George R. Duff

GRACE CAPITAL MANAGEMENT

Austin, TX 78759

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CRD#: 2768560

Professional summary

George Roger Duff, who also goes by Jorge Rodrigo Coll, George Roger Duff, George Duff, is a registered financial advisor currently at GRACE CAPITAL MANAGEMENT, LLC located in Austin, Texas and DAI SECURITIES, LLC located in Austin, Texas.

George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. George has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jorge Rodrigo Coll | George Roger Duff | George Duff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1-APPOINTMENT WITH MULTIPLE CARRIERS; NON-INVESTMENT RELATED; VARIOUS; INSURANCE; AGENT ; VARIOUS; 2 HRS/MONTH; NONE/DAY; COMPENSATION-COMMISSIONS; SELL LIFE INSURANCE. 2-DUFF HOLDINGS; NON-INVESTMENT RELATED;10814 Laurel Creek Dr,Austin,TX 78726; REAL ESTATE HOLDINGS; SOLE MEMBER; 8/20/2010; 4 HRS/MONTH; NON/DAY; COMPENSATION-REAL ESTATE INCOME; COLLECT AND DEPOSIT CHECKS; BOOK KEEP RESULTS. 3-UNIVERSITY OF TEXAS SCHOLARSHIP FINANCE COMMITTEES; NON-INVESTMENT RELATED; UT-AUSTIN; VOLUNTEER; YEARS AGO; 3 HRS/MONTH; NONE/DAY; NO COMPENSATION; READ APPLICATIONS. ATTEND MEETINGS. 4)Grace Capital Management;investment related;11651 Jollyville Road,#300;investment advisory services;owner;3/2009;40 hrs/week;6.5 hrs during trading;provide investment advice 5)Grace All-Weather Fund;investment related;11651 Jollyville Rd,#300,Austin,TX 78759;investment strategy;partner;11/19/2018;1 hr/month;utilize a four signal strategy to manage risk exposure in a portfolio,trade portfolio once per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Roger Duff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 30, 2009 - Present

GRACE CAPITAL MANAGEMENT, LLC

Office #1: 11651 Jollyville Road Suite 300, Austin, TX 78759

RIA

CRD#: 150054

Austin, TX

Current

January 3, 2023 - Present

DAI SECURITIES, LLC

Office #1: 11651 Jollyville Road Suite 300, Austin, TX 78759

CRD#: 36673

Austin, TX

Past

April 30, 2009 - December 31, 2009

GRACE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 150054

AUSTIN, TX

Past

July 12, 2007 - December 16, 2009

DUFF & BOYNTON, LLC

RIA

CRD#: 144415

AUSTIN, TX

Past

June 29, 2007 - July 16, 2007

TRIAD ADVISORS LLC

RIA

CRD#: 25803

AUSTIN, TX

Past

June 29, 2007 - January 11, 2023

TRIAD ADVISORS LLC

CRD#: 25803

AUSTIN, TX

Past

July 13, 2005 - July 2, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

AUSTIN, TX

Past

May 4, 2004 - July 2, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

AUSTIN, TX

Past

October 9, 2002 - May 10, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

AUSTIN, TX

Past

August 19, 1996 - May 10, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GRACE CAPITAL MANAGEMENT, LLC

CRD#: 150054 / SEC#: 801-111020

RIA

Registered Investment Advisory firm - (8/17/2017 Approved)

Texas

Registered Investment Advisory firm - (9/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/3/2023)

Colorado
(11/21/2023)

Florida
(1/3/2023)

Idaho
(1/3/2023)

Illinois
(1/17/2023)

Indiana
(1/3/2023)

Louisiana
(8/11/2023)

Maryland
(1/3/2023)

Massachusetts
(1/25/2023)

Michigan
(1/3/2023)

New York
(1/3/2023)

North Carolina
(3/13/2023)

Ohio
(1/3/2023)

Pennsylvania
(1/3/2023)

IAR

Texas
(4/30/2009)

Texas
(2/22/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/13/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/16/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GRACE CAPITAL MANAGEMENT, LLC

CRD#: 150054 / SEC#: 801-111020

RIA

Registered Investment Advisory firm - (8/17/2017 Approved)

Texas

Registered Investment Advisory firm - (9/11/2017 Terminated)

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Contact information

Main Address

11651 Jollyville Road Suite 300, Austin, TX 78759

Mailing Address

Phone number

(512) 485-1800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GCM 2025 ANNUAL AMENDED ADV PART 2A: FIRM BROCHURE (3/31/2025)

GCM 2025 ANNUAL AMENDED WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	477
AUM (Assets Under Management)	$ 142,485,476

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

George R. Duff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Roger Duff's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

GRACE CAPITAL MANAGEMENT, LLC

DUFF & BOYNTON, LLC

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

GRACE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2005

Series 63

Date: 8/23/1996

SIE

Date: 10/1/2018

Series 31

Date: 1/13/2005

Series 7

Date: 8/16/1996

FINRA

Current Firm

GRACE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRACE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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