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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:53 AM ET

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Vincent Caputo

Named as an officer, director or promoter on SEC Form D filings · NJ · Aug 14, 2009 → Aug 14, 2009

1deal (issuers)
$186Kreported sold
53investors
1Form D filing
2009year on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Vincent Caputo is listed as an executive officer and director on 1 SEC Form D filing by 1 issuer in Aug 2009: Hotbox Holdings, LLC (Haworth, NJ — industry reported as "Other" — 2009; $186K reported sold to 53 investors).

What this means One deal on file with the SEC, filed Aug 2009. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Brian Neville (1 shared filing), Bryan Sullivan (1 shared filing), Jeff Ciminera (1 shared filing), Patrick Culhane (1 shared filing), Peter Naughton, II (1 shared filing) and 1 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Vincent. Each name links to their own page.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 2 SEC releases, 12 bankruptcy cases matching the name listed in Key records below.

What this means 14 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 1 public filing for Vincent Caputo and found 4 differences, 2 worth asking the sponsor about: 5 bankruptcy cases name the subject or team members; Form D filed 136 days after the first sale; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Vincent Caputo has not run yet — it is joining a line of 62,705 names; searches run around the clock at the hosts' allowed rate. Searched so far: 739 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:19 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

2 SEC releases

Vincent J. Caputo Administrative proceeding
SEC · Sep 18, 2023 · Parties as named in the release: Vincent J. Caputo Read the release ↗
same full name in the release title; the person's filing state is not named
TBG Holdings Corporation, Neil B. Swartz, and Timothy S. Hart, Ted L. Romeo, Vincent J. Caputo, Frank S. Dickerson Litigation release
SEC · Sep 13, 2022 · Parties as named in the release: TBG Holdings Corporation, Neil B. Swartz, and Timothy S. Hart, Ted L. Romeo, Vincent J. Caputo, Frank S. Dickerson Read the release ↗
same full name in the release title; the person's filing state is not named
What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Vincent Caputo..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

12 cases: 12 closed (disposition not in docket feed)

Vincent Caputo closed
United States Bankruptcy Court, E.D. New York · No. 8-20-71954 · Filed Apr 29, 2020 · Closed Jul 29, 2020
Role of Vincent Caputo: Debtor · Outcome: Case closed 2020-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in NY (not a filing state)
Vincent A Caputo and Elizabeth Caputo closed
United States Bankruptcy Court, E.D. New York · No. 8-19-75676 · Filed Aug 14, 2019 · Closed Sep 8, 2020
Role of Vincent A Caputo and Elizabeth Caputo: Debtor · Outcome: Case closed 2020-09-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in NY (not a filing state)
Elizabeth Caputo and Vincent F Caputo closed
United States Bankruptcy Court, D. New Jersey · No. 18-28917 · Filed Sep 24, 2018 · Closed Jun 14, 2019
Role of Vincent F Caputo: Debtor · Outcome: Case closed 2019-06-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in the person's filing state (NJ)
Vincent Caputo closed
United States Bankruptcy Court, D. New Jersey · No. 12-29602 · Filed Aug 7, 2012 · Closed Nov 19, 2012
Role of Vincent Caputo: Debtor · Outcome: Case closed 2012-11-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in the person's filing state (NJ)
Vincent A Caputo closed
United States Bankruptcy Court, N.D. Illinois · No. 09-15138 · Filed Apr 28, 2009 · Closed Aug 20, 2009
Role of Vincent A Caputo: Debtor · Outcome: Case closed 2009-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in IL (not a filing state)
Vincent J Caputo closed
United States Bankruptcy Court, E.D. New York · No. 1-06-40117 · Filed Jan 18, 2006 · Closed May 11, 2009
Role of Vincent J Caputo: Debtor · Outcome: Case closed 2009-05-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in NY (not a filing state)
Vincent Caputo and Teresa Caputo closed
United States Bankruptcy Court, N.D. Illinois · No. 05-05419 · Filed Feb 17, 2005 · Closed Jun 30, 2005
Role of Vincent Caputo and Teresa Caputo: Debtor · Outcome: Case closed 2005-06-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in IL (not a filing state)
Vincent A Caputo closed
United States Bankruptcy Court, N.D. Illinois · No. 01-01939 · Filed Jan 18, 2001 · Closed Apr 24, 2001
Role of Vincent A Caputo: Debtor · Outcome: Case closed 2001-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in IL (not a filing state)
Vincent Caputo closed
United States Bankruptcy Court, E.D. New York · No. 8-98-88407 · Filed Aug 17, 1998 · Closed Dec 21, 1998
Role of Vincent Caputo: Debtor · Outcome: Case closed 1998-12-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in NY (not a filing state)
Vincent E. Caputo and Tomasina Caputo closed
United States Bankruptcy Court, M.D. Florida · No. 8:96-bk-15727 · Filed Nov 15, 1996 · Closed Jul 23, 1999
Role of Vincent E. Caputo and Tomasina Caputo: Debtor · Outcome: Case closed 1999-07-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in FL (not a filing state)
Vincent F. Caputo and Elizabeth Caputo closed
United States Bankruptcy Court, D. New Jersey · No. 90-22498 · Filed Jun 12, 1990 · Closed Apr 19, 1991
Role of Vincent F. Caputo and Elizabeth Caputo: Debtor · Outcome: Case closed 1991-04-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in the person's filing state (NJ)
Vincent D. Caputo and Mary Ann Caputo closed
United States Bankruptcy Court, M.D. Alabama · No. 86-01320 · Filed Jun 12, 1986 · Closed Oct 26, 1987
Role of Vincent D. Caputo and Mary Ann Caputo: Debtor · Outcome: Case closed 1987-10-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); court in AL (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:19 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

4 differences found between the filings for Vincent Caputo — 2 worth asking about (compared 1 filing on Oct 24, 2026)

Worth asking · Jun 12, 1990 – Jun 14, 2019

5 bankruptcy cases name the subject or team members

Bankruptcy case: Elizabeth Caputo and Vincent F Caputo — filed Sep 24, 2018 · Bankruptcy case: Vincent Caputo — filed Aug 7, 2012 · Bankruptcy case: Vincent F. Caputo and Elizabeth Caputo — filed Jun 12, 1990 · Bankruptcy case: Peter Naughton and Lois Naughton — filed Dec 16, 2002 · Bankruptcy case: Capital One Services Inc v. Ciminera — filed Sep 24, 1998

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Note · Aug 14, 2009

Vincent Caputo appears on 1 deal that stopped filing before reaching its target

Hotbox Holdings, LLC (last filing Aug 14, 2009; $186,200 sold of $950,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Sources
Worth asking · Mar 31, 2009 – Aug 14, 2009

Form D filed 136 days after the first sale — Hotbox Holdings, LLC

The filing says the first sale was Mar 31, 2009. The Form D was filed Aug 14, 2009 — 136 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 121 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Sources
Note · Mar 31, 2009 – Aug 14, 2009

No amendment in the last 12 months on an offering that may still be open — Hotbox Holdings, LLC (latest filing Aug 14, 2009)

The latest filing for this offering is dated Aug 14, 2009 (first sale Mar 31, 2009). It reports $186,200 sold of $950,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 14, 2009 D
Hotbox Holdings, LLC
File 021-133654
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 1

Every issuer that named Vincent Caputo on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Other

Hotbox Holdings, LLC

Haworth, NJ · Aug 14, 2009
  • Aug 14, 2009 · D · $186,200 sold of $950,000 · 53 investors · min. $760 · role: Executive Officer, Director (Chief Performance Officer and Managing Board Member) EDGAR ↗

Raised $186K from 53 investors (20% of the $950K target) as of the latest filing. Vincent is listed as executive officer, director.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

People around Vincent 6

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

PN
No photo found yet (own website and image search run after this page is viewed)
Person

Peter Naughton, II

Director · 1 shared filing (1 issuer)

Listed on the same filings as Vincent Caputo. Their page shows their other deals.

BS
No photo found yet (own website and image search run after this page is viewed)
Person

Bryan Sullivan

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Vincent Caputo. Their page shows their other deals.

PC
No photo found yet (own website and image search run after this page is viewed)
Person

Patrick Culhane

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Vincent Caputo. Their page shows their other deals.

JC
No photo found yet (own website and image search run after this page is viewed)
Person

Jeff Ciminera

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Vincent Caputo. Their page shows their other deals.

TB
No photo found yet (own website and image search run after this page is viewed)
Person

Tarek Bahou

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Vincent Caputo. Their page shows their other deals.

BN
No photo found yet (own website and image search run after this page is viewed)
Person

Brian Neville

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Vincent Caputo. Their page shows their other deals.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Vincent Caputo by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Vincent Caputo is listed on: none on file. No website or social profile named in Hotbox Holdings, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #368,799 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Haworth, NJ). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

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Members get an email when Vincent Caputo appears on a new Form D, or when a court case or SEC action is matched to them. See plans →