DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Joseph Capital Management, LLC

Former SEC-registered adviserHernando, FloridaCRD 116156SEC 801-68145IAPD
Latest filing Mar 26, 2014
First filing on the tape Mar 7, 2012 · 9 filings
RAUM
$146M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$146M as of Feb 28, 2014
Mar 7, 2012$118M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 28, 2014
Mar 7, 20120 then
Employees (5.A)10 as of Feb 28, 2014
Mar 15, 20139 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2014; every figure names its basis
RAUM per advisor
$36.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$838,131derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
174reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Joseph John Ceparano · Member, Private Wealth Managercontrol
    since 09/2001 · owns less than 5%
  • Lynne Sara Long · Chief Compliance Officer, Sr. Private Wealth Advisorcontrol
    since 07/2011 · owns less than 5%
  • Joseph Michael Tringali · Member, Private Wealth Managercontrol
    since 09/2001 · owns less than 5%
  • Joseph John Ceparano · Shareholdercontrol
    since 09/2001 · owns 50% to 75% of Joseph Holdings, Inc.
  • Joseph Michael Tringali · Shareholdercontrol
    since 09/2001 · owns 50% to 75% of Joseph Holdings, Inc.
Entity owners
  • Joseph Holdings, Inc. · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Joseph Capital Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Hauppauge, NY
What changed
consecutive filings, newest first
  • Accounts · 154 to 174
    Nov 13, 2013 to Feb 28, 2014
  • Employees · 9 to 10
    Nov 13, 2013 to Feb 28, 2014
  • Discretionary RAUM · $117M to $145M
    Nov 13, 2013 to Feb 28, 2014
  • Non-discretionary RAUM · $2.2M to $1.3M
    Nov 13, 2013 to Feb 28, 2014
  • RAUM · $119M to $146M
    Nov 13, 2013 to Feb 28, 2014
  • Accounts · 124 to 154
    Oct 10, 2012 to Mar 15, 2013
  • Advisory employees · unset to 4.0
    Oct 10, 2012 to Mar 15, 2013
  • Advisory activities · 4 to 2
    Oct 10, 2012 to Mar 15, 2013
  • Employees · unset to 9.0
    Oct 10, 2012 to Mar 15, 2013
  • State-registered IARs · 0 to 4
    Oct 10, 2012 to Mar 15, 2013
  • Discretionary RAUM · $112M to $117M
    Oct 10, 2012 to Mar 15, 2013
  • Non-discretionary RAUM · $6.0M to $2.2M
    Oct 10, 2012 to Mar 15, 2013
  • RAUM · $118M to $119M
    Oct 10, 2012 to Mar 15, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026