Overview
Page 5
A. Griffin Asset Management LLC
Griffin Asset Management LLC (“Griffin Asset Management” or “the firm”) is an Illinois limited
liability company. The firm was formed in 2011 and is solely owned by Michael Griffin.
B. Advisory Services Offered
Griffin Asset Management provides discretionary asset management services to several private
funds (“Funds” or “Series Funds”). Griffin Asset Management may, in the future, advise additional
funds, co-investment vehicles and form alternative investment vehicles (each, an “Alternative
Investment Vehicle”) organized to address, for example, specific tax, legal, business, accounting
or regulatory-related matters that may arise in connection with a transaction or transactions. The
Funds, Co-Investment Vehicles and Alternative Investment Vehicles are collectively referred to as
the “Funds.”
Griffin Asset Management’s advisory services consist of investigating, identifying and evaluating
investment opportunities, structuring, negotiating and making investments on behalf of the
Funds, managing and monitoring the performance of such
investments, and disposing of such
investments.
Griffin Asset Management provides investment supervisory services to each Fund in accordance
with a limited partnership agreement or separate investment and advisory, investment
management or portfolio management agreements (each, a “Management Agreement”). Griffin
Asset Management provides investment advice directly to the Funds, subject to the discretion
and control of the Managing Member, and not individually to the investors in the Funds.
Investment restrictions for the Funds, if any, are generally established in the organizational or
offering documents of the applicable Fund.
C. Client-Tailored Services and Client-Imposed Restrictions
Each Fund will be managed on the basis of the Fund’s governing documents.
D. Wrap Fee Programs
Griffin Asset Management does not participate in wrap fee programs. (Wrap fee programs offer
services for one all-inclusive fee.)
E. Client Assets Under Management
As of December 31, 2022, the firm managed $105,828,730 of discretionary assets.
Item 5: Fees and Compensation