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David Grumhaus

Director, President and Chief Investment Officer at Duff & Phelps Investment Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

1
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

David Grumhaus is Director, President and Chief Investment Officer of Duff & Phelps Investment Management Co., a Chicago investment adviser managing $12.7B. David Grumhaus has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 66, SIE and Series 24.

Role at Duff & Phelps Investment Management

Title on Schedule A
Director, President and Chief Investment Officer
Control
David Grumhaus is a control person of Duff & Phelps Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Grumhaus has held the filed role since January 2021.

The firm

Duff & Phelps Investment Management Co.
Chicago, IL

Form ADV filed 17 April 2026

$12.7B AUM44 clients26 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed Series 24 · 2020
  2. Passed SIE · 2018
  3. Duff & Phelps Investment Management Co.
    – · 10 years
    Chicago, IL · Adviser representative · Firm CRD 107296
  4. Passed Series 7 and Series 66 · 2015

Registrations and exams

Broker registration; no current adviser registration. David Grumhaus has passed 4 qualifying exams.

Examinations

Series 6623 October 2015
Name
Uniform Combined State Law Examination
Series 2410 November 2020
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 77 July 2015
Name
General Securities Representative Examination

Individual record

Full name
David Dean Grumhaus
CRD
2544692
Firm
Duff & Phelps Investment Management Co.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Grumhaus work?

David Grumhaus has been Director, President and Chief Investment Officer of Duff & Phelps Investment Management Co. since January 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 17 April 2026

Does David Grumhaus have a current investment-adviser registration?

David Grumhaus has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has David Grumhaus passed?

David Grumhaus has passed 4 licensing exams: the Series 7, Series 66, SIE and Series 24. The earliest, the Series 7, was passed in July 2015.

Source: IAPD individual record, checked 17 October 2026

Where was David Grumhaus previously registered as an investment adviser?

David Grumhaus has past investment-adviser registrations through Duff & Phelps Investment Management Co., October 2015 to December 2025, across 1 firm.

Source: IAPD individual record, checked 17 October 2026

Leadership at Duff & Phelps Investment Management

  • Michael Angerthal
    Director, Executive Vice President and Treasurer
  • Kathleen Hegyi
    Chief Compliance Officer
  • George Aylward
    Director and Chairman
  • Geoffrey Dybas
    Executive Managing Director
  • Phillip Enochs
    Executive Managing Director
  • Daniel Petrisko
    Executive Managing Director
  • Andra Purkalitis
    Chief Legal Officer & Director
  • Steven Wittwer
    Executive Managing Director

Sources

  1. IAPD individual record, CRD 2544692. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Duff & Phelps Investment Management Co., filed 17 April 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Grumhaus or Duff & Phelps Investment Management Co. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.