DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Grace Capital Management, LLC
Latest filing Mar 27, 2026
First filing on the tape Jan 4, 2012 · 17 filings
SEC status approved since Aug 17, 2017
RAUM
$109M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
67%
$73.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.3M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$109M as of Mar 27, 2026
Mar 13, 2018$120M then
HNW client RAUM$47.3M as of Mar 27, 2026
Mar 13, 2018$96.0M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 13, 20184 then
Employees (5.A)5 as of Mar 27, 2026
Mar 13, 20186 then
Private funds: no history
RAUM -24% over the last fiscal year-3.3% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $54.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $402,449derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -64%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $73.8MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$47.3M44%
- Pension and profit-sharing plans$34.9M32%
- Individuals$25.8M24%
- Charitable organizations$631,0420.6%
- Corporations and businesses$98,6120.1%
- Individual clients
- 54reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 270reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| George Roger Duff | Austin, Tx | Apr 30, 2009 | 30 y | 5 |
| Lauren FischerCertified Financial Planner | Lakeway, Tx | Aug 18, 2022 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Ben Meadows to U.S. Capital Wealth Advisors, LLCMar 17, 2025 · RIA to affiliated broker-dealer or bank
- David Fischer to Financial Gravity Family Office Services, LLCMar 17, 2025 · RIA to RIA
- Timothy J Rigsby to Global Assets Advisory, LLCOct 1, 2020 · RIA to RIA
- David James Lloyd to Global Assets Advisory, LLCOct 1, 2020 · RIA to RIA
- Benjamin John Zamojski to Global Assets Advisory, LLCOct 1, 2020 · RIA to RIA
Joined, latest
- David Fischer from Equitable Advisors, LLCDec 20, 2019 · Affiliated broker-dealer or bank to independent RIA
- Timothy J Rigsby from Triad Advisors, LLCMar 27, 2017 · Other
- David James Lloyd from Triad Advisors, LLCMar 27, 2017 · Other
- George Roger Duff from Duff & Boynton, LLCApr 30, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Global Assets Advisory, LLCOct 1, 2020 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Roger George Duff · Member And Chief Compliance Officercontrolsince 03/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $142,485,476 to $108,661,199, advisors 2 to 1, private clients 215 to 77, offices 0 to 0 (2025-03-31 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 477.0 to 270.0 (-43.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was +5.0% (3688 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 3.5% percentile
- client count collapseChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 215.0 to 77.0 (-64.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was +3.0% (3310 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 0.6% percentile
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 68.0% to 44.0% between the annual amendments of 2025-03-31 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 477 to 270Mar 31, 2025 to Mar 27, 2026
- BD registered reps · 3 to 2Mar 31, 2025 to Mar 27, 2026
- HNW clients · 118 to 23Mar 31, 2025 to Mar 27, 2026
- Individual clients · 97 to 54Mar 31, 2025 to Mar 27, 2026
- Employees · 7 to 5Mar 31, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 1Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $111M to $73.8MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $96.6M to $47.3MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $14.1M to $25.8MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $31.1M to $34.9MMar 31, 2025 to Mar 27, 2026
- Pension RAUM · $31.1M to $34.9MMar 31, 2025 to Mar 27, 2026
- RAUM · $142M to $109MMar 31, 2025 to Mar 27, 2026
- RAUM · $140M to $142MMar 28, 2024 to Mar 31, 2025
- Accounts · 531 to 477Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Mar 28, 2024 to Mar 31, 2025
- BD registered reps · 4 to 3Mar 28, 2024 to Mar 31, 2025
- HNW clients · 120 to 118Mar 28, 2024 to Mar 31, 2025
- Individual clients · 151 to 97Mar 28, 2024 to Mar 31, 2025
- Employees · 6 to 7Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 2Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $109M to $111MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $95.6M to $96.6MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $13.2M to $14.1MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $30.5M to $31.1MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $30.5M to $31.1MMar 28, 2024 to Mar 31, 2025
- Accounts · 507 to 531Sep 11, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Sep 11, 2023 to Mar 28, 2024
- BD registered reps · 3 to 4Sep 11, 2023 to Mar 28, 2024
- HNW clients · 80 to 120Sep 11, 2023 to Mar 28, 2024
- Individual clients · 200 to 151Sep 11, 2023 to Mar 28, 2024
- Employees · 4 to 6Sep 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $94.6M to $109MSep 11, 2023 to Mar 28, 2024
- HNW RAUM · $87.1M to $95.6MSep 11, 2023 to Mar 28, 2024
- Individual RAUM · $7.0M to $13.2MSep 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $25.7M to $30.5MSep 11, 2023 to Mar 28, 2024
- Pension RAUM · $25.7M to $30.5MSep 11, 2023 to Mar 28, 2024
- RAUM · $120M to $140MSep 11, 2023 to Mar 28, 2024
- Accounts · 512 to 507Mar 31, 2022 to Apr 5, 2023
- Advisory employees · 3 to 4Mar 31, 2022 to Apr 5, 2023
Signals
3 dated events
- Ben Meadows left Grace Capital Management, Llc for U.S. Capital Wealth Advisors, Llc (registered 2024-10-03)Mar 17, 2025 · Advisor changed firm · fact
- David Fischer left Grace Capital Management, Llc for Financial Gravity Family Office Services, Llc (registered 2025-02-28)Mar 17, 2025 · Advisor changed firm · fact
- Grace Capital Management, Llc filed its initial SEC registration (Form ADV)Jul 18, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 512-293-7731reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-485-1800reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- GRACE-CAP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-485-1800reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $54.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026