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GRAY LION CAPITAL

· CRD 338776 · IAPD ↗ · graylioncapital.com · 480-284-0384

$7.0MRegulatory AUM
1Advisory reps
1Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
September 2026 — GRAY LION CAPITAL (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $7.0M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
April 2026 — GRAY LION CAPITAL now reports custody of client assets ($14.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
December 2025 — GRAY LION CAPITAL (location n/a) is newly SEC-registered (provisional 120-day approval) with $5.5M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.