{"url":"https://nivawealth.com/firms/granite-capital-management-141743","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/141743","regulatoryAum":314602057,"crd":"141743","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1852295","suffix":null,"lastName":"FUQUA","firstName":"JOSEPH","middleName":"BRIAN"},{"crd":"2479218","suffix":null,"lastName":"SPEES","firstName":"JOHN","middleName":"KENNELLY"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-31","regulatoryAum":238066622,"clients":87,"employees":2,"offices":1},{"filedOn":"2026-04-01","regulatoryAum":314602057,"clients":86,"employees":2,"offices":1}],"secFileNumber":"801-130793","legalName":"Granite Capital Management, LLC","displayName":"Granite Capital Management","slug":"granite-capital-management-141743","website":"https://granitecapitalllc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2000","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5707 Redwood RD., Suite 3","city":"Oakland","state":"CA","stateName":"California","country":"United States","postalCode":"94619"},"tradeNames":[],"registration":{"secApproved":"14 August 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4054043.986842105,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":314602057,"discretionary":312285017,"discretionaryAccounts":273,"nonDiscretionary":2317040,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":14,"regulatoryAum":4621610},{"label":"High-net-worth individuals","clients":62,"regulatoryAum":303485733},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":2317040},{"label":"Corporations and other businesses","clients":8,"regulatoryAum":4177674}],"feePrograms":[{"role":"main","program":"Advisory fee on assets under management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039665","versionId":1039665,"ratePeriod":"not_stated","fee_billing":"arrears","submittedOn":"2026-04-01","documentName":"GRANITE CAPITAL ADV PART A&B 2026","fee_rate_low":0.5,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:29:26.338745+00:00","documents":[{"name":"GRANITE CAPITAL ADV PART A&B 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039665","versionId":1039665,"submittedOn":"2026-04-01"},{"name":"GRANITE CAPITAL ADV PART A&B 2024 - SEC REGISTRATION","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=917770","versionId":917770,"submittedOn":"2026-04-01"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=969981","versionId":969981,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":102372290}],"custodyNote":"Granite Capital Management has custody of $45.5M in client assets for 11 clients.","leadership":[{"name":"Joseph Fuqua","title":"CCO","crd":"1852295"},{"name":"Joseph Fuqua","title":"Managing Member","crd":"1852295"},{"name":"John Spees","title":"Managing Member","crd":"2479218"}],"ownership":[{"label":"Joseph Fuqua","detail":"Managing member in the 25% to 50% ownership band and a control person, since May 2000. Also cco in the 50% to 75% ownership band and a control person, since May 2000."},{"label":"John Spees","detail":"Managing member in the 25% to 50% ownership band and a control person, since May 2000."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"5707 Redwood RD., Suite 3","city":"Oakland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"510-336-9120","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":19},{"label":"U.S. government/agency bonds","percent":20},{"label":"U.S. state and local bonds","percent":20},{"label":"Securities issued by registered investment companies or business development companies","percent":40},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"1 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/141743/PDF/141743.pdf","brochureDate":"1 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039665","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Granite Capital Management have?","answer":"Granite Capital Management has 86 clients and manages $315 million for them, as of April 2026. They include 62 high-net-worth individuals, 14 individual clients, and 8 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Granite Capital Management offer?","answer":"Granite Capital Management provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Granite Capital Management charge?","answer":"Granite Capital Management charges 0.50%–1.50% for its Advisory fee on assets under management. The brochure does not state whether the rate is annual. The fee is billed in arrears and is negotiable.","source":"GRANITE CAPITAL ADV PART A&B 2026, filed 1 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Granite Capital Management use?","answer":"Granite Capital Management’s separately managed account assets are held at Charles Schwab & Co. (San Francisco, CA), with $102M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Granite Capital Management have?","answer":"Granite Capital Management has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Granite Capital Management invest in?","answer":"At the end of its last fiscal year, Granite Capital Management’s separately managed accounts held 40% registered funds (mutual funds, ETFs, BDCs), 20% U.S. government and agency bonds, 20% state and local bonds, 19% exchange-traded equities and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Granite Capital Management?","answer":"Granite Capital Management’s direct owners are Joseph Fuqua and John Spees, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Granite Capital Management get paid?","answer":"Granite Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Granite Capital Management registered with the SEC?","answer":"Yes, Granite Capital Management has been registered with the SEC as an investment adviser since 14 August 2024. Its CRD number is 141743 and its SEC file number is 801-130793.","source":"Form ADV Part 1A, Item 1, filed 1 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Granite Capital Management?","answer":"Granite Capital Management’s main office is at 5707 Redwood RD., Suite 3, Oakland, CA 94619. Its phone number is 510-336-9120. Its website is granitecapitalllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}