Chief Compliance Officer · Griffin Asset Management, LLC
Duncan K. Smith
CRD 1005694 · Named on Form ADV at one SEC-registered adviser
At a glance
Griffin Asset Management, LLC, an SEC-registered wealth manager based in New York, NY with $1.1 billion in regulatory assets, lists Duncan K. Smith on its Form ADV as Chief Compliance Officer.
Firms and roles
- Griffin Asset Management, LLCChief Compliance OfficerWealth manager · New York, NY · $1.1B in regulatory assets
AtlasMembers
Duncan’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- Locked
- When each role began
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- Each firm’s assets and growth
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- Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Thomas A. FamiglettiManaging Director, Griffin Asset Management, LLC
- Douglas M. FamiglettiCo-President, Griffin Asset Management, LLC
- Michael D. JamisonCo-President, Griffin Asset Management, LLC
- John B. CareyManaging Director, Griffin Asset Management, LLC
- Brian T FamiglettiManaging Director, Griffin Asset Management, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Duncan’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.