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Kathleen Hegyi

Chief Compliance Officer at Duff & Phelps Investment Management

Investment adviser and broker registrationsChicago, ILSEC record checked 17 October 2026

31
Years in the industry
4
Years at the firm
4
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Kathleen Hegyi is Chief Compliance Officer of Duff & Phelps Investment Management Co., a Chicago investment adviser managing $12.7B. Kathleen Hegyi has been registered through Duff & Phelps Investment Management since 20 September 2022, has 31 years in the industry across 4 firms and has passed 6 licensing exams.

Role at Duff & Phelps Investment Management

Title on Schedule A
Chief Compliance Officer
Control
Kathleen Hegyi is a control person of Duff & Phelps Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Kathleen Hegyi has held the filed role since August 2022.

The firm

Duff & Phelps Investment Management Co.
Chicago, IL

Form ADV filed 17 April 2026

$12.7B AUM44 clients26 advisers3 offices

Career on record

Kathleen Hegyi has been registered through Duff & Phelps Investment Management since September 2022, and before that through William Blair & Company L.l.c. and Managers Investment Group LLC.

Firms and exams, newest first
  1. Duff & Phelps Investment Management Co.Current
    – present · 4 years
    Chicago, IL · Adviser representative · Firm CRD 107296
  2. Passed SIE · 2018
  3. Passed Series 3 · 2012
  4. William Blair & Company L.l.c.
    – · 12 years
    Chicago, IL · Adviser representative · Firm CRD 1252
  5. Managers Investment Group LLC
    – · under a year
    Stamford, CT · Adviser representative · Firm CRD 153456
  6. Managers Investment Group LLC
    – · 2 years
    Chicago, IL · Adviser representative · Firm CRD 27314
  7. Passed Series 24 · 2006
  8. Passed Series 65 · 1996
  9. Passed Series 7 and Series 63 · 1992

Registrations and exams

Kathleen Hegyi has a current investment-adviser registration in Illinois and has passed 6 qualifying exams.

Illinois20 September 2022
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6526 August 1996
Name
Uniform Investment Adviser Law Examination
Series 6330 June 1992
Name
Uniform Securities Agent State Law Examination
Series 249 February 2006
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 314 May 2012
Name
National Commodity Futures Examination
Series 729 June 1992
Name
General Securities Representative Examination

Individual record

Full name
Kathleen Louise Hegyi
CRD
2229746
Firm
Duff & Phelps Investment Management Co.
Registration status
Investment adviser and broker registrations
Office
10 S. WACKER DRIVE, 19TH FLOOR, Chicago, IL 60606

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 Kathleen Hegyi work?

Kathleen Hegyi has been Chief Compliance Officer of Duff & Phelps Investment Management Co. since August 2022, and is a control person of the firm.

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

Is Kathleen Hegyi a financial advisor?

Yes. Kathleen Hegyi has a current investment-adviser registration in Illinois, through Duff & Phelps Investment Management since September 2022, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Kathleen Hegyi have?

Kathleen Hegyi has worked in the financial industry for 31 years as of 17 October 2026, counted from 19 February 1995, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Kathleen Hegyi passed?

Kathleen Hegyi has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 3 and SIE. The earliest, the Series 7, was passed in June 1992.

Source: IAPD individual record, checked 17 October 2026

Where did Kathleen Hegyi work before Duff & Phelps Investment Management?

Before Duff & Phelps Investment Management, Kathleen Hegyi was registered through William Blair & Company L.l.c., August 2010 to September 2022; Managers Investment Group LLC, June 2010 to August 2010; Managers Investment Group LLC, March 2008 to June 2010.

Source: IAPD individual record, checked 17 October 2026

Where is Kathleen Hegyi based?

Kathleen Hegyi’s registered office is in Chicago, IL.

Source: IAPD individual record, checked 17 October 2026

Leadership at Duff & Phelps Investment Management

  • Michael Angerthal
    Director, Executive Vice President and Treasurer
  • David Grumhaus
    Director, President and Chief Investment 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 2229746. 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 Kathleen Hegyi 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.