WALZ RICHARD JOHN appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. WALZ RICHARD JOHN appears on 5 filing roles across Form ADV (5).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | AEGON USA INVESTMENT MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | CEDAR RAPIDS, IA |
| — | Form ADV | GABELLI FUNDS, LLC | CHIEF COMPLIANCE OFFICER | RYE, NY |
| — | Form ADV | CUTWATER ASSET MANAGEMENT CORP. | FINANCIAL OPERATIONS PRINCIPAL | NEW YORK, NY |
| — | Form ADV | CUTWATER INVESTOR SERVICES CORP. | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | CUTWATER COLORADO INVESTOR SERVICES CORP. | DIRECTOR | DENVER, CO |