Joseph Gunnar & Co.
Joseph Gunnar & Co., LLC is a privately held, FINRA-member broker-dealer founded in 1997 and headquartered in New York, providing investment banking and capital-markets services (IPOs, secondaries, PIPEs, SPACs, M&A advisory) to public and private companies and wealth-management services to private clients, with global institutional distribution access to over 10,000 accounts.
- Company typePrivate
- Founded1997
- HeadquartersNew York, United States
- Headcount101–250
- GTM typeB2B and B2C
- OfferingServices
What Joseph Gunnar & Co. does
Joseph Gunnar & Co., LLC is a privately held, full-service broker-dealer founded in 1997 and headquartered at 570 Lexington Avenue, New York. The firm operates two primary business divisions. The Investment Banking division provides capital-raising and advisory services to public and private companies, executing IPOs (deal range $10M–$200M), underwritten secondary offerings ($5M–$200M), registered directs and PIPEs ($5M–$100M), private placements, SPAC IPOs, and M&A advisory work including fairness opinions and valuation analyses. The Equity Capital Markets team within this division reaches more than 10,000 institutional accounts across the US, Europe, Israel, Asia, and South America. The Global Equity Syndicate desk participates in public offerings managed by other investment banks, having taken part in 444 public offerings and 1,750 syndicate transactions as underwriter or selling group member since 2012, and has been involved in 117 SPAC mandates.
The Private Client Services division delivers customized, one-on-one wealth management through a network of financial consultants, covering equities, fixed income (with electronic platform access to 80+ fixed income dealers), mutual funds, retirement accounts, estate planning, and structured products. Private clients also gain access to a family of pre-IPO Private Investment Funds managed by affiliate Buttonwood Group Advisors. Clearing, custody, and execution services are outsourced to RBC Correspondent Services (Royal Bank of Canada), with client accounts SIPC-protected up to $500,000. Joseph Gunnar is regulated by FINRA and reports order execution quality under SEC Rules 605 and 606.
Revenue is generated through transaction fees on investment banking mandates and syndicate participations, advisory fees for M&A and fairness opinions, and recurring wealth management fees and commissions on private client accounts. The firm is led by Chairman and CEO Joseph Alagna, with Senior Managing Director Michael Wagner and Supervising Principal Demitry Portnoy heading key business lines. The firm employs between 101 and 250 people, does not disclose revenue, and operates without a parent company or institutional outside investment.
Joseph Gunnar & Co. firmographics
Firmographics- Name
- Joseph Gunnar & Co.
- Legal name
- Joseph Gunnar & Co. LLC
- Website
- https://josephgunnar.com
- Company type
- Private
- Founded year
- 1997
- Operating status
- Operating
- Headcount range
- 101–250 employees
- Short description
- Joseph Gunnar & Co., LLC is a privately held, FINRA-member broker-dealer founded in 1997 and headquartered in New York, providing investment banking and capital-markets services (IPOs, secondaries, PIPEs, SPACs, M&A advisory) to public and private companies and wealth-management services to private clients, with global institutional distribution access to over 10,000 accounts.
- Ownership category
- akta.pro rank
Joseph Gunnar & Co. industry classification
Industry- Product category
- Investment Banking & Broker-Dealer Services
- NAICS
- Securities and Commodity Contracts Intermediation and Brokerage (5231), Portfolio Management and Investment Advice (523940)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282)
- akta.pro primary industry
- Broker-Dealer Affiliated Wealth Advisory (FSAEABAB)
Keywords
Where Joseph Gunnar & Co. is headquartered
LocationHeadquarters
- HQ city
- New York
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Joseph Gunnar & Co. business model
Business model- GTM type
- B2B and B2C
- Offering type
- Services
- Cost components
- Personnel, Operations, Infrastructure, Marketing or Sales, Technology or R&D
Revenue model
- Investment Banking / Capital Markets: Revenue from acting as book-runner, manager, underwriter, placement agent, and selling group member on public offerings including IPOs, follow-ons, registered directs, PIPEs, and SPACs. Deal sizes range from $5 million to $200+ million. Also includes fairness opinions and advisory services for M&A and business development.
- Advisory Services: Business development/strategy consulting and M&A advisory services addressing corporate strategy needs for clients. Generates fees for fairness opinions and valuation analyses.
- Private Client Services: Wealth management and financial planning services including cash management, equities, fixed income, mutual funds, retirement services, estate planning, and structured products. Revenue generated through advisory fees, transaction commissions, and product distribution.
- Global Equity Syndicate: Participation in public offerings managed by other investment banking firms. Has participated in 444 public offerings and 1,750 transactions as underwriter or selling group member since 2012. Revenue from syndicate participation fees.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Other | Pay-as-you-go | Transaction-based investment banking fees |
Go-to-market motion3 records
Distribution channels4 records
Marketing channels5 records
Joseph Gunnar & Co. product offering
Product offeringCore offering
Joseph Gunnar & Co. is a full-service broker-dealer providing investment banking, capital markets, and private client wealth management services. The firm underwrites and places public offerings (IPOs, follow-ons, PIPEs, SPACs), delivers M&A advisory and fairness opinions to corporate clients, and offers customized wealth management, retirement planning, and trading services to high-net-worth individuals through its team of financial consultants.
Product overview
Joseph Gunnar & Co. LLC is a full-service broker-dealer established in 1997, offering a comprehensive suite of investment products and services. The firm operates through two primary divisions: Investment Banking (encompassing Advisory Services, Equity Capital Markets, and Global Equity Syndicate) for corporate clients, and Private Client Services for individual investors. The Investment Banking division provides capital raising through IPOs, follow-on offerings, private placements, and SPACs, along with M&A advisory and fairness opinions. The Private Client division offers equities and fixed income trading, mutual funds, retirement services, estate planning, and structured products. Additionally, the firm publishes equity research reports covering various sectors and companies.
Differentiator
Problem solved
Functional benefit
Products and services
- Investment Banking
- Advisory Services
- Equity Capital Markets
- Global Equity Syndicate
- Private Client Services
- Equity Research Reports
Companies that use Joseph Gunnar & Co.
Customer profileNamed customers11 records
Segments3 records
Ideal customer profiles3 records
Joseph Gunnar & Co. technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Joseph Gunnar & Co. partnerships and signals
Strategic signalPartnerships
Two partnerships are on record, tiered core and minor.
- RBC Correspondent Services (Royal Bank of Canada)coreRBC Correspondent Services acts as clearing firm performing centralized cashiering, bookkeeping, and execution functions. RBC receives and delivers securities, processes payments, maintains custody of securities and funds, and handles distributions including dividends, exchange offers, rights offerings, warrants, tender offers, and redemptions. Joseph Gunnar accounts are protected up to $500,000 by SIPC with additional coverage from a leading US insurance carrier.
- Buttonwood Group AdvisorsminorAffiliate managing a family of Private Investment Funds that provide retail and institutional investors access to investments in rapid-growth, pre-IPO companies. This relationship provides Joseph Gunnar private clients with access to investment opportunities not readily available at larger competitors.
Scale indicators6 records
Recent moves3 records
Expansion highlights5 records
Joseph Gunnar & Co. competitors and assessment
Company assessmentDirect peers
- EF Hutton: Boutique full-service broker-dealer offering investment banking, capital markets, and wealth management services to small/mid-cap issuers and retail clients — closely comparable to Joseph Gunnar's business mix and target market.
- Maxim Group: Full-service broker-dealer with investment banking, institutional sales/trading, and wealth management, focused on small- and mid-cap issuers — directly comparable in deal-size band and service offering.
- Aegis Capital Corp. Boutique broker-dealer providing investment banking, equity capital markets, and wealth management with a similar small/mid-cap issuer focus — directly comparable service mix and client profile.
- ThinkEquity: Boutique investment bank and broker-dealer focused on IPOs, follow-ons, and capital markets for small- and mid-cap companies — closely comparable in transaction types and issuer profile.
- Loop Capital Markets: Mid-market full-service broker-dealer and investment bank with capital markets, advisory, and institutional sales — directly comparable in mid-cap focus and full-service model.
- National Securities Corporation: Boutique broker-dealer offering investment banking, equity research, and retail wealth management — closely aligned with Joseph Gunnar's full-service boutique model and target clientele.
- Dawson James Securities: Boutique investment bank focused on healthcare and small-cap capital markets — comparable boutique investment banking model with specialization in a niche vertical.
Broad incumbents
- Ladenburg Thalmann: Larger diversified financial services firm offering investment banking, wealth management, and capital markets to small/mid-cap issuers — comparable services but at broader scale with more diversified product lines.
- B. Riley Financial: Diversified financial services firm with investment banking, capital markets, wealth management, and research — overlapping services to Joseph Gunnar but operating at much greater scale and breadth.
- William Blair: Larger established investment bank and wealth manager with mid-market investment banking, institutional sales/trading, and wealth management — overlapping service lines but at significantly greater scale.
Market position
Strengths4 records
Weaknesses4 records
Competitive moat4 records
Key risks6 records
Key highlights7 records
Customer concentration
Joseph Gunnar & Co. social profiles
Digital presenceJoseph Gunnar & Co. compliance and trust
Trust signalCompliance4 records
Joseph Gunnar & Co. financial estimates
Financial estimateRevenue estimate
Valuation estimate
Joseph Gunnar & Co. leadership team
Management profileNumber of profiles
Profiles3 records
Joseph Gunnar & Co. funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Joseph Gunnar & Co. M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Joseph Gunnar & Co.
What does Joseph Gunnar & Co. do?
Joseph Gunnar & Co. is a full-service broker-dealer providing investment banking, capital markets, and private client wealth management services. The firm underwrites and places public offerings (IPOs, follow-ons, PIPEs, SPACs), delivers M&A advisory and fairness opinions to corporate clients, and offers customized wealth management, retirement planning, and trading services to high-net-worth individuals through its team of financial consultants.
Is Joseph Gunnar & Co. a public or private company?
Joseph Gunnar & Co. is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Joseph Gunnar & Co. founded?
Joseph Gunnar & Co. was founded in 1997. It employs 101 to 250 people.
Where is Joseph Gunnar & Co. based?
Joseph Gunnar & Co. is headquartered in New York, United States, in the North America region.
How does Joseph Gunnar & Co. make money?
Four revenue lines are on record. Investment Banking / Capital Markets are the primary driver. The others are advisory Services, private Client Services and global Equity Syndicate.
Who are Joseph Gunnar & Co.'s main competitors?
Direct peers on record are EF Hutton, Maxim Group, Aegis Capital Corp., ThinkEquity, Loop Capital Markets, National Securities Corporation and Dawson James Securities. Broad incumbents are Ladenburg Thalmann, B. Riley Financial and William Blair.
Does Joseph Gunnar & Co. have an API?
No public API is recorded for Joseph Gunnar & Co..
What industry is Joseph Gunnar & Co. in?
Joseph Gunnar & Co.'s product category is Investment Banking & Broker-Dealer Services. Its primary akta.pro industry code is FSAEABAB, Broker-Dealer Affiliated Wealth Advisory. Its NAICS code is 5231 and its SIC code is 6211.