George Roger Duff

Grace Capital Management, LLC

29 Years of Experience

2 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & CoachingHigh Net Worth

Grace Capital Management, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

2 advisors

Number of Clients

215 clients

Average Client Portfolio

$663K average

Assets Under Management

$142.5M

Fee Structure

Minimum Investment:$1M

Location

11651 Jollyville Road, Suite 300, Austin, TX, 78759

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

March 2022

Denied

Customer Dispute

April 2003

Closed-No Action

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

George is an insurance agent selling life insurance, dedicating minimal time to this activity. He also manages real estate holdings, volunteers for the University of Texas, provides investment advice through Grace Capital Management (full-time), and manages an investment strategy as a partner in Grace All-Weather Fund.

Employment History

Current Registrations

Dai Securities, LLCBroker

January 2023 - Present · 3 yrs 1 mo

Grace Capital Management, LLC

April 2009 - Present · 16 yrs 10 mos

Previous Registrations

Grace Capital Management, LLC

April 2009 - December 2009 · 8 mos

Duff & Boynton, LLC

July 2007 - December 2009 · 2 yrs 5 mos

Triad Advisors LLCBroker

June 2007 - January 2023 · 15 yrs 7 mos

Triad Advisors, INC.

June 2007 - July 2007 · 1 mo

Wachovia Securities Financial Network, LLC

July 2005 - July 2007 · 2 yrs

Wachovia Securities Financial Network, LLCBroker

May 2004 - July 2007 · 3 yrs 2 mos

A. G. Edwards & Sons, INC.

October 2002 - May 2004 · 1 yr 7 mos

A. G. Edwards & Sons, INC.Broker

August 1996 - May 2004 · 7 yrs 9 mos

State Registrations15 states

CACOFLIDILINLAMAMDMINCNYOHPATX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.