Griffin Financial Group
Griffin Financial Group is a Reading, Pennsylvania-based boutique investment bank founded in 2001, providing M&A advisory, capital raising, capital markets, special situations, and ESOP services to lower middle-market businesses (EBITDA $3M–$50M) and community banks across the U.S.
- Company typePrivate
- Founded2001
- HeadquartersReading, United Kingdom
- Headcount101–250
- GTM typeB2B
- OfferingServices
What Griffin Financial Group does
Griffin Financial Group is a boutique investment bank founded in 2001 and headquartered in Reading, Pennsylvania, operating as Griffin Financial Group LLC under the Stevens & Lee Companies professional-services platform. The firm provides merger and acquisition advisory, capital raising (debt and equity private placements, subordinated notes), capital markets execution, special situations restructuring, ESOP advisory, and strategic consulting services. It serves lower middle-market businesses with EBITDA typically between $3 million and $50 million, with particular depth in community banks and depository institutions, plus dedicated practices across consumer products, commercial/industrial/services, technology, healthcare, staffing, real estate, private equity, and insurance.
The firm employs 101–250 professionals across four U.S. offices (Reading, King of Prussia, Boston, and Elmwood Park) and a Rocky Mountain region coverage node in Salt Lake City. Senior managing directors lead specialized verticals: Richard Quad covers depository institutions, John Lee covers commercial/industrial/services, Sophea Chau leads consumer, Chad Gardiner leads staffing/IT/business services, Thomas Whalen leads special situations, and Jeffrey Harenza leads insurance. Aggregate advised transaction value disclosed across named senior bankers exceeds $9 billion, with individual MDs having closed 50–80+ mandates each. Marketing is content-driven, built around proprietary quarterly industry research reports in staffing, perimeter security, aggregates, beauty & personal care, cannabis, and community management, supplemented by conference participation and Stevens & Lee platform referrals.
Griffin's revenue model is professional-services and transaction-based: success fees on closed M&A mandates, placement-agent fees on capital raises, retainer fees on strategic consulting, and fees on capital-markets executions. Pricing is not publicly disclosed. The firm is a registered broker-dealer (FINRA member, clearing through Wedbush Securities), is privately held with no disclosed institutional investors, and has been under CEO Matthew T. O'Leary since April 2019, with founder Joseph M. Harenza continuing as Chairperson.
Griffin Financial Group firmographics
Firmographics- Name
- Griffin Financial Group
- Legal name
- Griffin Financial Group LLC
- Website
- https://griffinfingroup.com
- Company type
- Private
- Founded year
- 2001
- Operating status
- Operating
- Headcount range
- 101–250 employees
- Short description
- Griffin Financial Group is a Reading, Pennsylvania-based boutique investment bank founded in 2001, providing M&A advisory, capital raising, capital markets, special situations, and ESOP services to lower middle-market businesses (EBITDA $3M–$50M) and community banks across the U.S.
- Ownership category
- akta.pro rank
Griffin Financial Group industry classification
Industry- Product category
- Investment Banking
- NAICS
- Portfolio Management and Investment Advice (523940)
- SIC
- Investment Advice (6282)
- akta.pro primary industry
- Corporate Finance Advisory (Strategic Finance, Capital Structure & Recaps) (FSAEAGAE)
- akta.pro secondary industries
- Buy-Side M&A Advisory (FSAEAGAB), Industry-Specialist / Sector-Focused M&A Advisory (FSAEAGAJ), Corporate Finance & Capital Advisory (BPAHADAB), Corporate Development & Strategic Partnerships Advisory (JVs, Alliances, Carve-outs) (BPAHAOAG)
Keywords
Where Griffin Financial Group is headquartered
LocationHeadquarters
- HQ city
- Reading
- HQ country
- United Kingdom
- HQ region
- Europe
Offices4 records
Markets served
Griffin Financial Group business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Marketing or Sales, Technology or R&D, Others
Revenue model
- Merger and Acquisition Advisory: Advisory fees for sell-side and buy-side M&A transactions, including strategic advisory, valuation, due diligence support, and transaction execution for middle-market businesses across various industries.
- Capital Raising: Private placements of debt and equity capital, subordinated notes, and other financing solutions for clients. Placement agent fees and advisory fees on capital market transactions.
- Strategic Consulting: Advisory services for recapitalizations, restructurings, ESOP transactions, and strategic planning engagements.
- Capital Markets: Assist clients in public offerings, institutional placements, sales, syndication and other capital markets activities.
Go-to-market motion2 records
Distribution channels1 record
Marketing channels5 records
Griffin Financial Group product offering
Product offeringCore offering
Griffin Financial Group is a boutique investment bank that provides M&A advisory, capital raising, capital markets, special situations/ESOP advisory, and strategic consulting services to middle-market businesses. The firm also offers specialized services including due diligence, private equity placement, fairness opinions, and ESOP advisory across industry verticals such as health care, asset management, food and agribusiness, real estate, community banking, and financial services.
Product overview
Griffin Financial Group is a boutique investment bank providing a unified suite of investment banking services rather than a modular software product. The core offering consists of Merger and Acquisition Advisory, Capital Raising, Capital Markets, Special Situations, ESOPs, Strategic Consulting, Due Diligence Services, and Private Equity Placement. These services support both healthy and financially challenged businesses seeking liquidity, growth partnerships, or strategic transactions. The company operates across multiple industry verticals including Depository Institutions, Technology, Health Care, Staffing, Real Estate, Insurance, Private Equity, and Commercial/Industrial/Services sectors.
Differentiator
Problem solved
Functional benefit
Products and services
- M&A Advisory
Companies that use Griffin Financial Group
Customer profileNamed customers25 records
Segments8 records
Ideal customer profiles4 records
Griffin Financial Group technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Griffin Financial Group partnerships and signals
Strategic signalPartnerships
Five partnerships are on record, tiered core and minor.
- Stevens & LeecoreGriffin Financial Group is part of the Stevens & Lee Companies platform, a comprehensive professional services organization. Stevens & Lee provides legal services, and the affiliated companies work together to serve clients across investment banking, legal, and advisory needs.
- SES ESOP StrategiescoreAffiliate company providing ESOP advisory and strategies, complementing Griffin's ESOP transaction services.
- GSL Public Strategies GroupminorAffiliate providing public affairs and government relations services.
- FSL Public FinanceminorAffiliate providing public finance advisory services.
- Pinnacle Risk ServicesminorAffiliate providing risk management and insurance services.
Scale indicators6 records
Recent moves8 records
Expansion highlights5 records
Griffin Financial Group competitors and assessment
Company assessmentDirect peers
- Capstone Partners: Capstone Partners is a middle-market investment bank with overlapping M&A advisory and capital raising capabilities, serving similar lower middle-market businesses across multiple verticals. It is the most direct comparable given that Griffin hired Sophea Chau (former MD/Head of Boston IB) and Chad Gardiner (former SVP) directly from Capstone.
- Brown Gibbons Lang & Company: BGL is a middle-market investment bank providing M&A advisory and capital raising services to similar lower middle-market clients across industrial, consumer, and business services verticals. Comparable in size and boutique positioning with strong sector-focused coverage teams.
- Harris Williams: Harris Williams is a middle-market M&A advisor owned by PNC Financial Services, with deep vertical specialization in consumer, healthcare, industrials, and technology sectors. Highly comparable boutique model with similar deal size focus and industry-specialist positioning.
- Lincoln International: Lincoln International is a global mid-market investment bank with sector-focused advisory teams in industrials, business services, consumer, healthcare, and technology. Comparable boutique positioning with international reach Griffin lacks, competing for similar lower middle-market transactions.
- BDO Capital Advisors: BDO Capital Advisors is the investment banking affiliate of BDO USA, providing M&A advisory and capital raising to middle-market companies. Similar client profile and deal size focus, with the added strength of a large accounting firm parent providing cross-referral opportunities.
- Cascadia Capital: Cascadia Capital is an independent middle-market investment bank based in Seattle, providing M&A advisory and capital raising services across technology, consumer, industrial, and business services sectors. Comparable boutique model with strong specialty vertical coverage.
- Mufson Howe Hunter & Company: Mufson Howe Hunter is a boutique investment bank headquartered in the Mid-Atlantic, providing M&A advisory to lower middle-market companies with comparable deal sizes. Geographic overlap and similar boutique positioning make it a direct regional competitor for Griffin's core market.
Broad incumbents
- Houlihan Lokey: Houlihan Lokey is a global investment bank with a strong middle-market M&A practice alongside capital markets, financial restructuring, and valuation services. Larger and more diversified than Griffin but competes directly for middle-market mandates across overlapping verticals.
- Citizens Capital Markets: Citizens Capital Markets is the investment banking arm of Citizens Financial Group, providing M&A advisory, equity capital markets, and debt capital markets services to middle-market companies. Larger platform competing for similar lower middle-market mandates with bank-balance-sheet advantages.
- Stifel Financial: Stifel is a full-service brokerage and investment bank with a substantial middle-market M&A practice serving clients across multiple sectors including financial institutions, healthcare, and consumer. Larger incumbent competing for similar lower middle-market sell-side and capital raising mandates.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat5 records
Key risks6 records
Key highlights7 records
Customer concentration
Griffin Financial Group social profiles
Digital presenceGriffin Financial Group financial estimates
Financial estimateRevenue estimate
Valuation estimate
Griffin Financial Group leadership team
Management profileNumber of profiles
Profiles12 records
Griffin Financial Group funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Griffin Financial Group M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Griffin Financial Group
What does Griffin Financial Group do?
Griffin Financial Group is a boutique investment bank that provides M&A advisory, capital raising, capital markets, special situations/ESOP advisory, and strategic consulting services to middle-market businesses. The firm also offers specialized services including due diligence, private equity placement, fairness opinions, and ESOP advisory across industry verticals such as health care, asset management, food and agribusiness, real estate, community banking, and financial services.
Is Griffin Financial Group a public or private company?
Griffin Financial Group is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Griffin Financial Group founded?
Griffin Financial Group was founded in 2001. It employs 101 to 250 people.
Where is Griffin Financial Group based?
Griffin Financial Group is headquartered in Reading, United Kingdom, in the Europe region.
How does Griffin Financial Group make money?
Four revenue lines are on record. Merger and Acquisition Advisory is the primary driver. The others are capital Raising, strategic Consulting and capital Markets.
Who are Griffin Financial Group's main competitors?
Direct peers on record are Capstone Partners, Brown Gibbons Lang & Company, Harris Williams, Lincoln International, BDO Capital Advisors, Cascadia Capital and Mufson Howe Hunter & Company. Broad incumbents are Houlihan Lokey, Citizens Capital Markets and Stifel Financial.
Does Griffin Financial Group have an API?
No public API is recorded for Griffin Financial Group.
What industry is Griffin Financial Group in?
Griffin Financial Group's product category is Investment Banking. Its primary akta.pro industry code is FSAEAGAE, Corporate Finance Advisory (Strategic Finance, Capital Structure & Recaps), with a secondary code of FSAEAGAB, Buy-Side M&A Advisory. Its NAICS code is 523940 and its SIC code is 6282.