{"url":"https://nivawealth.com/firms/griffin-black-134684","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/134684","regulatoryAum":355515601,"crd":"134684","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4934778","suffix":null,"lastName":"BEULE","firstName":"JANE","middleName":null},{"crd":"6869001","suffix":null,"lastName":"Palazzolo","firstName":"Terrence","middleName":"Francesco"},{"crd":"7679332","suffix":null,"lastName":"Parasuraman","firstName":"Soumyalakshmi","middleName":null},{"crd":"7975287","suffix":null,"lastName":"SyCip","firstName":"Kyla","middleName":null}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-25","regulatoryAum":147531179,"clients":144,"employees":6,"offices":2},{"filedOn":"2022-04-05","regulatoryAum":188953738,"clients":151,"employees":7,"offices":3},{"filedOn":"2023-03-27","regulatoryAum":186548590,"clients":167,"employees":7,"offices":2},{"filedOn":"2024-03-27","regulatoryAum":219778266,"clients":164,"employees":8,"offices":3},{"filedOn":"2025-03-27","regulatoryAum":270853350,"clients":168,"employees":9,"offices":3},{"filedOn":"2026-09-29","regulatoryAum":355515601,"clients":171,"employees":9,"offices":3}],"secFileNumber":"801-117753","legalName":"Griffin Black, LLC","displayName":"Griffin Black","slug":"griffin-black-134684","website":"https://griffinblack.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/134684/5fd1c457a16ec8ea-r1.webp","tone":"light","width":445,"height":200,"sourceUrl":"https://griffinblack.com/","sourceLabel":"Griffin Black, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/griffin-black","xUrl":"https://x.com/griffinblackllc","founded":"2005","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"702 Marshall Street, Suite 411","city":"Redwood City","state":"CA","stateName":"California","country":"United States","postalCode":"94063"},"tradeNames":[],"registration":{"secApproved":"10 December 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2035706.7660818712,"staff":{"employees":9,"advisory":5,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":355515601,"discretionary":355515601,"discretionaryAccounts":698,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":77,"regulatoryAum":35437157},{"label":"High-net-worth individuals","clients":94,"regulatoryAum":312668700},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":3458423},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":3883022},{"label":"Other","clients":null,"fewerThan5":true,"regulatoryAum":68299}],"feePrograms":[{"role":"main","program":"Holistic Wealth Management","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":3000000,"pct":0.8,"from":1000000},{"to":6000000,"pct":0.6,"from":3000000},{"to":null,"pct":0.4,"from":6000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-03-25","documentName":"ADV 2A","fee_rate_low":0.4,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Estate administration","summary":"Estate administration fees range from $2,500 to $5,000, depending on the complexity of the estate.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25","documentName":"ADV 2A"},{"role":"other","program":"Hourly project fees","summary":"Ad hoc financial planning projects are billed at $350 an hour for principals, $200 for financial planners and $95 for support staff.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25","documentName":"ADV 2A"},{"role":"other","program":"International holistic wealth management","summary":"Holistic Wealth Management for international and cross-border clients is 1.50% of the first $500,000, 1.25% of the next $1,500,000, 1.00% of the next $3,000,000 and 0.80% of the remainder.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25","documentName":"ADV 2A"},{"role":"other","program":"International investment management","summary":"International Investment Management is priced at 1.25% of the first $500,000, 1.10% of the next $1,000,000, 0.90% of the next $2,000,000 and 0.70% of the remainder.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25","documentName":"ADV 2A"},{"role":"other","program":"Pathfinder program","summary":"Pathfinder requires an initial project fee of $2,500, then 1.25% of assets under management until the age-based Holistic Wealth Management minimum is reached.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25","documentName":"ADV 2A"},{"role":"other","program":"Reduced minimum asset fee","summary":"Clients below the $500,000 minimum asset level may be charged 1.25% of the first $500,000 under management.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25","documentName":"ADV 2A"},{"role":"other","program":"Standalone investment management","summary":"Standalone Investment Management is priced at 1.00% of the first $1,000,000, 0.60% of the next $2,000,000 and 0.35% of the remaining assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25","documentName":"ADV 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:04:09.09049+00:00","documents":[{"name":"ADV 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","versionId":1026627,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":114496600},{"name":"Altruist Financial LLC","shortName":"Altruist","location":"Culver City, CA","smaAssets":240544593}],"custodyNote":"Griffin Black does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jane Beule","title":"President","crd":"4934778"},{"name":"Manju George","title":"Chief Compliance Officer","crd":"4814901"}],"ownership":[{"label":"Griffin Black Holdings, Inc.","detail":"Managing member in the 75% or more ownership band and a control person, since June 2024."},{"label":"George Thomas Family Revocable Trust","detail":"Member in the 10% to 25% ownership band, since September 2026."},{"label":"The Joya Trust","detail":"Member in the 5% to 10% ownership band, since September 2026."},{"label":"Jane Beule","detail":"Indirect owner: trustee of Coleman Beule Family Revocable Trust and a control person, since March 1997.","parent":"Coleman Beule Family Revocable Trust"},{"label":"Robert Coleman","detail":"Indirect owner: trustee of Coleman Beule Family Revocable Trust and a control person, since March 1997.","parent":"Coleman Beule Family Revocable Trust"},{"label":"Coleman Beule Family Revocable Trust","detail":"Indirect owner: a owner of Griffin Black Holdings, Inc. in the 75% or more band and a control person, since June 2024.","parent":"Griffin Black Holdings, Inc."},{"label":"Manju George","detail":"Indirect owner: trustee of George Thomas Family Revocable Trust and a control person, since February 2020.","parent":"George Thomas Family Revocable Trust"},{"label":"Arun Thomas","detail":"Indirect owner: trustee of George Thomas Family Revocable Trust and a control person, since February 2020.","parent":"George Thomas Family Revocable Trust"},{"label":"Terrence Palazzolo","detail":"Indirect owner: trustee of The Joya Trust and a control person, since November 2022.","parent":"The Joya Trust"},{"label":"Puntis Palazzolo","detail":"Indirect owner: trustee of The Joya Trust and a control person, since November 2022.","parent":"The Joya Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"702 Marshall Street, Suite 411","city":"Redwood City","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-368-5785","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"U.S. government/agency bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":85},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":1,"detail":"Limited Partnership, Reit, Private Stock"}],"privateFunds":0},"sources":{"adv1FilingDate":"29 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/134684/PDF/134684.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026627","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Griffin Black have?","answer":"Griffin Black has 171 clients and manages $356 million for them, as of September 2026. They include 94 high-net-worth individuals and 77 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Griffin Black offer?","answer":"Griffin Black provides financial planning, portfolio management for individuals and small businesses, pension consulting, education planning, estate planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Griffin Black charge?","answer":"Griffin Black charges 0.40%–1.00% a year for its Holistic Wealth Management. Each asset band is charged at its own rate. The fee is negotiable.","source":"ADV 2A, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Griffin Black use?","answer":"Griffin Black’s separately managed account assets are held at Altruist Financial LLC (Culver City, CA), with $241M and Pershing LLC (Jersey City, NJ), with $114M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Griffin Black have?","answer":"Griffin Black has 5 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Griffin Black invest in?","answer":"At the end of its last fiscal year, Griffin Black’s separately managed accounts held 85% registered funds (mutual funds, ETFs, BDCs), 7% exchange-traded equities, 4% U.S. government and agency bonds, 3% cash and equivalents and 1% other. The 1% other category is described as: Limited Partnership, Reit, Private Stock.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Griffin Black?","answer":"Griffin Black’s direct owners are Griffin Black Holdings, Inc. (75% or more), George Thomas Family Revocable Trust (10% to 25%) and the Joya Trust (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Griffin Black get paid?","answer":"Griffin Black is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Griffin Black?","answer":"Griffin Black’s main office is at 702 Marshall Street, Suite 411, Redwood City, CA 94063. Its phone number is 650-368-5785. Its website is griffinblack.com.","source":"Form ADV Part 1A, Item 1.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}