Grimaldi Portfolio Solutions provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.
Grimaldi Portfolio Solutions reports 300 clients. They include 299 individuals and 1 investment company. Of its assets, 100.0% ($133M across 300 accounts) are managed with discretion. It advised 300 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 100% | 68% |
| Investment companies | <1% | 32% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 299 | $91M | 68.4% | $304K |
| Investment companies | 1 | $42M | 31.6% | $42M |
| Total | 300 | $133M | 100% | $443K |
- Clients
- 299
- Regulatory AUM
- $91M
- AUM share
- 68.4%
- Avg. per client
- $304K
- Clients
- 1
- Regulatory AUM
- $42M
- AUM share
- 31.6%
- Avg. per client
- $42M
Total
- Clients
- 300
- Regulatory AUM
- $133M
- AUM share
- 100%
- Avg. per client
- $443K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 300
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Grimaldi Portfolio Solutions is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Mark Grimaldi owns 50% to 75% of Grimaldi Portfolio Solutions. The leadership team of Grimaldi Portfolio Solutions includes President Mark Grimaldi and Chief Compliance Officer Sheila Pitz. It has 4 employees, 2 of them in advisory roles.
Leadership
- Mark GrimaldiPresident
- Joseph ViscontiVice President
- Sheila PitzChief Compliance Officer
Staff
- 4 employees
- 2 in advisory functions
- 1 insurance agent
- Owns 50% to 75% of Grimaldi Portfolio Solutions, Inc
Mark Grimaldi
Control person · since March 1996
- Owns 25% to 50% of Grimaldi Portfolio Solutions, Inc
Joseph Visconti
Control person · since March 1996
Grimaldi Portfolio Solutions’ regulatory assets grew from $90M (March 2021) to $133M (March 2026); clients were 300 in both filings and employees fell from 5 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $133M | 300 | 4 | 1 |
| March 2025 | $122M | 300 | 4 | 1 |
| March 2024 | $107M | 300 | 4 | 1 |
| March 2023 | $95M | 300 | 5 | 1 |
| March 2022 | $106M | 300 | 5 | 1 |
| March 2021 | $90M | 300 | 5 | 1 |
Besides its headquarters, Grimaldi Portfolio Solutions has 0 offices, with 1 listed address in New York.
New York · 1 listed address
- 1207 Route 9, Suite 10, Wappingers FallsHQ
Contact and registration details
- Legal name
- Grimaldi Portfolio Solutions, Inc
- Headquarters
- 1207 Route 9, Suite 10, Wappingers Falls, NY 12590
- Website
- Not reported
- Phone
- 845-297-3500
- SEC file
- 801-51163
- Structure
- New York corporation
- Fiscal year end
- December
Grimaldi Portfolio Solutions does not have custody of client assets.
At year end, Grimaldi Portfolio Solutions’ separately managed accounts were mostly in stocks (95%).
What the accounts hold
- Stocks95%
- Cash4%
- Other1%
- Fdic insured cd's through charles schwab with no holding exceeding the fdic limit.1%
How many clients does Grimaldi Portfolio Solutions have?
Grimaldi Portfolio Solutions has 300 clients and manages $133 million for them, as of March 2026. They include 299 individuals and 1 investment company.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026
What services does Grimaldi Portfolio Solutions offer?
Grimaldi Portfolio Solutions provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Grimaldi Portfolio Solutions have?
Grimaldi Portfolio Solutions has 0 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Grimaldi Portfolio Solutions invest in?
At the end of its last fiscal year, Grimaldi Portfolio Solutions’ separately managed accounts held 95% exchange-traded equities, 4% cash and equivalents and 1% other. The 1% other category is described as: Fdic Insured CD'S Through Charles Schwab With No Holding Exceeding the Fdic Limit.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Grimaldi Portfolio Solutions?
Grimaldi Portfolio Solutions’ direct owners are Mark Grimaldi (50% to 75%) and Joseph Visconti (25% to 50%).
Source: Form ADV Part 1A, Schedules A and B, filed 19 March 2026
How does Grimaldi Portfolio Solutions get paid?
Grimaldi Portfolio Solutions is paid through a percentage of assets under management. 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
Is Grimaldi Portfolio Solutions registered with the SEC?
Yes, Grimaldi Portfolio Solutions has been registered with the SEC as an investment adviser since 5 February 1996. Its CRD number is 106199 and its SEC file number is 801-51163.
Source: Form ADV Part 1A, Item 1, filed 19 March 2026; IAPD firm record
How do I contact Grimaldi Portfolio Solutions?
Grimaldi Portfolio Solutions’ main office is at 1207 Route 9, Suite 10, Wappingers Falls, NY 12590. Its phone number is 845-297-3500.