DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Joseph Gunnar & Co., LLC

Former SEC-registered adviserUniondale, New YorkCRD 24795SEC 801-121064websiteIAPD
Latest filing Apr 23, 2025
First filing on the tape Oct 22, 2012 · 30 filings
SEC status approved since May 4, 2021
RAUM
$34.0M
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
100%
$34.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
50
5 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$34.0M as of Apr 23, 2025
Mar 21, 2013$25.6M then
HNW client RAUM$0 as of Apr 23, 2025
Mar 31, 2022$13.7M then
State-registered IARs (5.B.3)10 as of Apr 23, 2025
Mar 21, 20139 then
Employees (5.A)50 as of Apr 23, 2025
Mar 21, 201386 then
Private funds4 as of Mar 3, 2014
Mar 21, 20134 then
RAUM +9.5% over the last fiscal year+1.8% a year over threeIARs 11 to 10offices 6 to 5
Practice profile
derived from the filing of Apr 23, 2025; every figure names its basis
RAUM per advisor
$3.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$499,528derivedRAUM over accounts (5.F.2.f)
Discretionary
74%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+9.5%derivedbetween the last two annual amendments
Advisor growth, one year
-9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$34.0MreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$34.0M100%
Individual clients
53reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
68reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Buttonwood Social Network Fund, LLCno longer reportedPrivate Equity Fund$27,1090Oct 22, 2012
Buttonwood Social Network Qp Fund, LLCno longer reportedPrivate Equity Fund$26,9370Oct 22, 2012
Owners and control persons
Schedule A and B, latest filing
  • Joseph Anthony Jr Alagna · Chairman, Ceocontrol
    since 11/1997 · owns less than 5%
  • Stephan A Stein · Presidentcontrol
    since 11/2008 · owns less than 5%
  • Joseph Anthony Jr Alagna · Holding Company Control Partnercontrol
    since 11/1997 · owns 75% or more of Joseph Gunnar Holding Co., LLC.
  • Douglas Colombo · Principal Operations Officer
    since 10/2019 · owns less than 5%
  • William Paul Hodge · Chief Compliance Officer / Amlco
    since 04/2023 · owns less than 5%
  • Steven Frederic Singer · Finop
    since 06/2005 · owns less than 5%
Entity owners
  • Joseph Gunnar Holding Co., LLC. · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Commack, Ny000
Saddle Brook, Nj000
Uniondale, Ny · principal000
Offices
Schedule D 1.F, the 25 largest
  • New York, NY1 employees
  • Brooklyn, NY1 employees
  • Commack, NY1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 78 to 68
    Jan 28, 2025 to Apr 23, 2025
  • Advisory employees · 11 to 5
    Jan 28, 2025 to Apr 23, 2025
  • BD registered reps · 54 to 42
    Jan 28, 2025 to Apr 23, 2025
  • Individual clients · 78 to 53
    Jan 28, 2025 to Apr 23, 2025
  • Employees · 60 to 50
    Jan 28, 2025 to Apr 23, 2025
  • Financial planning clients · unset to
    Jan 28, 2025 to Apr 23, 2025
  • State-registered IARs · 11 to 10
    Jan 28, 2025 to Apr 23, 2025
  • Other offices · 6 to 5
    Jan 28, 2025 to Apr 23, 2025
  • Discretionary RAUM · $20.9M to $25.1M
    Jan 28, 2025 to Apr 23, 2025
  • Individual RAUM · $31.0M to $34.0M
    Jan 28, 2025 to Apr 23, 2025
  • Non-discretionary RAUM · $10.1M to $8.9M
    Jan 28, 2025 to Apr 23, 2025
  • RAUM · $31.0M to $34.0M
    Jan 28, 2025 to Apr 23, 2025
  • Accounts · 95 to 78
    May 25, 2023 to Mar 27, 2024
  • Advisory employees · 10 to 11
    May 25, 2023 to Mar 27, 2024
  • Individual clients · 90 to 78
    May 25, 2023 to Mar 27, 2024
  • Employees · 65 to 60
    May 25, 2023 to Mar 27, 2024
  • State-registered IARs · 10 to 11
    May 25, 2023 to Mar 27, 2024
  • Other offices · 5 to 6
    May 25, 2023 to Mar 27, 2024
  • Discretionary RAUM · $14.5M to $20.9M
    May 25, 2023 to Mar 27, 2024
  • Individual RAUM · $28.7M to $31.0M
    May 25, 2023 to Mar 27, 2024
  • Non-discretionary RAUM · $14.2M to $10.1M
    May 25, 2023 to Mar 27, 2024
  • RAUM · $28.7M to $31.0M
    May 25, 2023 to Mar 27, 2024
  • RAUM · $32.2M to $28.7M
    Jun 24, 2022 to Mar 30, 2023
  • Accounts · 88 to 95
    Jun 24, 2022 to Mar 30, 2023
  • BD registered reps · 50 to 54
    Jun 24, 2022 to Mar 30, 2023
  • HNW clients · 23.0 to unset
    Jun 24, 2022 to Mar 30, 2023
  • Individual clients · 65 to 90
    Jun 24, 2022 to Mar 30, 2023
  • Employees · 74 to 65
    Jun 24, 2022 to Mar 30, 2023
  • HQ city · NEW YORK to UNIONDALE
    Jun 24, 2022 to Mar 30, 2023
  • Other offices · 3 to 5
    Jun 24, 2022 to Mar 30, 2023
  • Discretionary RAUM · $16.7M to $14.5M
    Jun 24, 2022 to Mar 30, 2023
  • HNW RAUM · $13.7M to $0
    Jun 24, 2022 to Mar 30, 2023
  • Individual RAUM · $18.5M to $28.7M
    Jun 24, 2022 to Mar 30, 2023
  • Non-discretionary RAUM · $15.5M to $14.2M
    Jun 24, 2022 to Mar 30, 2023
  • Accounts · 87 to 88
    Feb 28, 2022 to Mar 31, 2022
  • Advisory employees · 11 to 10
    Feb 28, 2022 to Mar 31, 2022
  • BD registered reps · 58 to 50
    Feb 28, 2022 to Mar 31, 2022
  • HNW clients · 21 to 23
    Feb 28, 2022 to Mar 31, 2022
  • Individual clients · 64 to 65
    Feb 28, 2022 to Mar 31, 2022
  • Employees · 64 to 74
    Feb 28, 2022 to Mar 31, 2022
Signals
15 dated events
  • Joseph Gunnar & Co., Llc no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $34.0M)
    Apr 1, 2026 · Left the SEC roster · derived
  • Christopher Adam Toro left Joseph Gunnar & Co., Llc for A.G.P / Alliance Global Partners (registered 2025-05-28)
    May 28, 2025 · Advisor changed firm · fact
  • Teddy Lellos left Joseph Gunnar & Co., Llc for A.G.P / Alliance Global Partners (registered 2025-04-21)
    Apr 21, 2025 · Advisor changed firm · fact
  • Stephen Gregory Marek left Joseph Gunnar & Co., Llc for Atcap Partners, Llc (registered 2025-03-12)
    Feb 26, 2025 · Advisor changed firm · fact
  • Kevin Pellegrini left Joseph Gunnar & Co., Llc for West Pine 43 Llc (registered 2023-06-06)
    Jun 23, 2023 · Advisor changed firm · fact
  • John Govic left Joseph Gunnar & Co., Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-08-03)
    Jun 30, 2022 · Advisor changed firm · fact
  • John Mario Govic (Chief Compliance Officer) no longer on Schedule A of Joseph Gunnar & Co., Llc (listed 2022-04-29, absent 2022-06-24)
    Jun 24, 2022 · Control person left · inference
  • Tyler Jordan Ares left Joseph Gunnar & Co., Llc for Fresh Bread Investments, Llc (registered 2022-02-26)
    Feb 22, 2022 · Advisor changed firm · fact
  • Jennifer Larose left Joseph Gunnar & Co., Llc for Mirae Asset Wealth Management (Usa) Inc. (registered 2021-10-22)
    Jan 19, 2022 · Advisor changed firm · fact
  • Jennifer Lynn Larose (Chief Compliance Officer) no longer on Schedule A of Joseph Gunnar & Co., Llc (listed 2021-03-31, absent 2021-04-26)
    Apr 26, 2021 · Control person left · inference
  • John Mario Govic (Chief Compliance Officer) appeared on Schedule A of Joseph Gunnar & Co., Llc
    Apr 26, 2021 · Control person joined · fact
  • Jennifer Lynn Larose (Chief Compliance Officer) appeared on Schedule A of Joseph Gunnar & Co., Llc
    Mar 31, 2021 · Control person joined · fact
  • Douglas Colombo (Principal Operations Officer) appeared on Schedule A of Joseph Gunnar & Co., Llc
    Mar 31, 2021 · Control person joined · fact
  • Robert Anthony Gerraputa (Chief Compliance Officer, Broker Dealer) no longer on Schedule A of Joseph Gunnar & Co., Llc (listed 2015-06-02, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Joseph Gunnar & Co., Llc filed its initial SEC registration (Form ADV)
    Oct 22, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026