# GRIES FINANCIAL LLC

GRIES FINANCIAL LLC of CLEVELAND, OH is an SEC-registered investment adviser.

## Registration

- CRD: 110031
- Type: SEC-registered investment adviser
- SEC file number: 801-56552
- Location: 1300 EAST NINTH STREET, SUITE 1900, CLEVELAND, OH, 44114
- Phone: 833-309-9900
- Latest filing: 2025-08-14
- Regulatory AUM: $1.3B
- Discretionary AUM: $1.3B
- Clients: 30
- Accounts: 1,658

## Business model

- Compensation: % of AUM, Hourly, Fixed, Performance, Other
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other

## Officers, owners & control persons (23)

| Name | Role | Location |
| --- | --- | --- |
| Kenneth Ross Brodkowitz | CHIEF INVESTMENT OFFICER | — |
| Robert Joseph Herman | MANAGING PRINCIPAL | — |
| Jeffrey Hamilton Palmer | EXECUTIVE DIRECTOR, INTEGRATION STRATEGIES | — |
| Brian Joseph Durkin | CHIEF COMPLIANCE OFFICER | — |
| Hemal Jayant Gala | VICE PRESIDENT OPERATIONS | — |
| Carina Shipotofsky Diamond | CHIEF EXECUTIVE OFFICER | — |
| HERMAN ROBERT JOSEPH | CEO; MANAGING PRINCIPAL; SENIOR MANAGING DIRECTOR (+1 more) | — |
| SWENDIMAN MATTHEW ASHLEY | CHIEF COMPLIANCE OFFICER | — |
| BELL NED JOSEPH | CHAIRMAN; MANAGING PARTNER; PRESIDENT (+1 more) | — |
| GRIES SARAH LOUISE | CHAIRPERSON,  CEO & MANAGER; CHAIRPERSON, PRESIDENT, CEO & MANAGER; FOUNDER (+1 more) | — |
| GRIES ROBERT DAUBY | MANAGER | — |
| WAGER MICHAEL KEITH | MANAGER | — |
| PALMER JEFFREY HAMILTON | CHIEF COMPLIANCE OFFICER; EXECUTIVE DIRECTOR, INTEGRATION STRATEGIES; MANAGING PARTNER (+3 more) | — |
| LEGGETT ROBERT MICHAEL | CHIEF INVESTMENT OFFICER | — |
| TURBEN JOHN FRANKLIN | SHAREHOLDER | — |
| RICE STEWART LADON | EXECUTIVE VICE PRESIDENT | — |
| BRODKOWITZ KENNETH ROSS | CHIEF INVESTMENT OFFICER; CIO | — |
| DURKIN BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| DIAMOND CARINA SHIPOTOFSKY | CHIEF GROWTH OFFICER / CHIEF EXECUTIVE OFFICER | — |
| FINE LAUREN RICH | PARTNER; SENIOR MANAGING DIRECTOR | — |
| PALUGI CANDY JOHNSON | CHIEF COMPLIANCE OFFICER | — |
| GALA HEMAL JAYANT | VICE PRESIDENT OPERATIONS | — |
| CASTER WILLIAM GEORGE | PRESIDENT | — |


## Private funds (7)

Mix: Private Equity Fund 1 · Real Estate Fund 6

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| ALTALPHA VINTAGE, L.P. | Private Equity Fund | Delaware | 50 | $12.3M | $100K |
| FIELDSTONE - SAGE MILL | Real Estate Fund | Ohio | 29 | $2.0M | $50K |
| FIELDSTONE GEM VI INVESTORS | Real Estate Fund | Ohio | 27 | $1.2M | $50K |
| FIELDSTONE GEM V INVESTORS | Real Estate Fund | Ohio | 27 | $987K | $50K |
| FIELDSTONE PHOENIX '07 FUND | Real Estate Fund | Ohio | 31 | $469K | $50K |
| FIELDSTONE PHOENIX 2010 FUND | Real Estate Fund | Ohio | 23 | $50K | $50K |
| FIELDSTONE PHOENIX 2011 FUND | Real Estate Fund | Ohio | 24 | $41K | $50K |


## Branch offices (18)

_Showing 15 of 18 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| CINCINNATI | OH | 3 | (513) 861-2000 |
| CINCINNATI | OH | 3 | (513) 861-2000 |
| — | — | 1 | 313-879-1033 |
| — | — | 1 | 833-309-9900 |
| — | — | 1 | 833-309-9900 |
| — | — | 1 | 833-309-9900 |
| — | — | 1 | 833-309-9900 |
| CENTERVILLE | OH | 1 | 937-299-9111 |
| — | — | 1 | 513-637-4660 |
| — | — | 1 | 615-813-7771 |
| — | — | 1 | 313-879-1033 |
| — | — | 1 | 833-309-9900 |
| — | — | 1 | 833-309-9900 |
| — | — | 1 | 833-309-9900 |
| — | — | 1 | 833-309-9900 |


## Fund service providers (1)

- administrator: SEI GLOBAL SERVICES, INC.

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/110031/brochure
- Similar advisers: https://search.stillhousedata.com/firm/110031/similar
- Related entities: https://search.stillhousedata.com/firm/110031/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/110031

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.