SourcingSourcing

GRACE CAPITAL MANAGEMENT, LLC

A68
CRD 150054·SEC 801-111020·AUSTIN, TX
AUM
$108.7M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$326K
@ 30% margin
Est. Deal Value
$2.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GRACE CAPITAL MANAGEMENT, LLC
CRD
150054
SEC file #
801-111020
EIN
—
DBA names
—

Economics

AUM
$108.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$136.7M → $108.7M▼ -21%
Client mix
Individuals Other54
Individuals High Net Worth23

Operations

Employees (total)
5
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
5 advisors → 2 advisors▼ -60%
Primary office
AUSTIN TX
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
grace-cap.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
DUFF, GEORGE, ROGER
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
DUFF, GEORGE, ROGER
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
GRACE-CAP.COM
Rdap Domain Creation Date
2009-03-06T20:59:43Z
Rdap Firm Age Years
17
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-03-06T20:59:43Z
Rdap Domain Last Changed
2022-09-05T20:56:49Z
Rdap Nameservers
Ns19.domaincontrol.comNs20.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2768560
Trust Company Affiliate
No

People (2)

2
DUFF, GEORGE, ROGER
IAR · Direct Owner · 87.5%
2768560
Lauren Fischer
IAR
7220771