Bruce & Co Inc
- Regulatory AUM
- $380M
- Discretionary
- $380M
- Clients
- 3
- Avg AUM / client
- $127M
- Accounts
- 3
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 1 | $4.0M | 1.04% |
| Investment companies | 1 | $348M | 91.6% |
| Charitable organizations | 1 | $27.8M | 7.32% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Jeffrey Bruce | President, Chief Compliance Officer | Nov 2005 (21y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 851 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: INCOMPLETE COMPLIANCE RESPONSE, 30(E) COMPLIANCE DEFICIENCIES RELATED TO 15(C) Status: Pending Summary: INVESTIGATION WAS INITIATED ON MAY 3, 2022. ON A MARCH 4, 2024 PHONE CALL A RESOLUTION WAS PROPOSED, INVOLVING A FINE AMOUNT, CEASE AND DESIST, AND CENSURE FOR DEFICIENCIES IN OUR 15(C) AND 30(E) DISCLOSURES. CURRENTLY ATTEMPTING TO AGREE ON RESOLUTION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗