INCAPITAL ASSET MANAGEMENT LLC

CRD #157969 SEC #801-72863 CHICAGO, IL 312-379-3786

SEC Registered Disclosures

Total AUM

$407M

Discretionary

Employees

Clients

Accounts

This firm has regulatory disclosures on file. View disclosures

Firm Details

Organization Type: Limited Liability Company
State of Formation: Illinois
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Dec 8, 2015
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
BELKA, THOMAS, JAMES	I	CONTROLLER	NA
BELKA, THOMAS, JAMES	I	CONTROLLER/CFO	NA
BELKA, THOMAS, JAMES	I	CONTROLLER/CFO	NA
BELKA, THOMAS, JAMES	I	CONTROLLER/CFO	NA
BELKA, THOMAS, JAMES	I	CONTROLLER/CFO	NA
BELKA, THOMAS, JAMES	I	CONTROLLER/CFO	NA
BELKA, THOMAS, JAMES	I	CONTROLLER/CFO	NA
BELKA, THOMAS, JAMES	I	CONTROLLER	NA
BELKA, THOMAS, JAMES	I	CONTROLLER	NA
BELKA, THOMAS, JAMES	I	CHIEF FINANCIAL OFFICER	NA	Control
BELKA, THOMAS, JAMES	I	CHIEF FINANCIAL OFFICER	NA
BELKA, THOMAS, JAMES	I	CONTROLLER/CFO	NA
BELKA, THOMAS, JAMES	I	CHIEF FINANCIAL OFFICER	NA	Control
BROWNING, JOHN, T	I	MANAGING DIRECTOR - UNIT INVESTMENT TRUSTS	NA	Control
BROWNING, JOHN, T	I	MANAGING DIRECTOR - UNIT INVESTMENT TRUSTS	NA	Control
BROWNING, JOHN, T	I	MANAGING DIRECTOR - UNIT INVESTMENT TRUSTS	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	CHIEF ADMINISTRATIVE OFFICER AND GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	CHIEF ADMINISTRATIVE OFFICER AND GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	GENERAL COUNSEL	NA	Control
BUSSCHER, ARNOLD, BRADLEY	I	CHIEF ADMINISTRATIVE OFFICER AND GENERAL COUNSEL	NA	Control
DESPREZ, JOHN, DAVID	I	CHIEF EXECUTIVE OFFICER	NA	Control
DESPREZ, JOHN, DAVID	I	CHIEF EXECUTIVE OFFICER	NA	Control
DESPREZ, JOHN, DAVID	I	CHIEF EXECUTIVE OFFICER	NA	Control
GILES, STEPHEN, JAMES	I	MANAGING DIRECTOR - OPERATIONS	NA	Control
GILES, STEPHEN, JAMES	I	MANAGING DIRECTOR - OPERATIONS	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
JOHNSON, PHILLIP, EUGENE	I	PRESIDENT	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
KLERK, BRANDON, LAMBERSON	I	CHIEF COMPLIANCE OFFICER	NA	Control
MCHAFFIE, HUGH, CHARLES	I	MANAGING DIRECTOR - WEALTH MANAGEMENT SOLUTIONS	NA	Control
MCHAFFIE, HUGH, CHARLES	I	MANAGING DIRECTOR - WEALTH MANAGEMENT SOLUTIONS	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
NOVAK, JOSEPH, JOHN	I	CHIEF ADMINISTRATIVE OFFICER	NA	Control
PAPAGIANNIS, JAMES, JOHN	I	CHIEF COMPLIANCE OFFICER	NA	Control
PAPAGIANNIS, JAMES, JOHN	I	CHIEF COMPLIANCE OFFICER	NA	Control
PAPAGIANNIS, JAMES, JOHN	I	CHIEF COMPLIANCE OFFICER	NA	Control
RADTKE, JOHN, SCOTT	I	CHIEF EXECUTIVE OFFICER	NA	Control
RADTKE, JOHN, SCOTT	I	CHIEF EXECUTIVE OFFICER	NA	Control
RADTKE, JOHN, SCOTT	I	CHIEF EXECUTIVE OFFICER	NA	Control
RADTKE, JOHN, SCOTT	I	CHIEF EXECUTIVE OFFICER	NA	Control
RADTKE, JOHN, SCOTT	I	CHIEF EXECUTIVE OFFICER	NA	Control
RADTKE, JOHN, SCOTT	I	CHIEF EXECUTIVE OFFICER	NA	Control
RADTKE, JOHN, SCOTT	I	CHIEF EXECUTIVE OFFICER	NA	Control
TOTH, MELISSA, HOPE	I	MANAGING DIRECTOR - RISK MANAGEMENT	NA	Control
TOTH, MELISSA, HOPE	I	MANAGING DIRECTOR - RISK MANAGEMENT	NA	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control
INCAPITAL HOLDINGS LLC	DE	SOLE MEMEBER; MANAGING MEMBER	E	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS, THOMAS, STUART	I	RICKETTS HOLDINGS, INC.	E	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	D	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	C	Control
RICKETTS HOLDINGS, INC.	DE	INCAPITAL HOLDINGS LLC	C	Control

Registrations

Federal

Dec 8, 2015 REGISTERED

Notice Filings (1)

Address

200 SOUTH WACKER DRIVE
SUITE 3700
CHICAGO, IL 60606
United States

Phone: 312-379-3786