Joseph Gunnar & Co., LLC (New York)


Joseph Gunnar & Co., LLC is an adviser based in New York. It manages $5.16 million of regulatory assets for 28 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of New Jersey, New York, and Pennsylvania.

Joseph Gunnar & Co. provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Joseph Gunnar & Co.: assets under management

The assets under management (AUM) of Joseph Gunnar & Co., LLC is $5.16 million. The firm's AUM has gone down by -90% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.53 million in discretionary accounts and $2.64 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $114.81 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $439.32 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Joseph Gunnar & Co., LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Joseph Gunnar & Co., LLC

Stephan A Stein has been acting as President since 1 Nov 2008. Robert Anthony Gerraputa joined the executive team most recently as the Chief Compliance Officer, Broker Dealer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc. Joseph Gunnar Holding Co. Owner 1 Aug 1997 75% - 100% 11-3390893
Joseph Anthony Jr Alagna Chairman, ceo 1 Nov 1997 Other 1840339
Steven Frederic Singer Finop 1 Jun 2005 Other 2360737
Stephan A Stein President 1 Nov 2008 Other 3238494
Stephen John Cucchia Chief compliance officer- broker dealer 1 Aug 2010 Other 1316029
Carolyn Deller Royer Invesment advisory cco 1 Dec 2010 Other 1092979
Robert Anthony Gerraputa Chief compliance officer, broker dealer 1 Sep 2012 Other 1691632

Based in New York

The principal office where Joseph Gunnar & Co., LLC performs its advisory services is located at 30 Broad Street, 11 Th Floor, New York, NY 10004, which is also the mailing address of the firm. An additional office of the firm is in Yonkers, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-440-9645 or by fax 212-440-9691. The normal business hours are 8:30 to 5:30 on Monday - Friday. You can find more information about the New York firm at josephgunnar.com/.