Joseph Gunnar & Co. LLC

Joseph Gunnar & Co., LLC provides investment advisory services to individual and high‑net‑worth clients, offering portfolio management primarily through a sponsored wrap fee program and by recommending third‑party money managers. The firm tailors advisory relationships to individual clients and generally charges percentage‑of‑assets fees for managed accounts.

The firm’s investment model centers on selecting and monitoring third‑party managers and using the Envestnet platform for managed programs; security selection and day‑to‑day trading are typically handled by those TPMMs rather than by the firm. Joseph Gunnar acts as a sponsor of its wrap program and shares advisory compensation with recommended TPMMs, which the brochure discloses as a potential source of conflict when advising clients.

Distinctive features include its dual role as a registered broker‑dealer and as an investment adviser sponsor of private pooled investment vehicles through affiliated entities, arrangements the firm discloses can create conflicts of interest. The brochure also discloses multiple FINRA disciplinary matters, the firm’s operation across six offices despite a relatively small client base, and the use of arrangements such as forgivable loans to affiliated representatives, all of which may be noteworthy to prospective clients evaluating conflicts and supervisory practices.