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Richard Walz

Chief Compliance Officer at Gabelli Funds

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

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Richard Walz is Chief Compliance Officer of Gabelli Funds, LLC, a Rye investment adviser managing $24.6B. Richard Walz has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Gabelli Funds

Title on Schedule A
Chief Compliance Officer
Control
Richard Walz is a control person of Gabelli Funds.
Ownership
An individual ownership band is not available in the source record.
Tenure
Richard Walz has held the filed role since March 2015.

The firm

Gabelli Funds, LLC
Rye, NY

Form ADV filed 14 July 2026

$24.6B AUM33 clients47 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed SIE and Series 99TO · 2023
  2. Passed Series 27 · 1995
  3. Passed Series 7 and Series 63 · 1985

Registrations and exams

Broker registration; no current adviser registration. Richard Walz has passed 5 qualifying exams.

Examinations

Series 6330 August 1985
Name
Uniform Securities Agent State Law Examination
Series 278 May 1995
Name
Financial and Operations Principal Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 720 July 1985
Name
General Securities Representative Examination

Individual record

Full name
Richard John Walz
CRD
1392836
Firm
Gabelli Funds, LLC
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 Richard Walz work?

Richard Walz has been Chief Compliance Officer of Gabelli Funds, LLC since March 2015, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 July 2026

Does Richard Walz have a current investment-adviser registration?

Richard Walz 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 Richard Walz passed?

Richard Walz has passed 5 licensing exams: the Series 7, Series 63, Series 27, SIE and Series 99TO. The earliest, the Series 7, was passed in July 1985.

Source: IAPD individual record, checked 17 October 2026

Leadership at Gabelli Funds

  • John Ball
    Senior Vice President, Fund Administration
  • David Goldman
    Vice President, Corporate Development
  • Kieran Caterina
    Chief Accounting Officer
  • Mario Gabelli
    Chief Investment Officer

Sources

  1. IAPD individual record, CRD 1392836. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Gabelli Funds, LLC, filed 14 July 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 Richard Walz or Gabelli Funds, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.