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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

JOSEPH CAPITAL MANAGEMENT, LLC

CRD 116156

HERNANDO, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:22b2f806-988f-bc96-bc7d-d97773f391e2

Data as of Mar 26, 2014 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 7, 2012 to Mar 26, 2014
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $146MItem 5.F on the latest filing (2014-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $145M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 4
Accounts: 174
SEC number: 801-68145
CRD: 116156
Filings on the tape: 9
First filed: Mar 7, 2012
Latest filed: Mar 26, 2014
Organised: Limited Liability Company, Florida

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CEPARANO, JOHN, JOSEPH	Shareholder	D	yes	09/2001	Mar 7, 2012	Mar 26, 2014
CEPARANO, JOHN, JOSEPH	MEMBER, PRIVATE WEALTH MANAGER	Na	yes	09/2001	Mar 7, 2012	Mar 26, 2014
JOSEPH HOLDINGS, INC.	Member	E	yes	08/2001	Mar 7, 2012	Mar 26, 2014
LONG, SARA, LYNNE	CHIEF COMPLIANCE OFFICER, SR. PRIVATE WEALTH ADVISOR	Na	yes	07/2011	Mar 7, 2012	Mar 26, 2014
TRINGALI, MICHAEL, JOSEPH	Shareholder	D	yes	09/2001	Mar 7, 2012	Mar 26, 2014
TRINGALI, MICHAEL, JOSEPH	MEMBER, PRIVATE WEALTH MANAGER	Na	yes	09/2001	Mar 7, 2012	Mar 26, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JCM ADVISORS OF CRYSTAL RIVER, LLC	n/a	Former SEC adviser	$17.1M	Y	yes	n/a
CRYSTAL RIVER REALTY, INC.	n/a	n/a	n/a	N	yes	n/a
JOSEPH AND COMPANY, CPAS	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Hauppauge	NY	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Feb 28, 2014	$146M	$145M	10	4	n/a	n/a	n/a
2012	Mar 15, 2013	$119M	$117M	9	4	n/a	n/a	n/a
2011	Mar 7, 2012	$118M	$112M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$146M	$119M	22.3%	n/a	n/a	10	9	n/a	n/a

Relationships

Affiliated with (2)

→ JCM ADVISORS OF CRYSTAL RIVER, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← JCM ADVISORS OF CRYSTAL RIVER, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← CEPARANO, JOHN, JOSEPHOwnerSHAREHOLDER, ownership code D, individual
Mar 7, 2012 to presentfactForm ADV
← TRINGALI, MICHAEL, JOSEPHOwnerSHAREHOLDER, ownership code D, individual
Mar 7, 2012 to presentfactForm ADV
← LONG, SARA, LYNNEOwnerCHIEF COMPLIANCE OFFICER, SR. PRIVATE WEALTH ADVISOR, ownership code NA, individual
Mar 7, 2012 to presentfactForm ADV
← JOSEPH HOLDINGS, INC.OwnerMEMBER, ownership code E, domestic entity
Mar 7, 2012 to presentfactForm ADV

Registered with (4)

← JOHN JOSEPH CEPARANOAdvisorregistration: previous registration
Nov 29, 2001 to Jul 23, 2014factForm ADV
← MICHAEL JOSEPH TRINGALIAdvisorregistration: previous registration
Nov 29, 2001 to Jul 23, 2014factForm ADV
← RONALD ALAN RHOADESAdvisorregistration: previous registration
Nov 29, 2001 to Sep 13, 2011factForm ADV
← Eric John SobocinskiAdvisorregistration: previous registration
Feb 4, 2009 to Jun 2, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22b2f806-988f-bc96-bc7d-d97773f391e2
First observed: Mar 7, 2012
Last observed: Mar 26, 2014 151 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JOSEPH CAPITAL MANAGEMENT, LLC

CRD 116156

HERNANDO, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:22b2f806-988f-bc96-bc7d-d97773f391e2

Data as of Mar 26, 2014 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CEPARANO, JOHN, JOSEPH

Shareholder

yes

09/2001

Mar 7, 2012

Mar 26, 2014

CEPARANO, JOHN, JOSEPH

MEMBER, PRIVATE WEALTH MANAGER

yes

09/2001

Mar 7, 2012

Mar 26, 2014

JOSEPH HOLDINGS, INC.

Member

yes

08/2001

Mar 7, 2012

Mar 26, 2014

LONG, SARA, LYNNE

CHIEF COMPLIANCE OFFICER, SR. PRIVATE WEALTH ADVISOR

yes

07/2011

Mar 7, 2012

Mar 26, 2014

TRINGALI, MICHAEL, JOSEPH

Shareholder

yes

09/2001

Mar 7, 2012

Mar 26, 2014

TRINGALI, MICHAEL, JOSEPH

MEMBER, PRIVATE WEALTH MANAGER

yes

09/2001

Mar 7, 2012

Mar 26, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JCM ADVISORS OF CRYSTAL RIVER, LLC

n/a

Former SEC adviser

$17.1M

yes

n/a

CRYSTAL RIVER REALTY, INC.

n/a

yes

n/a

JOSEPH AND COMPANY, CPAS

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Hauppauge

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Feb 28, 2014

$146M

$145M

n/a

2012

Mar 15, 2013

$119M

$117M

n/a

2011

Mar 7, 2012

$118M

$112M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$146M

$119M

22.3%

n/a