Incapital Asset Management LLC (Chicago)

Incapital Asset Management LLC is an investment adviser to an investment company based in Chicago. It manages $690.08 million of regulatory assets for 68 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of Illinois.

Incapital Asset Management provides portfolio management for investment 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.

Incapital Asset Management: assets under management

The assets under management (AUM) of Incapital Asset Management LLC is $690.08 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Incapital Asset Management LLC for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Incapital Asset Management LLC

Phillip Eugene Johnson has been acting as President since 1 May 2011. Thomas James Belka joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Incapital Holdings Llc	Sole memeber; managing member	1 Apr 2011	75% - 100%	36-4366344
Phillip Eugene Johnson	President	1 May 2011	Other	2491084
Brandon Lamberson Klerk	Chief compliance officer	1 May 2011	Other	3238439
Joseph John Novak	Chief administrative officer	1 May 2011	Other	1061595
Arnold Bradley Busscher	General counsel	1 May 2011	Other	2213934
Thomas James Belka	Controller/cfo	1 May 2011	Other	2974998
John Scott Radtke	Chief executive officer	1 May 2011	Other	1381391
Steven J Hartman	Managing director	1 May 2011	Other	5899705
John T Browning	Managing director - unit investment trusts	1 Nov 2011	Other	2175608
John David Desprez	Chief executive officer	1 Jan 2015	Other	2242982
Hugh Charles Mchaffie	Managing director - wealth management solutions	1 May 2015	Other	4752695
Stephen James Giles	Managing director - operations	1 Sep 2015	Other	1850939
James John Papagiannis	Chief compliance officer	1 Oct 2015	Other	2449960
Melissa Hope Toth	Managing director - risk management	1 Oct 2015	Other	1542518
Thomas James Belka	Chief financial officer	1 Jan 2016	Other	2974998

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Ricketts Holdings	Shareholder	1 Feb 2000	50% - 75%	20-0133519
Thomas Stuart Ricketts	Shareholder	1 Jul 2003	75% - 100%	2377457

Based in Chicago

The principal office where Incapital Asset Management LLC performs its advisory services is located at 200 South Wacker Drive, Chicago, IL 60606, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-379-3700 or by fax 312-379-3701. The normal business hours are 8:30 am - 4:30 pm on Monday - Friday.