![Richard Walz](data:image/svg+xml,<svg xmlns="http://www.w3.org/2000/svg" width="16" height="16" fill="%231b1b1b" class="bi bi-person-fill" viewBox="0 0 16 16"><path d="M3 14s-1 0-1-1 1-4 6-4 6 3 6 4-1 1-1 1zm5-6a3 3 0 1 0 0-6 3 3 0 0 0 0 6"/></svg>)
Richard Walz
Compliance Officer at
THE GABELLI CONVERTIBLE AND INCOME SECURITIES FUND INC.
Profile
Richard John Walz is currently Chief Compliance Officer at Gabelli Equity Trust, Inc., The GDL Fund, Gabelli Innovations Trust, Gabelli Multimedia Trust, Gabelli Utility Trust, Gabelli Convertible & Income Securities Fund, Bancroft Fund Ltd., Gabelli Ellsworth Growth & Income Fund Ltd., Gabelli Dividend & Income Trust, Gabelli Global Utility & Income Trust, GAMCO Global Gold, Natural Resources & Income Trust, Gabelli Healthcare & Wellness Trust, GAMCO Natural Resources, Gold & Income Trust, and Gabelli Global Small & Mid Cap Value Trust (The).
Formerly, Mr. Walz was Chief Compliance Officer at Cutwater Investor Services Corp.
from 2011 to 2011, AEGON U.S.A. Investment Management, Inc. from 2011 to 2013, Insight Select Income Fund from 2005 to 2011, and Gabelli Go Anywhere Trust (The) from 2015 to 2021.
Richard Walz active positions
| Companies | Position | Start |
|---|---|---|
| THE GABELLI GLOBAL UTILITY & INCOME TRUST | Compliance Officer | 31/12/2012 |
| THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST | Compliance Officer | 18/08/2013 |
| GAMCO NATURAL RESOURCES, GOLD & INCOME TRUST | Compliance Officer | 31/10/2013 |
| THE GABELLI EQUITY TRUST INC. | Compliance Officer | 31/10/2013 |
| THE GABELLI MULTIMEDIA TRUST INC. | Compliance Officer | 31/10/2013 |
| THE GABELLI UTILITY TRUST | Compliance Officer | 31/12/2012 |
| THE GABELLI DIVIDEND & INCOME TRUST | Compliance Officer | 31/10/2013 |
| BANCROFT FUND LTD. | Compliance Officer | 31/12/2014 |
| ELLSWORTH GROWTH AND INCOME FUND LTD. | Compliance Officer | 31/12/2014 |
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Former positions of Richard Walz
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Experiences
Positions held
Active
Inactive
Listed companies
Private companies
Connections
27
1st degree connections
18
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 18 |
|---|---|
Gabelli Equity Trust, Inc.
 Gabelli Equity Trust, Inc. Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Cutwater Investor Services Corp.
 Cutwater Investor Services Corp. Investment ManagersFinance Cutwater Investor Services specializes in fixed-income asset management. The firm offers traditional fixed-income investment strategies and manages investments in structured finance securities. Cutwater's Traditional Strategies Group provides retail and institutional investors with investment services ranging from money market vehicles to broad multi-sector fixed-income strategies. Their take a long-term approach to identifying value in the fixed-income markets. Cutwater offer traditional fixed-income strategies in the following formats: separate accounts, institutional funds and retail mutual funds. These strategies include: (1) Local Government Investment Pools (2) Total Return (3) Insurance and Tax Efficient and (4) Bonds Funds. Cutwater's Local Government Investment Pools focus on safety, liquidity and yield for investment of public funds. These strategies involve active management of portfolio exposures to maximize risk-adjusted returns. The firm's Insurance and Tax Efficient strategies provide exposures managed to match liabilities or maximize after-tax returns. Their Bond Funds are income-focused, closed-end funds managed with the goal of providing a high level of income. Cutwater's structured finance strategies include: (1) Alternative Products/Funds (2) CDO Management (3) liability-Driven Investments and (4) Structured Funding Platforms. The firm's Alternative Products/Funds employ opportunistic strategies that seek attractive relative value and risk-adjusted returns through investments in ABS. They are a leader in leader in the purchase, structuring and management of complex CDOs. The firm employs proprietary models to manage Liability Driven Investing (LDI) strategies for a diverse client base. Cutwater manages structured finance platforms off a single, integrated desk, providing clients and investors with structuring, marketing and management across a range of industry sectors including bank/finance, structured/ABS, CDO/CSOs and public funding. | Finance |
The GDL Fund
 The GDL Fund Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Multimedia Trust
 Gabelli Multimedia Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Utility Trust
 Gabelli Utility Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Convertible & Income Securities Fund
 Gabelli Convertible & Income Securities Fund Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Bancroft Fund Ltd.
 Bancroft Fund Ltd. Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Ellsworth Growth & Income Fund Ltd.
 Gabelli Ellsworth Growth & Income Fund Ltd. Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Dividend & Income Trust
 Gabelli Dividend & Income Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Global Utility & Income Trust
 Gabelli Global Utility & Income Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
GAMCO Global Gold, Natural Resources & Income Trust
 GAMCO Global Gold, Natural Resources & Income Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Healthcare & Wellness Trust
 Gabelli Healthcare & Wellness Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
GAMCO Natural Resources, Gold & Income Trust
 GAMCO Natural Resources, Gold & Income Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Global Small & Mid Cap Value Trust (The)
 Gabelli Global Small & Mid Cap Value Trust (The) Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Go Anywhere Trust (The)
 Gabelli Go Anywhere Trust (The) Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
AEGON U.S.A. Investment Management, Inc.
 AEGON U.S.A. Investment Management, Inc. Investment ManagersFinance AEGON investments are comprised primarily of bonds, with remaining assets invested in commercial mortgage loans, alternative investments and equities. The firm seeks to identify unrecognized growth potential in markets and individual stocks through a combination of active top-down and bottom-up analysis. Their investment process employs fundamentally driven research that is supported by quantitative analysis which results in the screening and ranking of markets and stocks and consistent implementation across portfolios. Though not limited by sector, the firm tends to invest in the stocks of small-cap and mid-cap companies in the finance, utilities, technology services and non-energy minerals sectors. AEGON maintains a low turnover rate. | Finance |
Insight Select Income Fund
 Insight Select Income Fund Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust | Miscellaneous |
Gabelli Innovations Trust
 Gabelli Innovations Trust Investment Trusts/Mutual FundsMiscellaneous Acts as an umbrella fund | Miscellaneous |
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