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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

GRACIAN CAPITAL LLC

CRD 328687

SOLANA BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:44889f92-7250-3ad3-3ba0-bd907b615d9b

Data as of Mar 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 1
Observed: Oct 6, 2023 to Mar 7, 2024
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Gracian Capital LLC

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $111MItem 5.F on the latest filing (2024-03-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $111M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $37.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
SEC number: 801-129023
CRD: 328687
Filings on the tape: 2
First filed: Oct 6, 2023
Latest filed: Mar 7, 2024
Organised: Limited Liability Company, Delaware

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MATTHEW ROBERT KLIBER	n/a	RANCHO SANTA FE, CA	1	30	1	no
KATHERINE ROSE LOCK	n/a	RANCHO SANTA FE, CA	1	14	1	no
AHMAD SUROSH RASHIDI	n/a	RANCHO SANTA FE, CA	1	14	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KLIBER, MATTHEW, ROBERT	MANAGING MEMBER	E	yes	11/2011	Oct 6, 2023	Mar 7, 2024
LOCK, KATHERINE, ROSE	Member	B	no	06/2012	Oct 6, 2023	Mar 7, 2024
RASHIDI, AHMAD, SUROSH	CHIEF COMPLIANCE OFFICER	B	no	06/2012	Oct 6, 2023	Mar 7, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 7, 2024	$111M	$111M	3	2	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$111M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GRACIAN CAPITAL LLC	3	Jun 30, 2021	May 30, 2025	SAN DIEGO, CA	Firm absorbed	Other	100.0%

Relationships

Registered with (3)

← MATTHEW ROBERT KLIBERAdvisorregistration: current employment
May 30, 2025 to presentfactForm ADV
← KATHERINE ROSE LOCKAdvisorregistration: current employment
May 30, 2025 to presentfactForm ADV
← AHMAD SUROSH RASHIDIAdvisorregistration: current employment
May 30, 2025 to presentfactForm ADV

Controls (1)

← KLIBER, MATTHEW, ROBERTOwnerMANAGING MEMBER, ownership code E, individual
Oct 6, 2023 to presentfactForm ADV

Owns (2)

← LOCK, KATHERINE, ROSEOwnerMEMBER, ownership code B, individual
Oct 6, 2023 to presentfactForm ADV
← RASHIDI, AHMAD, SUROSHOwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
Oct 6, 2023 to presentfactForm ADV

Moved with (1)

← GRACIAN CAPITAL LLCRegistered adviser3 advisors, firm absorbed, same day
Jun 30, 2021 to May 30, 2025factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Gracian Capital Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $111.3M)
Form ADVobserved 6 days ago
$111M
Occurred
Oct 6, 2023
First Form ADV filing
Gracian Capital Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:44889f92-7250-3ad3-3ba0-bd907b615d9b
First observed: Oct 6, 2023
Last observed: Mar 7, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

GRACIAN CAPITAL LLC

CRD 328687

SOLANA BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:44889f92-7250-3ad3-3ba0-bd907b615d9b

Data as of Mar 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MATTHEW ROBERT KLIBER

n/a

RANCHO SANTA FE, CA

KATHERINE ROSE LOCK

n/a

RANCHO SANTA FE, CA

AHMAD SUROSH RASHIDI

n/a

RANCHO SANTA FE, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KLIBER, MATTHEW, ROBERT

MANAGING MEMBER

yes

11/2011

Oct 6, 2023

Mar 7, 2024

LOCK, KATHERINE, ROSE

Member

06/2012

Oct 6, 2023

Mar 7, 2024

RASHIDI, AHMAD, SUROSH

CHIEF COMPLIANCE OFFICER

06/2012

Oct 6, 2023

Mar 7, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 7, 2024

$111M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$111M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GRACIAN CAPITAL LLC

Jun 30, 2021

May 30, 2025

SAN DIEGO, CA

Firm absorbed

Other

100.0%