CAPRIN ASSET MANAGEMENT LLC

HTTP://WWW.CAPRINBONDS.COM HENRICO, VA Investment Advisor How do I update this listing?

Caprin Asset Management is based out of Henrico. Caprin Asset Management is a large advisory firm with 1032 clients and discretionary assets under management (AUM) of $1,304,006,383 (Form ADV from 2019-05-30). Their last reported 13F filing for Q3 2019 included $130,214,000 in managed 13F securities and a top 10 holdings concentration of 98.86%. Caprin Asset Management's largest holding is VanEck Vectors AMT-Free Intermediate Mun with shares held of 888,385. Caprin Asset Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 16 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $130.214 Million
  • Prior Market Value $129.783 Million
  • New Purchases1 stock
  • Additional Purchases3 stocks
  • Sold out of1 stock
  • Reduced holdings in5 stocks
  • Top 10 Holdings % 98.86 %
  • Turnover % [1]:11.11%
  • Turnover Alt % [2]: 8.67 %
  • Time Held Top20:10.89 quarters
  • Time Held Top10:8.70 quarters
  • Time Held All:11.67 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: -0.46%
Performance Last 4 Quarters: 9.53%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CAPRIN ASSET MANAGEMENT, LLC
1802 BAYBERRY COURT SUITE 202
HENRICO VA    23226
Country: United States

Business Phone: 804-648-3333
Fax: 804-648-6651
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: VA
Number of employees: 11
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 1032
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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CAPRIN ASSET MANAGEMENT LLC

ownership team - last updated 2019-05-30
Name Title Start Date Direct/Indirect % Ownership
PAGE, CHERYL, LYNN MANAGING DIRECTOR 03/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2007-03-01
CAPRIN ASSET MANAGEMENT LLC VICE PRESIDENT direct 2000-04-01 2002-11-19
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2000-04-01 2007-02-21
HORNER, EDWIN, BRYAN ELECTED MANAGER 12/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2002-11-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2002-11-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER direct 2011-12-01
CAPRIN ASSET MANAGEMENT LLC EXECUTIVE MANAGER direct 2011-12-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR & EXECUTIVE MANAGER direct 2011-12-01
PLOTKIN, ADAM, S ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER 03/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER direct 2016-03-01
HOOVER, MICHAEL, LOUIS ELECTED MANAGER AND PRESIDENT 03/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2005-03-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER AND PRESIDENT direct 2007-03-01
CAPRIN ASSET MANAGEMENT LLC PRESIDENT AND EXECUTIVE MANAGER direct 2007-03-01
PARATA ANALYTICS RESEARCH MANAGING DIRECTOR direct 2002-03-01
STUDEBAKER, PEYTON, MILLS MANAGING DIRECTOR 09/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC VICE PRESIDENT direct 2010-01-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2014-09-01

CAPRIN ASSET MANAGEMENT LLC

ownership team - last updated 2019-03-19
Name Title Start Date Direct/Indirect % Ownership
PAGE, CHERYL, LYNN MANAGING DIRECTOR 03/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2007-03-01
CAPRIN ASSET MANAGEMENT LLC VICE PRESIDENT direct 2000-04-01 2002-11-19
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2000-04-01 2007-02-21
HORNER, EDWIN, BRYAN ELECTED MANAGER 12/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2002-11-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2002-11-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER direct 2011-12-01
CAPRIN ASSET MANAGEMENT LLC EXECUTIVE MANAGER direct 2011-12-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR & EXECUTIVE MANAGER direct 2011-12-01
PLOTKIN, ADAM, S ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER 03/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER direct 2016-03-01
HOOVER, MICHAEL, LOUIS ELECTED MANAGER AND PRESIDENT 03/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2005-03-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER AND PRESIDENT direct 2007-03-01
CAPRIN ASSET MANAGEMENT LLC PRESIDENT AND EXECUTIVE MANAGER direct 2007-03-01
PARATA ANALYTICS RESEARCH MANAGING DIRECTOR direct 2002-03-01
STUDEBAKER, PEYTON, MILLS MANAGING DIRECTOR 09/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC VICE PRESIDENT direct 2010-01-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2014-09-01

CAPRIN ASSET MANAGEMENT LLC

ownership team - last updated 2017-05-17
Name Title Start Date Direct/Indirect % Ownership
PAGE, CHERYL, LYNN MANAGING DIRECTOR 03/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2007-03-01
CAPRIN ASSET MANAGEMENT LLC VICE PRESIDENT direct 2000-04-01 2002-11-19
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2000-04-01 2007-02-21
HORNER, EDWIN, BRYAN ELECTED MANAGER 12/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2002-11-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2002-11-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER direct 2011-12-01
CAPRIN ASSET MANAGEMENT LLC EXECUTIVE MANAGER direct 2011-12-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR & EXECUTIVE MANAGER direct 2011-12-01
PLOTKIN, ADAM, S ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER 03/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2004-09-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER AND CHIEF COMPLIANCE OFFICER direct 2016-03-01
HOOVER, MICHAEL, LOUIS ELECTED MANAGER AND PRESIDENT 03/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC MANAGING PARTNER direct 2005-03-01
CAPRIN ASSET MANAGEMENT LLC ELECTED MANAGER AND PRESIDENT direct 2007-03-01
CAPRIN ASSET MANAGEMENT LLC PRESIDENT AND EXECUTIVE MANAGER direct 2007-03-01
PARATA ANALYTICS RESEARCH MANAGING DIRECTOR direct 2002-03-01
STUDEBAKER, PEYTON, MILLS MANAGING DIRECTOR 09/01/2014 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CAPRIN ASSET MANAGEMENT LLC VICE PRESIDENT direct 2010-01-01
CAPRIN ASSET MANAGEMENT LLC MANAGING DIRECTOR direct 2014-09-01

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