INCEPTION CAPITAL MANAGEMENT, LLC
Legal name: EXCELCIA FINANCIAL GROUP, LTD.
CRD #154278 SEC #801-71617 SAN JOSE, CA 408-261-3300
SEC Registered
Total AUM
$28.9M
Discretionary
$28.9M
Employees
5
Clients
0
Accounts
281
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 24, 2011
- 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 |
|---|---|---|---|---|
| HAN, JOHN, QUOC | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HAN, JOHN, QUOC | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOWIE, ERIC, CARLIN | I | MANAGING MEMBER | E | Control |
| HOWIE, ERIC, CARLIN | I | MANAGING MEMBER | E | Control |
| HOWIE, ERIC, CARLIN | I | MANAGING MEMBER | E | Control |
| HOWIE, ERIC, CARLIN | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
| HOWIE, ERIC, CARLIN | I | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | Control |
| HOWIE, ALEXI, SARAH JANE | I | MANAGING MEMBER | C | Control |
| HOWIE, ALEXI, SARAH JANE | I | MANAGING MEMBER | C | Control |
| HOWIE, ERIC, CARLIN | I | MANAGING MEMBER | C | Control |
| HOWIE, ERIC, CARLIN | I | MANAGING MEMBER | C | Control |
| LIN, ROCKY | I | MANAGING MEMBER/PRESIDENT | B | Control |
| LIN, ROCKY | I | MANAGING MEMBER | B | Control |
| LIN, ROCKY | I | MANAGING MEMBER/PRESIDENT | B | Control |
| LIN, ROCKY | I | MANAGING MEMBER/PRESIDENT | B | Control |
| HAN, JOHN, QUOC | I | CHIEF COMPLIANCE OFFICER | A | Control |
| HAN, JOHN, QUOC | I | CHIEF COMPLIANCE OFFICER | A | Control |
| HAN, JOHN, QUOC | I | CHIEF COMPLIANCE OFFICER | A | Control |
Registrations
Federal
IA
Feb 24, 2011 REGISTERED
Notice Filings (1)
CA
Address
99 S. ALMADEN BLVD.SUITE #880
SAN JOSE, CA 95113
United States
Phone: 408-261-3300