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.

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