Ivan P. Gruhl
AVANTAX PLANNING PARTNERS | VP, Co-Chief Investment Officer
DUBUQUE, IA 52002
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CRD#: 1504494
Professional summary
Ivan P Gruhl, CFA, who also goes by IVan Paul Gruhl, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dubuque, Iowa and CETERA INVESTMENT ADVISERS LLC located in Dubuque, Iowa.
Ivan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Ivan has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Ivan Gruhl is Vice President, Chief Investment Officer, for Avantax®, leading the combined Portfolio Management Group of Avantax Wealth Management and Avantax Planning PartnersSM. In Ivan's 38 years in the financial services industry, he most recently served as the Chief Investment Officer for Avantax Planning PartnersSM (previously HKFS) and has been with the company for 10 years. Prior to joining Avantax Planning PartnersSM, Ivan was VP of client investment development at Aviva Investors, where he developed and marketed separately managed account (SMA) and mutual fund products to institutional investors. He spent the prior 23 years with Lehman Brothers in New York, where he was Senior Vice President in the capital markets area. At Lehman, Ivan headed the Lehman bond index franchise and led a portfolio advisory team for managing institutional investor portfolios. During his time at Lehman, he was involved in various roles including trading futures, corporate bond sales, and research. Ivan has a Bachelor of Business degree in Finance from Pacific Lutheran University, and a master's degree in Finance from the Stern School of Business at NYU. He is a Chartered Financial Analyst (CFA) and holds the Series 7 and 63 designations.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ivan Paul Gruhl
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ivan P Gruhl's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 22, 2011 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 3390 Asbury Road, Dubuque, IA 52002RIA
CRD#: 106237
DUBUQUE, IA
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3390 Asbury Road, Dubuque, IA 52002RIA
CRD#: 105644
DUBUQUE, IA
Past
March 19, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DALLAS, TX
Past
August 18, 2011 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
DUBUQUE, IA
Past
June 16, 2010 - January 18, 2011
ATHENE SECURITIES, LLC
BD
CRD#: 36867
WEST DES MOINES, IA
Past
February 14, 1990 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
July 23, 1986 - June 24, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
DUBUQUE, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Iowa(8/22/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
VP, Co-Chief Investment OfficerCRD#: 105644Dubuque, IA 52002TRUST BUT VERIFY
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