HOTCHKISS ASSOCIATES LLC
CRD #114048 SEC #801-60440 CHICAGO, IL 312-368-4633
SEC Registered
Total AUM
$524.1M
Discretionary
$137.7M
Employees
10
Clients
0
Accounts
87
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BRETHAUER, KAREN, LOU | I | MANAGING DIRECTOR | NA | |
| BRETHAUER, KAREN, LOU | I | MANAGING DIRECTOR | NA | |
| BRETHAUER, KAREN, LOU | I | MANAGING DIRECTOR | NA | |
| CREGAN, JOHN, FRANCIS | I | MANAGING DIRECTOR; CLASS A NON-VOTING MEMBERSHIP INTEREST | NA | Control |
| CREGAN, JOHN, FRANCIS | I | MANAGING DIRECTOR; CLASS A NON-VOTING MEMBERSHIP INTEREST | NA | Control |
| CREGAN, JOHN, FRANCIS | I | MANAGING DIRECTOR; CLASS A NON-VOTING MEMBERSHIP INTEREST | NA | Control |
| DURAN, JOSEPH, JOHN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOTCHKISS, JAMES, KENNAN | I | DIRECTOR | NA | Control |
| HOTCHKISS, JAMES, KENNAN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HOTCHKISS, JAMES, KENNAN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HOTCHKISS, JAMES, KENNAN | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MARRINGA, JAKOB, WILLIAM | I | MANAGING DIRECTOR | NA | |
| MARRINGA, JAKOB, WILLIAM | I | MANAGING DIRECTOR | NA | |
| MARRINGA, JAKOB, WILLIAM | I | MANAGING DIRECTOR | NA | |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER, DIRECTOR | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY/SENIOR VICE PRESIDENT - ENTERPRISE RISK MANAGEMENT | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY/SENIOR VICE PRESIDENT - ENTERPRISE RISK MANAGEMENT | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY/SENIOR VICE PRESIDENT - ENTERPRISE RISK MANAGEMENT | NA | Control |
| UNITED CAPITAL FINANCIAL ADVISERS, INC. | DE | SOLE VOTING INTEREST HOLDER | E | Control |
| UNITED CAPITAL FINANCIAL ADVISERS, INC. | DE | SOLE VOTING INTEREST HOLDER | E | Control |
| UNITED CAPITAL FINANCIAL ADVISERS, LLC | DE | SOLE VOTING INTEREST HOLDER | E | Control |
| CREGAN, JOHN, FRANCIS | I | PRESIDENT AND DIRECTOR; CHIEF COMPLIANCE OFFICER; CLASS C INTERESTHOLDER | C | Control |
| CREGAN, JOHN, FRANCIS | I | PRESIDENT AND DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| CREGAN, JOHN, FRANCIS | I | PRESIDENT AND DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| CREGAN, JOHN, FRANCIS | I | PRESIDENT AND DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| STUART, ALEXANDER, DOUGLAS | I | DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| STUART, ALEXANDER, DOUGLAS | I | DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| STUART, ALEXANDER, DOUGLAS | I | DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| STUART, ALEXANDER, DOUGLAS | I | DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| STUART, ALEXANDER, DOUGLAS | I | DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| STUART, ALEXANDER, DOUGLAS | I | DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| STUART, ALEXANDER, DOUGLAS | I | DIRECTOR; CLASS C INTERESTHOLDER | C | Control |
| BRETHAUER, KAREN, LOU | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| BRETHAUER, KAREN, LOU | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| BRETHAUER, KAREN, LOU | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| BRETHAUER, KAREN, LOU | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| BRETHAUER, KAREN, LOU | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| BRETHAUER, KAREN, LOU | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| BRETHAUER, KAREN, LOU | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| CREGAN, JOHN, FRANCIS | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER; CLASS C INTERESTHOLDER | B | Control |
| CREGAN, JOHN, FRANCIS | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER; CLASS C INTERESTHOLDER | B | Control |
| CREGAN, JOHN, FRANCIS | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER; CLASS C INTERESTHOLDER | B | Control |
| HOTCHKISS, JAMES, KENNAN | I | FOUNDER; CLASS C INTERESTHOLDER | B | |
| HOTCHKISS, JAMES, KENNAN | I | FOUNDER; CLASS C INTERESTHOLDER | B | |
| HOTCHKISS, JAMES, KENNAN | I | FOUNDER; CLASS C INTERESTHOLDER | B | |
| MARRINGA, JAKOB, WILLIAM | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MARRINGA, JAKOB, WILLIAM | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MARRINGA, JAKOB, WILLIAM | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MARRINGA, JAKOB, WILLIAM | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MERKLE, ROBERT, JOHN | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MERKLE, ROBERT, JOHN | I | DIRECTOR; CLASS B INTERESTHOLDER | B | Control |
| MERKLE, ROBERT, JOHN | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MERKLE, ROBERT, JOHN | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MERKLE, ROBERT, JOHN | I | DIRECTOR; CLASS B INTERESTHOLDER | B | Control |
| MERKLE, ROBERT, JOHN | I | DIRECTOR; CLASS B INTERESTHOLDER | B | Control |
| MERKLE, ROBERT, JOHN | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | B | |
| MERRITT, JOHN, BABSON | I | DIRECTOR; CLASS B AND C INTERESTHOLDER | B | Control |
| MERRITT, JOHN, BABSON | I | DIRECTOR; CLASS B AND C INTERESTHOLDER | B | Control |
| MERRITT, JOHN, BABSON | I | DIRECTOR AND VICE PRESIDENT; CLASS B AND C INTERESTHOLDER | B | Control |
| MERRITT, JOHN, BABSON | I | DIRECTOR; CLASS B AND C INTERESTHOLDER | B | Control |
| MERRITT, JOHN, BABSON | I | DIRECTOR; CLASS B AND C INTERESTHOLDER | B | Control |
| MERRITT, JOHN, BABSON | I | DIRECTOR; CLASS B AND C INTERESTHOLDER | B | Control |
| MERRITT, JOHN, BABSON | I | DIRECTOR AND VICE PRESIDENT; CLASS B AND C INTERESTHOLDER | B | Control |
| LIEBMAN, MARC, ALLAN | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | A | |
| LIEBMAN, MARC, ALLAN | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | A | |
| LIEBMAN, MARC, ALLAN | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | A | |
| MARRINGA, JAKOB, WILLIAM | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | A | |
| MARRINGA, JAKOB, WILLIAM | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | A | |
| MARRINGA, JAKOB, WILLIAM | I | VICE PRESIDENT; CLASS B INTERESTHOLDER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| UNITED CAPITAL FINANCIAL PARTNERS | DE | SOLE SHAREHOLDER OF UNITED CAPITAL FINANCIAL ADVISERS, INC. | E | |
| UNITED CAPITAL FINANCIAL PARTNERS | DE | SOLE SHAREHOLDER OF UNITED CAPITAL FINANCIAL ADVISERS, INC. | E | |
| UNITED CAPITAL FINANCIAL PARTNERS | DE | SOLE SHAREHOLDER OF UNITED CAPITAL FINANCIAL ADVISERS, INC. | E |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (6)
CA FL IL OK TX WI
Address
303 W. MADISON STREET - SUITE 1050CHICAGO, IL 60606-3387
United States
Phone: 312-368-4633