Gracian Capital LLC (San Diego)


Gracian Capital LLC is a large advisory firm based in San Diego. It manages $116.62 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of California.

Gracian Capital provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and consulting. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Gracian Capital: assets under management

The assets under management (AUM) of Gracian Capital LLC is $116.62 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -54% since the beginning of its operation, and $1.37 million of the total AUM is attributable to clients outside of the United States.

The firm manages $116.62 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $23.32 million each.
Gracian Capital has custody of $50.39 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in cash and cash equivalents the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gracian Capital LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gracian Capital serves?

The only and largest group of clients of Gracian Capital is pooled investment vehicles with 4 clients and $50.39 million of assets under management. Among the 5 most similar advisory firms, Gracian Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $50.39 million for 4 clients. 33% of the firm’s clients are foreign persons or businesses.

Gracian Capital also advises several private funds. Namely, four hedge funds. The minimum investment commitment required of non-related persons ranges from $1,000,000 to $10,000,000.

Careers at Gracian Capital LLC

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Matthew Robert Kliber Managing member 1 Nov 2011 75% - 100% 2707487
Katherine Rose Lock Member 1 Jun 2012 Other 6124511
Ahmad Surosh Rashidi Member 1 Jun 2012 Other 6124515
Katherine R Lock Principal 1 Jun 2012 Other 6124511
Ahmad S Rashidi Chief compliance officer 1 Jun 2012 Other 6124515
Thomas Louis Heidecker Chief compliance officer 1 Mar 2017 Other 6424223
Zachary Austin Shannon Member 1 Jul 2017 Other 6932884

Based in San Diego

The principal office where Gracian Capital LLC performs its advisory services is located at 11512 El Camino Real, San Diego, CA 92130, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 858-832-1977 or by fax 858-724-1861. The normal business hours are 5:00am - 3:00pm pt on Monday - Friday.