Wealth manager, independent · Wappingers Falls, NY
Grimaldi Portfolio Solutions, Inc
SEC-registered investment adviser · CRD 106199 · SEC 801-51163
At a glance
Grimaldi Portfolio Solutions, Inc is an SEC-registered investment adviser based in Wappingers Falls, New York, with $133 million in regulatory assets under management as of its Form ADV filed March 19, 2026. Its largest client group by assets is individuals, and it reports 299 individual clients. By Form ADV it is a wealth manager, ranked 7,328th of 8,915 wealth managers and 14,259th of 17,210 SEC-registered advisers by assets.
Main office 845-297-3500As filed on Form ADV
- Regulatory AUM
- $133M
- Rank among wealth managers
- #7,328 of 8,915
- Rank among all SEC RIAs
- #14,259 of 17,210
- Rank in New York
- #2,082 of 2,591
- Individual clients
- 299
- High-net-worth clients
- 0
- Accounts
- 300
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Mark A. GrimaldiPresident
- Joseph V. ViscontiVice President
- Sheila E. PitzChief Compliance Officer
Custody and brokerage
Custodian
Grimaldi Portfolio Solutions, Inc’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 299 | $91M | 68% |
| Investment companies | 1 | $42M | 32% |
Disciplinary disclosures
Grimaldi Portfolio Solutions, Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Grimaldi Portfolio Solutions, Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 5,086 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Grimaldi Portfolio Solutions, Inc manage?
Grimaldi Portfolio Solutions, Inc reports $133 million in regulatory assets under management across 300 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 19, 2026.
What kind of firm is Grimaldi Portfolio Solutions, Inc?
Grimaldi Portfolio Solutions, Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Grimaldi Portfolio Solutions, Inc’s clients?
By assets, its largest client types are individuals ($91 million, 299 clients); investment companies ($42 million, 1 clients).
Does Grimaldi Portfolio Solutions, Inc have any disciplinary history?
Grimaldi Portfolio Solutions, Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Grimaldi Portfolio Solutions, Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-19), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →