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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GRACE CAPITAL

CRD 139771

QUINCY, MA

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:79da3715-a08e-0e94-d4c7-d037311e5fd3

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Feb 21, 2012 to Mar 29, 2022
46 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $203MItem 5.F on the latest filing (2022-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $43.0M
Private client RAUM: $43.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 21%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 49
High net worth clients: 29
SEC number: 801-67731
CRD: 139771
Filings on the tape: 46
First filed: Feb 21, 2012
Latest filed: Mar 29, 2022
Organised: Corporation, Massachusetts

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ARA INVESTMENT GROUP	Other Private Fund	$7.3M	Feb 21, 2012	20	Feb 21, 2012	dropped	n/a

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
FADDIS, CATHERINE, VANESSA	President	D	yes	02/2006	Feb 21, 2012	Mar 29, 2022
Nasir, Sami, Uddin	Partner	Na	no	01/2018	Mar 30, 2018	Mar 29, 2022
RAJOTTE, COLLETTE, BERNADETTE	CHIEF COMPLIANCE OFFICER	Na	no	09/2018	Sep 27, 2018	Mar 29, 2022

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
2021	Mar 29, 2022	$203M	$43.0M	4	2	0	n/a	n/a
2020	Mar 24, 2021	$195M	$30.4M	4	2	0	n/a	n/a
2019	Mar 11, 2020	$149M	$28.7M	4	2	0	n/a	n/a
2018	Mar 18, 2019	$266M	$170M	7	5	0	n/a	n/a
2017	Feb 8, 2018	$325M	$325M	7	6	0	n/a	n/a
2016	Mar 13, 2017	$297M	$297M	7	6	n/a	n/a	n/a
2015	Mar 8, 2016	$287M	$287M	8	6	n/a	n/a	n/a
2014	Feb 23, 2015	$457M	$457M	8	6	n/a	n/a	n/a
2013	Mar 18, 2014	$312M	$312M	8	6	n/a	n/a	n/a
2012	Mar 18, 2013	$83.1M	$83.1M	7	5	n/a	n/a	n/a
2011	Feb 21, 2012	$72.3M	$72.3M	n/a	n/a	n/a	1	$7.3M

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
2021	$203M	$195M	3.9%	$266M	-8.7%	4	4	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MASON CAPITAL PARTNERS	2	Jan 25, 2016	Sep 6, 2012	BOSTON, MA	Team lift out	Other	50.0%

Relationships

Owns (2)

← RAJOTTE, COLLETTE, BERNADETTEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 27, 2018 to presentfactForm ADV
← Nasir, Sami, UddinOwnerPARTNER, ownership code NA, individual
Mar 30, 2018 to presentfactForm ADV

Controls (1)

← FADDIS, CATHERINE, VANESSAOwnerPRESIDENT, ownership code D, individual
Feb 21, 2012 to presentfactForm ADV

Registered with (4)

← CATHERINE VANESSA FADDISAdvisorregistration: previous registration
Sep 6, 2012 to Oct 20, 2022factForm ADV
← DENNIS CARLIN BUTLERAdvisorregistration: previous registration
Aug 25, 2015 to Oct 27, 2017factForm ADV
← ALBERT DAVID MASONAdvisorregistration: previous registration
Sep 6, 2012 to Jan 25, 2016factForm ADV
← GREGG THOMAS PICILLOAdvisorregistration: previous registration
Sep 6, 2012 to Jan 25, 2016factForm ADV

Moved with (1)

→ MASON CAPITAL PARTNERSRegistered adviser2 advisors, team lift out, same day
Jan 25, 2016 to Sep 6, 2012factForm ADV

Advises (1)

→ ARA INVESTMENT GROUPPrivate fundOther Private Fund, IA, no longer reported
Feb 21, 2012 to Feb 21, 2012factForm ADV

Dated events

Occurred
Oct 20, 2022
Advisor changed firm
Catherine Vanessa Faddis left Grace Capital for Fernwood Investment Management, Llc (registered 2022-11-17)
Form ADVobserved 6 days ago
Occurred
Mar 24, 2021
Control person left
Marie Michelle Buckley (Partner) no longer on Schedule A of Grace Capital (listed 2020-10-20, absent 2021-03-24)
Form ADVobserved 6 days ago
Occurred
Sep 10, 2020
Control person joined
Marie Michelle Buckley (Partner) appeared on Schedule A of Grace Capital
Form ADVobserved 6 days ago
Occurred
Mar 11, 2020
Regulatory AUM changed
Grace Capital reported RAUM $149.0M, down 44% from $266.2M (2019-07-01 to 2020-03-11)
Form ADVobserved 6 days ago
$-117M
Occurred
Mar 11, 2020
Control person left
Liou Jane Li (Partner) no longer on Schedule A of Grace Capital (listed 2019-07-01, absent 2020-03-11)
Form ADVobserved 6 days ago
Occurred
Mar 11, 2020
Control person left
Douglas Shawn Mikol (Partner) no longer on Schedule A of Grace Capital (listed 2019-07-01, absent 2020-03-11)
Form ADVobserved 6 days ago
Occurred
Mar 18, 2019
Control person left
Brian David Faddis (Partner) no longer on Schedule A of Grace Capital (listed 2018-09-27, absent 2019-03-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79da3715-a08e-0e94-d4c7-d037311e5fd3
First observed: Feb 21, 2012
Last observed: Mar 29, 2022 54 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.

GRACE CAPITAL

CRD 139771

QUINCY, MA

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:79da3715-a08e-0e94-d4c7-d037311e5fd3

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ARA INVESTMENT GROUP

Other Private Fund

$7.3M

Feb 21, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FADDIS, CATHERINE, VANESSA

President

yes

02/2006

Feb 21, 2012

Mar 29, 2022

Nasir, Sami, Uddin

Partner

01/2018

Mar 30, 2018

Mar 29, 2022

RAJOTTE, COLLETTE, BERNADETTE

CHIEF COMPLIANCE OFFICER

09/2018

Sep 27, 2018

Mar 29, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 29, 2022

$203M

$43.0M

n/a

2020

Mar 24, 2021

$195M

$30.4M

n/a

2019

Mar 11, 2020

$149M

$28.7M

n/a

2018

Mar 18, 2019

$266M

$170M

n/a

2017

Feb 8, 2018

$325M

n/a

2016

Mar 13, 2017

$297M

n/a

2015

Mar 8, 2016

$287M

n/a

2014

Feb 23, 2015

$457M

n/a

2013

Mar 18, 2014

$312M

n/a

2012

Mar 18, 2013

$83.1M

n/a

2011

Feb 21, 2012

$72.3M

n/a

$7.3M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$203M

$195M

3.9%

$266M

-8.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MASON CAPITAL PARTNERS

Jan 25, 2016

Sep 6, 2012

BOSTON, MA

Team lift out

Other

50.0%