Career
Richard Gruber has been Chief Compliance Officer of Ifm Investors (US) Advisor since December 2021. Richard Gruber is not listed as a control person, but directly owns under 5% of the firm.
Ifm Investors (US) Advisor, LLC is a New York, NY firm with $44.2B under management, 14 clients and 66 advisers across 3 offices, as of its September 2026 filing.
No adviser firm registrations are on Richard Gruber’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 7 July 2022 |
| Series 3 | National Commodity Futures Examination | 4 October 2017 |
| Series 30 | NFA Branch Manager Examination | 22 June 2017 |
| Series 7 | General Securities Representative Examination | 14 November 2011 |
- Name
- Compliance Officer Examination
- Name
- National Commodity Futures Examination
- Name
- NFA Branch Manager Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Richard Edward Gruber
- CRD
- 5256033
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Richard Gruber work?
Richard Gruber has been Chief Compliance Officer of Ifm Investors (US) Advisor, LLC since December 2021.
Does Richard Gruber have a current investment-adviser registration?
Richard Gruber has a current broker registration and no current investment-adviser registration.
What exams has Richard Gruber passed?
Richard Gruber has passed 4 licensing exams: the Series 7, Series 30, Series 3 and Series 14. The earliest, the Series 7, was passed in November 2011.