GRACE CAPITAL MANAGEMENT, LLC
Adviser information for GRACE CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 484 | $109.5M |
| Non-Discretionary | 47 | $30.5M |
| Total | 531 | $140.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 151 | $13.2M |
| HNW Individuals | 120 | $95.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $30.5M |
| Charitable organizations | <5 | $566,000 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $114,000 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 96.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| GCM WRAP FEE PROGRAM | GRACE CAPITAL MANAGEMENT, LLC |
Identifiers
| SEC RIA File Number | 801-111020 |
|---|---|
| SEC ERA File Number | 801-111020 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150054 |
| Legal Entity Identifier | None |
Principal Office
11651 JOLLYVILLE ROADSUITE 300
AUSTIN
TX
United States
Monday - Friday, BY APPOINTMENT
Tel: 512-485-1800, Fax: 512-485-1801
Websites
Chief Compliance Officer
GEORGE DUFF
MEMBER
11651 JOLLYVILLE ROAD
SUITE 300
AUSTIN
TX
United States
Tel:
512-485-1800
Fax:
512-485-1801
G*****@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUFF, GEORGE, ROGER | Individual | – | MEMBER AND CHIEF COMPLIANCE OFFICER | 03/2009 | > 75% |