KecaLP Inc. (Chicago)

KecaLP Inc. is a mid-sized advisory firm based in Chicago. It manages $71.02 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2001.

Keca provides selection of other advisers and portfolio management for employees' securities companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Keca: assets under management

The assets under management (AUM) of KecaLP Inc. is $71.02 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -89% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $71.02 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $23.67 million each.

Keca has custody of $71.02 million in cash and securities for 3 clients in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay KecaLP Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at KecaLP Inc.

George Assaf Bitar has been acting as President since 1 Sep 2002. Nb Holdings Corporation joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Laundon Steffens	Chairman director	1 Jun 1981	Other	434535
Inc. Merrill Lynch Group	Sole stockholder	1 Oct 1981	75% - 100%	13-3408205
Andrew Joseph Melnick	Vice president director	1 Jun 1992	Other	331652
Rosemary T Berkery	Vice president director	1 May 1993	Other	4348210
Robert F Tully	Vice president director	1 Oct 1994	Other	4348225
James Caruso	Vice president director	1 Jun 1995	Other	4348212
Matthias Boerner Bowman	President director	1 May 1997	Other	805099
Mark B Goldfus	Vice president director	1 May 1997	Other	4348218
Mary Elizabeth Taylor	Vice president director	1 Feb 1998	Other	2594854
Margret T Monaco	Coo/vp assistant secretary	1 Apr 1998	Other	4348227
Edward Joseph Higgins	Vice president	1 Nov 1998	Other	858403
Lynne Elizabeth Wertz	Director, executive vice president	1 Jun 2000	Other	2621353
Inc. Merrill Lynch Group	Shareholder of relying adviser	1 Oct 2000	75% - 100%	13-3408205
Alain Marcel Lebec	Vice president, director	1 Dec 2001	Other	815347
Laurence Dobosh	Vice president-director	1 Feb 2002	Other	4541281
George Assaf Bitar	Director	1 Sep 2002	Other	1604489
Mandakini Puri	Director	1 Sep 2002	Other	1574737
Nathan Comstock Thorne	Director	1 Sep 2002	Other	2232232
Eileen M Porter	Chief compliance officer	1 Oct 2004	Other	4940631
Steven Francis Codispoti	Board of director, vice president and assistant treasurer of relying adviser	1 Apr 2005	Other	5856091
Frank J. Marinaro	Vice president, secretary, director	1 Aug 2005	Other	4349020
Jeffrey A Meshberg	Vice president, treasurer, director	1 Aug 2005	Other	5122525
William Gerard Hauk	Vice president, director	1 Aug 2005	Other	2361870
Kevin Karl Albert	Director	1 Aug 2005	Other	2394872
Raymond Lai Mun Wong	Director	1 Aug 2005	Other	2820743
Jefferson Earl Hughes	Director	1 Aug 2005	Other	252582
Jerome Paul Kenney	Director	1 Aug 2005	Other	267982
Fariborz Ehsani	Director	1 Aug 2005	Other	1414156
H. Mcintyre Gardner	Director	1 Aug 2005	Other	1211200
Julie Dyan Bauch	Director	1 Sep 2007	Other	2783230
Kenneth Paul Martin	Chief compliance officer	1 Nov 2007	Other	2715176
William Woo	Secretary	1 Feb 2009	Other	5101159
John Travis Hain	Director, president	1 May 2009	Other	5672060
Walker Lynch Poole	Director	1 May 2009	Other	2320640
John Aubrey Shimp	Director	1 May 2009	Other	5672061
Douglas Patrick Madden	Chief compliance officer	1 May 2009	Other	2612224
James Dean Forbes	President	1 May 2010	Other	1652686
Christopher John Birosak	Executive vice president, director	1 May 2010	Other	1836235
Brian James Gorczynski	Executive vice president, director	1 May 2010	Other	2524849
Angel Luis Morales	Executive vice president, director	1 May 2010	Other	2372782
Jeffrey A Meshberg	Vice president, treasurer	1 May 2010	Other	5122525
William Woo	Secretary, director	1 May 2010	Other	5101159
Steven F Codispoti	Director	1 May 2010	Other	5856091
Jeffrey Andrew Meshberg	Vice president, treasurer	1 May 2010	Other	5122525
Steven Francis Codispoti	Director, vice president	1 May 2010	Other	5856091
Raymond Lai Mun Wong	Board of director of relying adviser	1 May 2010	Other	2820743
Jefferson Earl Hughes	Board of director of relying adviser	1 May 2010	Other	252582
Jerome Paul Kenney	Board of director of relying adviser	1 May 2010	Other	267982
Kevin Karl Albert	Board of director of relying adviser	1 May 2010	Other	2394872
Brian Crehan Barrett	Vice president of relying adviser	1 May 2010	Other	2679995
Gerald Adam Francese	Senior vice president & chief compliance officer	1 Jul 2010	Other	5837644
Gerald Adam Francese	Senior vice president & chief compliance officer	1 Aug 2010	Other	5837644
William Woo	Vice president, director	1 Nov 2010	Other	5101159
Margaret E Nelson	Vice president, secretary	1 Nov 2010	Other	5878314
Margaret Else Nelson	Vice president, secretary	1 Nov 2010	Other	5878314
Jeffrey Andrew Meshberg	Vice president, treasurer & director	1 May 2011	Other	5122525
Brian Crehan Barrett	Vice president	1 May 2011	Other	2679995
Jeffrey Michael Atkins	Director, executive vice president	1 Jun 2011	Other	2586820
Ryan James Epstein	Director, executive vice president	1 Jun 2011	Other	5177445
Lynne Elizabeth Wertz	Director, executive vice president	1 Jun 2011	Other	2621353
Debra Ingraham Cho	Chief compliance officer, vice president	1 Dec 2011	Other	4895981
Ileana Cheryl Stone	Secretary	1 Apr 2012	Other	6052235
Keith Robert Lehr	Chief compliance officer of registrant and relying advisor	1 Apr 2012	Other	2742318
David Mitchel Belk	Board of director of registrant	1 Apr 2012	Other	6024966
Martin John Mcinerney	Board of director, vice president and treasurer of registrant	1 Apr 2012	Other	5932155
Thomas Mann Brantley	Senior vice president of tax	1 Oct 2012	Other	6022106
Alec Weller Barrett Petty	Director, and executive vp	1 Oct 2012	Other	4264995
Rima Simson	Vice president and treasurer of registrant	1 Apr 2013	Other	4975232
Rima Gupta Simson	Vice president and treasurer of registrant	1 Apr 2013	Other	4975232
William L Mcnairy	Senior vice president of tax for the registrant	1 May 2013	Other	6199236
Joseph Salvatore Valenti	Board of director of registrant	1 May 2013	Other	5932733
Michael Debellis	Assistant treasurer for the registrant and the relying advisor	1 Jul 2013	Other	6249723
Michael (Nmn) Debellis	Assistant treasurer for the registrant and the relying advisor	1 Jul 2013	Other	6249723
Gregory Vincent Costigan	Chief compliance officer of registrant	1 Aug 2013	Other	6005166
Joseph Salvatore Valenti	Vice president for the registrant and the relying adviser	1 Sep 2013	Other	5932733
Merrill Lynch International Incorporated	Sole stockholder of registrant	1 Oct 2013	75% - 100%	13-2859641

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Merrill Lynch & Co.	Sole stockholder	1 Oct 1981	75% - 100%	13-2740599
Inc. Merrill Lynch & Co.	Shareholder	1 Oct 1981	75% - 100%	13-2740599
Bank Of America Corporation	Shareholder	1 Oct 1998	75% - 100%	56-0906609
Bank Of America Corporation	Shareholder	1 Jan 2009	75% - 100%	56-0906609
Nb Holdings Corporation	Shareholder	1 Oct 2013	75% - 100%	56-1857749

Based in Chicago

The principal office where KecaLP Inc. performs its advisory services is located at 135 South Lasalle Street, Chicago, IL 60603, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-992-4920 or by fax 312-904-0937. The normal business hours are 9am -5pm on Monday - Friday.