Joseph C. Longo, Attorney At Law
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About
The firm provides investment advisory services to individual clients through a referral and servicing relationship with a broker-dealer, overseeing portfolios that the broker-dealer maintains and executes. As a solo practitioner, the adviser collects client information and documents goals and constraints to support customized asset allocation recommendations and occasional financial-plan components.
The firm does not exercise direct discretionary management; day-to-day portfolio decisions, trade execution, custody, and ongoing account reviews are performed by the broker-dealer while the adviser consults with clients and the broker-dealer on strategy and restrictions. Clients receive account statements and confirmations directly from the custodian while the adviser coordinates recommendations and periodic reviews.
Noteworthy aspects include that the adviser’s primary business is legal practice—focused on estate planning and sports law—and the adviser spends the majority of time on that legal practice, making the provision of investment advice a secondary service. The firm also operates under a solicitor/fee-sharing arrangement with the broker-dealer, maintains a very small client base with no assets reported under direct management, and does not take custody or discretionary authority over client accounts.
Client services
Occupation focus
Fee options
$0+: 1% - 2% of assets under management (charged by UBS Financial Services) $0+: JCL receives 20% of the gross fee charged by UBS Financial Services
Main office
100 Wilshire Blvd., Suite 2000
Santa Monica CA 90401
Advisors at this office
1
Most active in
Arizona · California
Also doing business as
Joseph C. Longo, Attorney At Law · Longo, Joseph Cosmo
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
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