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GRAGG FINANCIAL
Legal name: GRAGG & GRAGG, L.L.P.
CRD 110592File 801-119435
APPROVED
Retail clients
Custody
Filing as of Feb 13, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$215.4M
Below cohort median (national)
Discretionary AUM
$215.4M
Clients
327
475 accounts
Employees
12
Below cohort median in NC
Identity & registration
ADV Item 1- Organization form
- Limited Liability Partnership
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Oct 7, 2020
- Principal office
- NINE EAST MARION STREET, SHELBY, NC, 28150
- Phone
- 704-482-2001
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $215.4M
- Discretionary AUM
- $215.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 475
- Non-discretionary accounts
- 0
- Total accounts
- 475
- AUM per client
- $659K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 1 | $1.2M |
| Charitable organizations | 6 | $32.0M |
| High net worth individuals | 55 | $108.7M |
| Pension and profit sharing plans | 10 | $24.4M |
| Individuals (other than high net worth individuals) | 255 | $49.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 225 | 327 | increased by102 |
| Mar 1, 2026 | AUM | $205,209,381 | $215,357,909 | increased by$10,148,528 |
| Mar 1, 2026 | Accounts | 452 | 475 | increased by23 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 9 | 12 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 247 | 225 | decreased by22 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $173,665,253 | $205,209,381 | increased by$31,544,128 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 428 | 452 | increased by24 |
| Apr 1, 2022 | Employees | 8 | 9 | increased by1 |
| Apr 1, 2022 | Clients | 254 | 247 | decreased by7 |
| Apr 1, 2022 | AUM | $160,721,210 | $173,665,253 | increased by$12,944,043 |
| Apr 1, 2022 | Accounts | 421 | 428 | increased by7 |
| Oct 1, 2021 | Clients | 169 | 254 | increased by85 |
| Oct 1, 2021 | AUM | $140,254,507 | $160,721,210 | increased by$20,466,703 |
| Oct 1, 2021 | Accounts | 171 | 421 | increased by250 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “GRAGG FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GRAGG FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.