Niva WealthLet’s talk

Joseph Gaffoglio

President, Chief Executive Officer, and Manager at Mutual of America Capital Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Gaffoglio is President, Chief Executive Officer, and Manager of Mutual of America Capital Management LLC, a New York investment adviser managing $20.1B. Joseph Gaffoglio has a current broker registration and no current investment-adviser registration and has passed the Series 63, Series 7, Series 87 and SIE.

Role at Mutual of America Capital Management

Title on Schedule A
President, Chief Executive Officer, and Manager
Control
Joseph Gaffoglio is a control person of Mutual of America Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Gaffoglio has held the filed role since November 2025.

The firm

Mutual of America Capital Management LLC
New York, NY

Form ADV filed 31 March 2026

$20.1B AUM2 clients22 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 87 · 2005
  3. Passed Series 63 and Series 7 · 2002

Registrations and exams

Broker registration; no current adviser registration. Joseph Gaffoglio has passed 4 qualifying exams.

Examinations

Series 6326 November 2002
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 8724 February 2005
Name
Research Analyst Exam - Part II Regulations Module
Series 711 December 2002
Name
General Securities Representative Examination

Individual record

Full name
Joseph Robert Gaffoglio
CRD
4410999
Firm
Mutual of America Capital Management LLC
Registration status
Broker registration; no current adviser registration
Firm bio
moafunds.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Mutual of America identifies Joseph Gaffoglio as President and CEO, after roles at Prudential Equity Group and PricewaterhouseCoopers. Official firm biography

Education

Credentials and memberships

Common questions

Where does Joseph Gaffoglio work?

Joseph Gaffoglio has been President, Chief Executive Officer, and Manager of Mutual of America Capital Management LLC since November 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 March 2026

Does Joseph Gaffoglio have a current investment-adviser registration?

Joseph Gaffoglio has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Gaffoglio passed?

Joseph Gaffoglio has passed 4 licensing exams: the Series 63, Series 7, Series 87 and SIE. The earliest, the Series 63, was passed in November 2002.

Source: IAPD individual record, checked 17 October 2026

Is Joseph Gaffoglio a CFA charterholder?

Mutual of America Capital Management lists Joseph Gaffoglio with the CFA credential (“Chartered Financial Analyst”) on its website. CFA Institute confirms certification status.

Source: Official firm biography

Leadership at Mutual of America Capital Management

Sources

  1. IAPD individual record, CRD 4410999. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Mutual of America Capital Management LLC, filed 31 March 2026. Title, control and ownership bands.
  3. Mutual of America Capital Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Gaffoglio or Mutual of America Capital Management LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.