Premium Apartment Fund V (Hnw), LP | Real Estate Fund | $220M | 117 | Mar 28, 2019 |
| Griffis Premium Apartment Fund IV (Hnw), LP | Real Estate Fund | $194M | 121 | Mar 31, 2017 |
| Griffis Premium Apartment Fund IV, LP | Real Estate Fund | $176M | 11 | Mar 31, 2017 |
| Griffis Premium Apartment Fund IV (M), LP | Real Estate Fund | $134M | 1 | Mar 31, 2017 |
| Griffis Premium Apartment Fund III, LLCno longer reported | Real Estate Fund | $111M | 51 | Mar 31, 2015 |
| Griffis Premium Apartment Fund IV (Mt), LP | Real Estate Fund | $65.6M | 2 | Mar 28, 2019 |
| Griffis Premium Apartment Fund III Investments, LLC | Real Estate Fund | $42.8M | 158 | Mar 29, 2016 |
| Griffis Premium Apartment Fund III - Feeder, LLCno longer reported | Real Estate Fund | $35.9M | 37 | Mar 31, 2015 |
| Griffis Premium Apartment Fund, LLCno longer reported | Real Estate Fund | $31.7M | 27 | Jan 14, 2013 |
| Nv Wellington Investors, LLCno longer reported | Real Estate Fund | $29.3M | 54 | Mar 31, 2017 |
| Griffis Premium Apartment Fund IV (Ai), LP | Real Estate Fund | $27.0M | 53 | Mar 31, 2017 |
| Griffis Value Added Fund, LLCno longer reported | Real Estate Fund | $25.5M | 74 | Jan 14, 2013 |
| Quest Investors, LLCno longer reported | Real Estate Fund | $24.6M | 67 | Mar 31, 2017 |
| Pinnacle Investors, LLCno longer reported | Real Estate Fund | $17.1M | 26 | Mar 31, 2017 |
| 2400 Elliott Investors, LLC | Real Estate Fund | $7.0M | 47 | Mar 31, 2017 |
| Crestwood Investors, LLCno longer reported | Real Estate Fund | $186,528 | 62 | Mar 31, 2017 |
| Links Investors, LLCno longer reported | Real Estate Fund | $168,054 | 38 | Mar 31, 2017 |
| Crestwood Corundum Investors, LLCno longer reported | Real Estate Fund | $87,925 | 1 | Mar 31, 2017 |
| 12100 Metric Boulevard Investors, LLCno longer reported | Real Estate Fund | $35,512 | 6 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Shane Thomas Barta · President And Chief Operating Officercontrolsince 11/2012 · owns less than 5%
- Michael David Birnbaum · Managing Director And Co-Chief Executive Officercontrolsince 11/2012 · owns less than 5%
- Christopher Ian Griffis · Managing Director And Co-Chief Executive Officercontrolsince 11/2012 · owns less than 5%
- Carroll Christopher Souther · Chief Financial Officer And Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
- Shane Thomas Barta · Ownercontrolsince 12/2007 · owns 75% or more of Tgt, Inc.
- Michael David Birnbaum · Ownercontrolsince 03/2005 · owns 75% or more of New Century Investment Company, Inc.
- Christopher Ian Griffis · Ownercontrolsince 10/1997 · owns 75% or more of Griffis Investment Company, Inc.
Entity owners
- Griffis Investment Company, Inc. · Memberdirect · owns 50% to 75%
- New Century Investment Company, Inc. · Memberdirect · owns 25% to 50%
- Tgt, Inc. · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Griffis Group Of Companies, LLCpooled vehicle sponsory
- Griffis Group Residential, LLCinvestment companyn
- Grit Fund Management, LLCpooled vehicle sponsorn
- Pafm III 2400 Elliott, LLCpooled vehicle sponsorn
- Premium Apartment Fund Management III, LLCpooled vehicle sponsorn
- Premium Apartment Fund Management IV, LLCpooled vehicle sponsorn
- Premium Apartment Fund Management V, LLCpooled vehicle sponsorn
- Premium Apartment Fund Management Vi, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 27, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-03-27, yes on the filing of 2026-03-27peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Advisory employees · 16 to 17Mar 27, 2025 to Mar 27, 2026
- Employees · 29 to 30Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.9B to $1.8BMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $41.0M to $38.6MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.0B to $1.9BMar 27, 2025 to Mar 27, 2026
- RAUM · $2.0B to $1.9BMar 27, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.1B to $1.9BMar 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $43.2M to $41.0MMar 21, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $2.2B to $2.0BMar 21, 2024 to Mar 27, 2025
- RAUM · $2.2B to $2.0BMar 21, 2024 to Mar 27, 2025
- Employees · 28 to 29Sep 11, 2023 to Mar 21, 2024
- Discretionary RAUM · $2.4B to $2.1BSep 11, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $46.9M to $43.2MSep 11, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $2.4B to $2.2BSep 11, 2023 to Mar 21, 2024
- RAUM · $2.4B to $2.2BSep 11, 2023 to Mar 21, 2024
- Discretionary RAUM · $2.2B to $2.4BMar 28, 2023 to Apr 10, 2023
- Pooled vehicle RAUM · $2.3B to $2.4BMar 28, 2023 to Apr 10, 2023
- RAUM · $2.3B to $2.4BMar 28, 2023 to Apr 10, 2023
- Accounts · 18 to 20Mar 28, 2022 to Mar 28, 2023
- Pooled vehicle clients · 18 to 20Mar 28, 2022 to Mar 28, 2023
- Employees · 26 to 28Mar 28, 2022 to Mar 28, 2023
- Private funds · 10 to 11Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.5B to $2.2BMar 28, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $67.4M to $46.9MMar 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.6B to $2.3BMar 28, 2022 to Mar 28, 2023
- RAUM · $1.6B to $2.3BMar 28, 2022 to Mar 28, 2023
- Accounts · 28 to 18Mar 29, 2021 to Mar 28, 2022
- Advisory employees · 15 to 16Mar 29, 2021 to Mar 28, 2022
- Pooled vehicle clients · 28 to 18Mar 29, 2021 to Mar 28, 2022
- Employees · 27 to 26Mar 29, 2021 to Mar 28, 2022
- Private funds · 12 to 10Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.1B to $1.5BMar 29, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $244M to $67.4MMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.3B to $1.6BMar 29, 2021 to Mar 28, 2022
- RAUM · $1.3B to $1.6BMar 29, 2021 to Mar 28, 2022
- Accounts · 30 to 28May 18, 2020 to Mar 29, 2021
- Advisory employees · 14 to 15May 18, 2020 to Mar 29, 2021
- Pooled vehicle clients · 30 to 28May 18, 2020 to Mar 29, 2021
- Employees · 25 to 27May 18, 2020 to Mar 29, 2021
Signals
5 dated events
- Griffis Residential Investment Advisor reported RAUM $2.3B, up 44% from $1.6B (2022-03-28 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Lynn Donna Brown (Vice President Of Finance) no longer on Schedule A of Griffis Residential Investment Advisor (listed 2020-05-18, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Griffis Residential Investment Advisor reported RAUM $1.3B, up 28% from $1.0B (2019-04-24 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Griffis Residential Investment Advisor reported RAUM $1.0B, down 47% from $2.0B (2019-03-28 to 2019-04-24)Apr 24, 2019 · RAUM change · derived
- Griffis Residential Investment Advisor filed its initial SEC registration (Form ADV)Jan 14, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/GRIFFIS-RESIDENTIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- griffisinvestments.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303- 268-2121reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Griffis Residential Investment Advisor is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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