GRIES FINANCIAL LLC — 13F Holdings & Portfolio
CIK 1049662 · latest 13F-HR filed 2025-10-22
GRIES FINANCIAL LLC manages $632.7M in 13F-reported U.S. long-equity assets across 323 reported positions as of its 2025-09-30 13F-HR filing. Its largest disclosed positions are IVV (12.28%), DYNF (5.40%), GAUG (4.64%). Quarter over quarter (versus its 2025-06-30 filing) the fund opened 46 new positions and exited 18; 158 existing positions rose in reported value and 48 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$632.7M
Long-equity book
Holdings
323
Distinct positions
Period
2025-09-30
Filed 2025-10-22
Q/Q Activity
+46 / −18 / ↑158 / ↓48
vs 2025-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 25IVV12.3% · +0%DYNF5.4% · +26%GAUG4.6% · newQUAL4.4% · +2%BINC3.5% · +10%SPY2.6% · +10%TBIL1.9% · -12%MSFT1.9% · +4%JEPQ1.9% · +177%IYW1.8% · -4%AAPL1.3% · +6%MINT1.2% · +457%NVDA1.2% · +2%JEPI1.2% · +66%TLH1.0% · +8%VOO1.0% · -3%MDY1.0% · -0%IWM0.9% · +0%AMZN0.9% · +2%VTI0.8% · -0%QQQ0.8% · +11%IJH0.8% · -0%RSP0.7% · +21%BAI0.7% · newIBIT0.7% · +10%ABBV0.6% · +1%PG0.6% · +4%VWOB0.6% · -3%ETN0.6% · +2%CSX0.6% · +1%LHX0.6% · +1%JNJ0.6% · +1%GOOGL0.6% · +10%ITW0.5% · -3%GNOV0.5% · -87%BCSF0.5% · +8%CSCO0.5% · +15%FDX0.5% · +3%AVGO0.4% · +6%IWF0.4% · -0%NOC0.4% · +2%HSY0.4% · +8%ORCL0.4% · +5%JPM0.4% · +26%BAC0.4% · +4%PNC0.4% · +0%IQLT0.4% · +1%BDX0.4% · +76%DGRO0.4% · 0%EFA0.4% · +1%NKE0.4% · +8%CMCSA0.4% · -3%PH0.4% · +18%CGBD0.4% · -5%CGDV0.4% · +2%BMY0.4% · +2%IWD0.4% · +0%VZ0.4% · +1%GOOG0.4% · +37%BNY0.3% · +12%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 25 → Q3 25Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
2 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 40.3%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Aug 14, 2025.
Assets Under Management
$1.35B
Discretionary
$1.35B
Employees
30
Accounts
1,658
Address
1300 EAST NINTH STREET
SUITE 1900
CLEVELAND, OH 44114
SUITE 1900
CLEVELAND, OH 44114
Phone
(833) 309-9900
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BRODKOWITZ, KENNETH, ROSS Control | CHIEF INVESTMENT OFFICER since Mar 2017 | Less than 5% | Individual |
| DIAMOND, CARINA, SHIPOTOFSKY Control | CHIEF EXECUTIVE OFFICER since Sep 2024 | Less than 5% | Individual |
| DURKIN, BRIAN, JOSEPH Control | CHIEF COMPLIANCE OFFICER since May 2024 | Less than 5% | Individual |
| HERMAN, ROBERT, JOSEPH Control | MANAGING PRINCIPAL since May 2022 | Less than 5% | Individual |
| T4G FINANCIAL SERVICES LLC Control | MEMBER since Jan 2023 | 75% or more | Domestic Entity |
| GALA, HEMAL, JAYANT | VICE PRESIDENT OPERATIONS since Nov 2022 | Less than 5% | Individual |
| DELTA DENTAL PLAN OF MICHIGAN INC Control Indirect owner via THE 4100 GROUP, INC. | MEMBER since Jun 2020 | 75% or more | Domestic Entity |
| DELTA DENTAL PLAN OF OHIO INC Control Indirect owner via THE 4100 GROUP, INC. | MEMBER since Jun 2020 | 25–50% | Domestic Entity |
| RENAISSANCE HEALTH SERVICE CORPORATION Control Indirect owner via DELTA DENTAL PLAN OF MICHIGAN INC | MEMBER since Mar 2013 | General partner, trustee or manager | Domestic Entity |
| T4G MANAGEMENT LLC Control Indirect owner via T4G FINANCIAL SERVICES LLC | MEMBER since Jan 2023 | 75% or more | Domestic Entity |
| THE 4100 GROUP, INC. Control Indirect owner via T4G MANAGEMENT LLC | MEMBER since Jan 2023 | 75% or more | Domestic Entity |
Ownership & leadership changes · 12 filings with changes since Mar 29, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Jul 28, 2025 filing
- No longer listedPALMER, JEFFREY, HAMILTON · EXECUTIVE DIRECTOR, INTEGRATION STRATEGIES · Less than 5% · control person · listed since Oct 2023
Mar 28, 2025 filing
- No longer listedBELL, EDWARD, JOSEPH · CHAIRMAN · Less than 5% · control person · listed since May 2022
- No longer listedFINE, LAUREN, RICH · SENIOR MANAGING DIRECTOR · Less than 5% · control person · listed since May 2022
- ChangedDIAMOND, CARINA, SHIPOTOFSKY · title CHIEF GROWTH OFFICER / CHIEF EXECUTIVE OFFICER → CHIEF EXECUTIVE OFFICER
Dec 2, 2024 filing
- No longer listedCASTER, WILLIAM, GEORGE · PRESIDENT · Less than 5% · control person · listed since Oct 2023
- No longer listedT4G MANAGEMENT INC · MEMBER · 75% or more · indirect via T4G FINANCIAL SERVICES LLC · control person · listed since Jan 2023
- No longer listedTHE 4100 GROUP INC · MEMBER · 75% or more · indirect via T4G MANAGEMENT INC · control person · listed since Jan 2023
- AddedDIAMOND, CARINA, SHIPOTOFSKY · CHIEF GROWTH OFFICER / CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- AddedT4G MANAGEMENT LLC · MEMBER · 75% or more · indirect via T4G FINANCIAL SERVICES LLC · control person
- AddedTHE 4100 GROUP, INC. · MEMBER · 75% or more · indirect via T4G MANAGEMENT LLC · control person
- ChangedBRODKOWITZ, KENNETH, ROSS · title CIO → CHIEF INVESTMENT OFFICER
- ChangedHERMAN, ROBERT, JOSEPH · title CEO → MANAGING PRINCIPAL
May 10, 2024 filing
- No longer listedPALUGI, CANDY, JOHNSON · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Mar 2023
- AddedDURKIN, BRIAN, JOSEPH · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Mar 7, 2024 filing
- AddedCASTER, WILLIAM, GEORGE · PRESIDENT · Less than 5% · control person
- ChangedPALMER, JEFFREY, HAMILTON · title PRESIDENT → EXECUTIVE DIRECTOR, INTEGRATION STRATEGIES
Mar 31, 2023 filing
- No longer listedSWENDIMAN, MATTHEW, ASHLEY · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Aug 2020
- AddedGALA, HEMAL, JAYANT · VICE PRESIDENT OPERATIONS · Less than 5%
- AddedPALUGI, CANDY, JOHNSON · CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedBELL, EDWARD, JOSEPH · title PRESIDENT → CHAIRMAN
- ChangedFINE, LAUREN, RICH · title PARTNER → SENIOR MANAGING DIRECTOR
- ChangedHERMAN, ROBERT, JOSEPH · title SENIOR PARTNER → CEO
- ChangedPALMER, JEFFREY, HAMILTON · title MANAGING PARTNER → PRESIDENT
Jan 30, 2023 filing
- No longer listedTHE 4100 GROUP INC · MEMBER · 75% or more · control person · listed since Jun 2020
- AddedT4G FINANCIAL SERVICES LLC · MEMBER · 75% or more · control person
- AddedT4G MANAGEMENT INC · MEMBER · 75% or more · indirect via T4G FINANCIAL SERVICES LLC · control person
- AddedTHE 4100 GROUP INC · MEMBER · 75% or more · indirect via T4G MANAGEMENT INC · control person
Sep 18, 2020 filing
- AddedDELTA DENTAL PLAN OF MICHIGAN INC · MEMBER · 75% or more · indirect via THE 4100 GROUP, INC. · control person
- AddedDELTA DENTAL PLAN OF OHIO INC · MEMBER · 25–50% · indirect via THE 4100 GROUP, INC. · control person
- AddedRENAISSANCE HEALTH SERVICE CORPORATION · MEMBER · General partner, trustee or manager · indirect via DELTA DENTAL PLAN OF MICHIGAN INC · control person
- AddedSWENDIMAN, MATTHEW, ASHLEY · CHIEF COMPLIANCE OFFICER · Less than 5%
- AddedTHE 4100 GROUP INC · MEMBER · 75% or more · control person
- ChangedBELL, EDWARD, JOSEPH · ownership 25–50% → Less than 5%
- ChangedBRODKOWITZ, KENNETH, ROSS · ownership 5–10% → Less than 5%
- ChangedFINE, LAUREN, RICH · ownership 5–10% → Less than 5%
- ChangedHERMAN, ROBERT, JOSEPH · ownership 25–50% → Less than 5%
- ChangedPALMER, JEFFREY, HAMILTON · title MANAGING PARTNER CHIEF COMPLIANCE OFFICER → MANAGING PARTNER; ownership 25–50% → Less than 5%
Mar 29, 2019 filing
- No longer listedGRIES, SARAH, LOUISE · FOUNDER · Less than 5% · control person · listed since Mar 2017
- ChangedBELL, EDWARD, JOSEPH · title MANAGING PARTNER → PRESIDENT
Jun 29, 2017 filing
- No longer listedGRIES, ROBERT, DAUBY · MANAGER · Less than 5% · control person · listed since Apr 1999
- No longer listedGRIES, SARAH, LOUISE · SHAREHOLDER · 75% or more · indirect via PROUDFOOT HOLDINGS, INC. · control person · listed since Apr 1999
- No longer listedPROUDFOOT HOLDINGS, INC. · MEMBER · 25–50% · control person · listed since Apr 1999
- No longer listedWAGER, MICHAEL, KEITH · MANAGER · Less than 5% · control person · listed since Apr 1999
- AddedBRODKOWITZ, KENNETH, ROSS · CIO · 5–10% · control person
- AddedFINE, LAUREN, RICH · PARTNER · 5–10% · control person
- ChangedBELL, EDWARD, JOSEPH · title PRESIDENT → MANAGING PARTNER
- ChangedGRIES, SARAH, LOUISE · title CHAIRPERSON, CEO & MANAGER → FOUNDER
- ChangedHERMAN, ROBERT, JOSEPH · title SENIOR MANAGING DIRECTOR → SENIOR PARTNER; ownership 10–25% → 25–50%
- ChangedPALMER, JEFFREY, HAMILTON · title CHIEF COMPLIANCE OFFICER → MANAGING PARTNER CHIEF COMPLIANCE OFFICER
Older changes (3 more filings)
Mar 3, 2014 filing
- ChangedHERMAN, ROBERT, JOSEPH · ownership 5–10% → 10–25%
Apr 22, 2013 filing
- AddedHERMAN, ROBERT, JOSEPH · SENIOR MANAGING DIRECTOR · 5–10% · control person
Mar 29, 2012 filing (earliest on record)
- ListedBELL, EDWARD, JOSEPH · PRESIDENT · 25–50% · control person
- ListedGRIES, ROBERT, DAUBY · MANAGER · Less than 5% · control person
- ListedGRIES, SARAH, LOUISE · CHAIRPERSON, CEO & MANAGER · Less than 5% · control person
- ListedGRIES, SARAH, LOUISE · SHAREHOLDER · 75% or more · indirect via PROUDFOOT HOLDINGS, INC. · control person
- ListedPALMER, JEFFREY, HAMILTON · CHIEF COMPLIANCE OFFICER · 25–50% · control person
- ListedPROUDFOOT HOLDINGS, INC. · MEMBER · 25–50% · control person
- ListedWAGER, MICHAEL, KEITH · MANAGER · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- BLACKROCK ETF TRUST$9.2M +36.7%
- J P MORGAN EXCHANGE TRADED F$7.7M +193.2%
- PIMCO ETF TR$6.4M +457.8%
- ISHARES TR$5.9M +8.2%
- J P MORGAN EXCHANGE TRADED F$3.0M +66.7%
Top Trims
- FIRST TR EXCHNG TRADED FD VI-$22.2M -86.7%
- FIRST TR EXCHNG TRADED FD VI-$3.0M -69.0%
- ISHARES TR-$2.7M -89.3%
- RBB FD INC-$1.6M -11.7%
- SEI INVTS CO-$1.0M -38.7%
New Positions
- FIRST TR EXCHNG TRADED FD VI$29.4M
- BLACKROCK ETF TRUST$4.4M
- ISHARES TR$1.8M
- PUBLIC STORAGE OPER CO$1.4M
- DOMINOS PIZZA INC$1.3M
Exited Positions
- FIRST TR EXCHNG TRADED FD VI$3.1M
- HASBRO INC$1.9M
- OGE ENERGY CORP$1.3M
- FLOWERS FOODS INC$988.3K
- ISHARES TR$899.0K
GRIES FINANCIAL LLC Holdings (2025-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | ISHARES TR | IVV | 464287200 | $77.7M | 12.28% | 116,116 | SH |
| 2 | BLACKROCK ETF TRUST | DYNF | 09290C103 | $34.1M | 5.40% | 576,684 | SH |
| 3 | FIRST TR EXCHNG TRADED FD VI | GAUG | 33740U653 | $29.4M | 4.64% | 760,258 | SH |
| 4 | ISHARES TR | QUAL | 46432F339 | $28.1M | 4.44% | 144,451 | SH |
| 5 | BLACKROCK ETF TRUST II | BINC | 092528603 | $22.2M | 3.50% | 416,114 | SH |
| 6 | SPDR S&P 500 ETF TR | SPY | 78462F103 | $16.3M | 2.57% | 24,457 | SH |
| 7 | RBB FD INC | TBIL | 74933W452 | $12.1M | 1.91% | 242,146 | SH |
| 8 | MICROSOFT CORP | MSFT | 594918104 | $11.9M | 1.88% | 22,993 | SH |
| 9 | J P MORGAN EXCHANGE TRADED F | JEPQ | 46654Q203 | $11.7M | 1.85% | 204,022 | SH |
| 10 | ISHARES TR | IYW | 464287721 | $11.5M | 1.82% | 58,664 | SH |
| 11 | APPLE INC | AAPL | 037833100 | $8.1M | 1.28% | 31,810 | SH |
| 12 | PIMCO ETF TR | MINT | 72201R833 | $7.8M | 1.23% | 77,580 | SH |
| 13 | NVIDIA CORPORATION | NVDA | 67066G104 | $7.7M | 1.21% | 41,003 | SH |
| 14 | J P MORGAN EXCHANGE TRADED F | JEPI | 46641Q332 | $7.6M | 1.20% | 132,475 | SH |
| 15 | ISHARES TR | TLH | 464288653 | $6.5M | 1.03% | 63,236 | SH |
| 16 | VANGUARD INDEX FDS | VOO | 922908363 | $6.2M | 0.98% | 10,155 | SH |
| 17 | SPDR S&P MIDCAP 400 ETF TR | MDY | 78467Y107 | $6.1M | 0.96% | 10,243 | SH |
| 18 | ISHARES TR | IWM | 464287655 | $5.7M | 0.90% | 23,437 | SH |
| 19 | AMAZON COM INC | AMZN | 023135106 | $5.5M | 0.87% | 25,038 | SH |
| 20 | VANGUARD INDEX FDS | VTI | 922908769 | $5.3M | 0.84% | 16,162 | SH |
| 21 | INVESCO QQQ TR | QQQ | 46090E103 | $5.1M | 0.81% | 8,491 | SH |
| 22 | ISHARES TR | IJH | 464287507 | $4.8M | 0.76% | 73,565 | SH |
| 23 | INVESCO EXCHANGE TRADED FD T | RSP | 46137V357 | $4.5M | 0.72% | 23,858 | SH |
| 24 | BLACKROCK ETF TRUST | BAI | 09290C780 | $4.4M | 0.70% | 129,075 | SH |
| 25 | ISHARES BITCOIN TRUST ETF | IBIT | 46438F101 | $4.2M | 0.66% | 64,503 | SH |
| 26 | ABBVIE INC | ABBV | 00287Y109 | $4.0M | 0.64% | 17,355 | SH |
| 27 | PROCTER AND GAMBLE CO | PG | 742718109 | $4.0M | 0.63% | 25,916 | SH |
| 28 | VANGUARD WHITEHALL FDS | VWOB | 921946885 | $3.9M | 0.62% | 58,462 | SH |
| 29 | EATON CORP PLC | ETN | G29183103 | $3.9M | 0.62% | 10,430 | SH |
| 30 | CSX CORP | CSX | 126408103 | $3.7M | 0.59% | 104,582 | SH |
| 31 | L3HARRIS TECHNOLOGIES INC | LHX | 502431109 | $3.7M | 0.58% | 12,029 | SH |
| 32 | JOHNSON & JOHNSON | JNJ | 478160104 | $3.6M | 0.58% | 19,653 | SH |
| 33 | ALPHABET INC | GOOGL | 02079K305 | $3.6M | 0.57% | 14,889 | SH |
| 34 | ILLINOIS TOOL WKS INC | ITW | 452308109 | $3.4M | 0.54% | 13,115 | SH |
| 35 | FIRST TR EXCHNG TRADED FD VI | GNOV | 33740U687 | $3.4M | 0.54% | 89,565 | SH |
| 36 | BAIN CAP SPECIALTY FIN INC | BCSF | 05684B107 | $3.2M | 0.50% | 224,040 | SH |
| 37 | CISCO SYS INC | CSCO | 17275R102 | $2.9M | 0.46% | 42,841 | SH |
| 38 | FEDEX CORP | FDX | 31428X106 | $2.9M | 0.46% | 12,224 | SH |
| 39 | BROADCOM INC | AVGO | 11135F101 | $2.8M | 0.44% | 8,411 | SH |
| 40 | ISHARES TR | IWF | 464287614 | $2.7M | 0.43% | 5,827 | SH |
| 41 | NORTHROP GRUMMAN CORP | NOC | 666807102 | $2.7M | 0.43% | 4,420 | SH |
| 42 | HERSHEY CO | HSY | 427866108 | $2.7M | 0.43% | 14,380 | SH |
| 43 | ORACLE CORP | ORCL | 68389X105 | $2.7M | 0.42% | 9,516 | SH |
| 44 | JPMORGAN CHASE & CO. | JPM | 46625H100 | $2.6M | 0.42% | 8,394 | SH |
| 45 | BANK AMERICA CORP | BAC | 060505104 | $2.6M | 0.42% | 51,283 | SH |
| 46 | PNC FINL SVCS GROUP INC | PNC | 693475105 | $2.6M | 0.41% | 13,048 | SH |
| 47 | ISHARES TR | IQLT | 46434V456 | $2.6M | 0.41% | 58,976 | SH |
| 48 | BECTON DICKINSON & CO | BDX | 075887109 | $2.5M | 0.40% | 13,484 | SH |
| 49 | ISHARES TR | DGRO | 46434V621 | $2.5M | 0.39% | 36,511 | SH |
| 50 | ISHARES TR | EFA | 464287465 | $2.5M | 0.39% | 26,498 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2025-09-30 | 2025-10-22 | $632.7M | 323 | 0001213900-25-101113 |
| 2025-06-30 | 2025-07-14 | $549.6M | 295 | 0001213900-25-063702 |