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Chief Compliance Officer · Gabelli Funds, LLC

Richard J. Walz

CRD 1392836 · Named on Form ADV at one SEC-registered adviser

At a glance

Gabelli Funds, LLC, an SEC-registered asset manager based in RYE, NY with $24.6 billion in regulatory assets, lists Richard J. Walz on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

  • Gabelli Funds, LLCChief Compliance OfficerAsset manager · RYE, NY · $25B in regulatory assets

AtlasMembers

Richard’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Richard’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.