G
Griggs Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,703,515
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Griggs Capital LLC provides discretionary investment supervisory services to individual investors identified in its brochure as high‑net‑worth and accredited/qualified investors, managing approximately $2.7 million in assets as of January 1, 2026. The firm prepares an Investment Policy Statement for each client and focuses its management primarily on equity investments.
The firm’s investment approach emphasizes fundamental analysis and long‑term trading, with short sales used opportunistically when market conditions indicate opportunities, and it conducts portfolio reviews at least quarterly while clients receive monthly custodian statements. All accounts are managed on a discretionary basis and the firm supplies regular reporting through the client’s custodian.
Noteworthy distinctions include the firm’s small scale relative to many managers in this category and its explicit focus on individual high‑net‑worth and accredited investors rather than broadly on institutional pooled vehicles. The brochure also indicates the firm does not participate in wrap fee programs, relies on performance‑oriented compensation arrangements rather than typical asset‑based advisory fees, and does not take custody of client assets.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
20% of net profits above a high water mark, paid annually in arrears
Account minimum: $500,000
Main office location
Griggs Capital LLC
Lexington KY, United States
Number of offices
1
Most active in
Griggs Capital LLC has reported serving >5 clients in these states in the last 12 months.
Kentucky
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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