Alain Germain Tripeau

Joseph Gunnar & CO., LLC

17 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementHigh Net Worth

Joseph Gunnar & CO., LLC

Compensation

Fee-Only (AUM)

Firm Size

8 advisors

Number of Clients

53 clients

Average Client Portfolio

$641K average

Assets Under Management

$34.0M

Fee Structure

Minimum Investment:$50K

Financial Planning:Investment management only

Location

New Rochelle, NY

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

November 2011

Denied

Criminal

March 2003

Final Disposition

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Other Business Activities

Alain is a non-voting passive member of Buttonwood Select Opportunities Management Associates LLC and Buttonwood H1 Management Associates LLC since 2013 and 2017, respectively. These investment-related businesses require minimal time, with potential contingent compensation.