GRAGG FINANCIAL
GRAGG & GRAGG, L.L.P. Legal Name
Adviser information for GRAGG FINANCIAL last updated from Form ADV on March 8th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 424 | $181.9M |
| Non-Discretionary | 0 | $0 |
| Total | 424 | $181.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 139 | $30.9M |
| HNW Individuals | 58 | $98.7M |
| 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 | 12 | $24.0M |
| Charitable organizations | 6 | $27.1M |
| 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 | $1.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 216 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-119435 |
|---|---|
| SEC ERA File Number | 801-119435 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110592 |
| Legal Entity Identifier | None |
Principal Office
NINE EAST MARION STREETSHELBY
NC
United States
Monday - Friday, 8AM - 5PM
Tel: 704-482-2001, Fax: 704-480-7516
Chief Compliance Officer
JASON GRAGG
PARTNER
EAST MARION STREET
9
SHELBY
NC
United States
Tel:
704.482.2001
Fax:
704.480.7516
J**@*****************M
(Full email address available in API data)
Regulatory Contact
GARY BRYON GRAGG, JR.
PARTNER
NINE EAST MARION STREET
SHELBY
NC
United States
Tel:
(704) 482-2001
Fax:
(704) 480-7516
B****@*****************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 |
|---|---|---|---|---|---|
| GRAGG, GARY, BRYON | Individual | – | GENERAL PARTNER | 01/2000 | 50-75% |
| GRAGG, JASON, DANIEL | Individual | – | GENERAL PARTNER, CCO | 01/2000 | 50-75% |