BRUCE & CO INC of CHICAGO, IL is an SEC-registered investment adviser (CRD 104735). Regulatory assets under management: $379.5M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Robert Jeffrey Bruce | PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| BRUCE ROBERT B | PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| BRUCE ROBERT JEFFREY | PRESIDENT, CHIEF COMPLIANCE OFFICER; SECRETARY; SECRETARY, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-04 | regulatory | INCOMPLETE COMPLIANCE RESPONSE, 30(E) COMPLIANCE DEFICIENCIES RELATED TO 15(C) | Pending | — |