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CRD 150665
HERNANDO, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CEPARANO, JOHN, JOSEPH | MEMBER, PRIVATE WEALTH MANAGER | D | yes | 10/2001 | Mar 7, 2012 | Mar 26, 2014 |
| JCM AFFILIATE, LLC | Member | B | yes | 01/2010 | Mar 7, 2012 | Mar 26, 2014 |
| JOSEPH CAPITAL MANAGEMENT, LLC | Member | E | yes | 01/2010 | Mar 7, 2012 | Mar 26, 2014 |
| LONG, SARA, LYNNE | CEO, CHIEF COMPLIANCE OFFICER | Na | yes | 07/2011 | Mar 7, 2012 | Mar 26, 2014 |
| SERRA, EDWARD | Member | E | yes | 04/2009 | Mar 7, 2012 | Mar 26, 2014 |
| TRINGALI, MICHAEL, JOSEPH | MEMBER, PRIVATE WEALTH MANAGER | D | yes | 10/2001 | Mar 7, 2012 | Mar 26, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| JOSEPH CAPITAL MANAGEMENT, LLC | n/a | Former SEC adviser | $146M | Y | yes | n/a |
| EDWARD J. SERRA | n/a | n/a | n/a | N | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Mar 26, 2014 | $17.1M | $17.1M | 1 | 1 | n/a | n/a | n/a |
| 2012 | Mar 15, 2013 | $13.6M | $13.6M | 1 | 1 | n/a | n/a | n/a |
| 2011 | Mar 7, 2012 | $9.2M | $9.2M | n/a | n/a | n/a | n/a | 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 | $17.1M | $13.6M | 25.6% | n/a | n/a | 1 | 1 | n/a | n/a |