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DG

David D. Grumhaus

DUFF & PHELPS INVESTMENT MANAGEMENT CO.
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2544692
DG

Professional summary

David Dean Grumhaus JR, who also goes by David Dean Grumhaus, is a registered financial advisor currently at DUFF & PHELPS INVESTMENT MANAGEMENT CO. located in Chicago, Illinois and VP DISTRIBUTORS LLC located in Chicago, Illinois.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Dean Grumhaus

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.
ANN AND ROBERT H. LURIE CHILDREN'S HOSPITAL, 225 E. CHICAGO AVE, CHICAGO IL 60611; BUSINESS IS INVESTMENT RELATED; NATURE OF OTHER BUSINESS: SERVE ON THE INVESTMENT COMMITTEE; POSITION: MEMBER OF INVESTMENT COMMITTEE; START DATE: 2/8/13; 8/HRS QUARTERLY DEVOTED TO OTHER BUSINESS; 2/HRS QUARTERLY, 8/HRS YEARLY DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: SERVE ON 10 PERSON INVESTMENT COMMITTEE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Dean Grumhaus JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 23, 2015 - Present

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606
RIA
CRD#: 107296
Chicago, IL
Current

July 7, 2015 - Present

VP DISTRIBUTORS LLC

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606
BD
CRD#: 3036
Chicago, IL
Past

July 21, 1999 - November 25, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

December 19, 1995 - June 16, 1999

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL

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".
D&
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA
Registered Investment Advisory firm - (7/2/1979 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
Illinois
(10/23/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

D&
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA
Registered Investment Advisory firm - (7/2/1979 Approved)
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Contact information

Main Address
10 S. Wacker Drive 19th Floor, Chicago, IL 60606
Mailing Address
Phone number
(312) 263-2610
Established
Firm type
Fiscal year end
# of Employees
55

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DPIM ADV PART2A 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts52
AUM (Assets Under Management)$ 12,227,914,131

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296Chicago, IL 60606

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