CLARAPHI ADVISORY NETWORK, LLC

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Claraphi Advisory Network is based out of Aliso Viejo. Claraphi Advisory Network is a large advisory firm with 2277 clients and discretionary assets under management (AUM) of $382,753,044 (Form ADV from 2017-05-01). Their last reported 13F filing for Q3 2019 included $165,074,000 in managed 13F securities and a top 10 holdings concentration of 35.52%. Claraphi Advisory Network's largest holding is ARK Innovation ETF with shares held of 277,197. Whalewisdom has at least 8 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $165.074 Million
  • Prior Market Value $170.519 Million
  • New Purchases206 stocks
  • Additional Purchases82 stocks
  • Sold out of36 stocks
  • Reduced holdings in117 stocks
  • Top 10 Holdings % 35.52 %
  • Turnover % [1]:58.88%
  • Turnover Alt % [2]: 29.74 %
  • Time Held Top20:3.25 quarters
  • Time Held Top10:1.50 quarters
  • Time Held All:2.69 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 8.13%
Performance Last 4 Quarters: 15.11%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CLARAPHI ADVISORY NETWORK, LLC
25401 CABOT ROAD SUITE 214
LAGUNA HILLS CA    92653
Country: United States

Business Phone: 949-215-0025
Fax: 949-623-9852
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WA
Number of employees: 35
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 925,597
Total Number of Clients: 2277
Amount of client funds and securities by related persons: 965,584
Total Number of clients from related persons: 3
Disclosures: 11.A (2)
Data above was derived from SEC filings.

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CLARAPHI ADVISORY NETWORK, LLC

ownership team - last updated 2019-09-23
Name Title Start Date Direct/Indirect % Ownership
ROTH, MARK, DAVID PRESIDENT 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
CLARAPHI CAPITAL, LLC MEMBER 11/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER direct 2012-11-01
NASR, SEYYED VALIALLAH CHIEF EXECUTIVE OFFICER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27
TANG, ANDREW EXECUTIVE VICE PRESIDENT 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2002-12-01
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2004-12-01
CLARAPHI ADVISORY NETWORK, LLC EXECUTIVE VICE PRESIDENT direct 2013-08-01
GUINAN, ROXANNA, MARIE SENIOR VP BUSINESS DEVELOPMENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC SENIOR VP BUSINESS DEVELOPMENT direct 2016-02-01
KLAASSEN, SCOTT, ALLEN CHIEF OPERATIONS OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC CHIEF OPERATIONS OFFICER direct 2017-03-01
MALONEY, MAUREEN, MELODEE CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED SECURITIES CORP. SVP/CHIEF COMPLIANCE OFFICER direct 2005-07-01
ASSOCIATED SECURITIES CORP. CHIEF COMPLIANCE OFFICER direct 2005-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF COMPLIANCE OFFICER direct 2004-06-01
ROTH, MARK, DAVID MEMBER, MANAGER CLARAPHI CAPITAL, LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
MDR HOLDINGS, LLC OWNER CLARAPHI CAPITAL, LLC 02/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC OWNER indirect 2013-02-01
ROTH, MARK, DAVID MANAGER; MEMBER MDR HOLDINGS, LLC 02/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
NASR, SEYYED VALIALLAH MEMBER, MANAGER CLARAPHI CAPITAL LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27

CLARAPHI ADVISORY NETWORK, LLC

ownership team - last updated 2019-05-28
Name Title Start Date Direct/Indirect % Ownership
ROTH, MARK, DAVID PRESIDENT 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
CLARAPHI CAPITAL, LLC MEMBER 11/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER direct 2012-11-01
NASR, SEYYED VALIALLAH CHIEF EXECUTIVE OFFICER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27
TANG, ANDREW EXECUTIVE VICE PRESIDENT 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2002-12-01
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2004-12-01
CLARAPHI ADVISORY NETWORK, LLC EXECUTIVE VICE PRESIDENT direct 2013-08-01
GUINAN, ROXANNA, MARIE SENIOR VP BUSINESS DEVELOPMENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC SENIOR VP BUSINESS DEVELOPMENT direct 2016-02-01
KLAASSEN, SCOTT, ALLEN CHIEF OPERATIONS OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC CHIEF OPERATIONS OFFICER direct 2017-03-01
MALONEY, MAUREEN, MELODEE CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASSOCIATED SECURITIES CORP. SVP/CHIEF COMPLIANCE OFFICER direct 2005-07-01
ASSOCIATED SECURITIES CORP. CHIEF COMPLIANCE OFFICER direct 2005-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF COMPLIANCE OFFICER direct 2004-06-01
ROTH, MARK, DAVID MEMBER, MANAGER CLARAPHI CAPITAL, LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
MDR HOLDINGS, LLC OWNER CLARAPHI CAPITAL, LLC 02/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC OWNER indirect 2013-02-01
ROTH, MARK, DAVID MANAGER; MEMBER MDR HOLDINGS, LLC 02/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
NASR, SEYYED VALIALLAH MEMBER, MANAGER CLARAPHI CAPITAL LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27

CLARAPHI ADVISORY NETWORK, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
ROTH, MARK, DAVID PRESIDENT, CCO 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
CLARAPHI CAPITAL, LLC MEMBER 11/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER direct 2012-11-01
NASR, SEYYED VALIALLAH CHIEF EXECUTIVE OFFICER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27
TANG, ANDREW EXECUTIVE VICE PRESIDENT 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2002-12-01
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2004-12-01
CLARAPHI ADVISORY NETWORK, LLC EXECUTIVE VICE PRESIDENT direct 2013-08-01
GUINAN, ROXANNA, MARIE SENIOR VP BUSINESS DEVELOPMENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC SENIOR VP BUSINESS DEVELOPMENT direct 2016-02-01
KLAASSEN, SCOTT, ALLEN CHIEF OPERATIONS OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC CHIEF OPERATIONS OFFICER direct 2017-03-01
ROTH, MARK, DAVID MANAGER; MEMBER MDR HOLDINGS, LLC 02/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
ROTH, MARK, DAVID MEMBER, MANAGER CLARAPHI CAPITAL, LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
MDR HOLDINGS, LLC OWNER CLARAPHI CAPITAL, LLC 02/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC OWNER indirect 2013-02-01
NASR, SEYYED VALIALLAH MEMBER, MANAGER CLARAPHI CAPITAL LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27

CLARAPHI ADVISORY NETWORK, LLC

ownership team - last updated 2018-04-30
Name Title Start Date Direct/Indirect % Ownership
ROTH, MARK, DAVID PRESIDENT, CCO 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
CLARAPHI CAPITAL, LLC MEMBER 11/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER direct 2012-11-01
NASR, SEYYED VALIALLAH CHIEF EXECUTIVE OFFICER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27
TANG, ANDREW EXECUTIVE VICE PRESIDENT 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2002-12-01
NATIONAL ASSET MANAGEMENT, INC. TREASURER direct 2004-12-01
CLARAPHI ADVISORY NETWORK, LLC EXECUTIVE VICE PRESIDENT direct 2013-08-01
GUINAN, ROXANNA, MARIE SENIOR VP BUSINESS DEVELOPMENT 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC SENIOR VP BUSINESS DEVELOPMENT direct 2016-02-01
KLAASSEN, SCOTT, ALLEN CHIEF OPERATIONS OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC CHIEF OPERATIONS OFFICER direct 2017-03-01
ROTH, MARK, DAVID MEMBER, MANAGER CLARAPHI CAPITAL, LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
MDR HOLDINGS, LLC OWNER CLARAPHI CAPITAL, LLC 02/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC OWNER indirect 2013-02-01
ROTH, MARK, DAVID MANAGER; MEMBER MDR HOLDINGS, LLC 02/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT, INC. SECRETARY, DIRECTOR direct 2008-03-01
INVESTMENT CONSULTING GROUP, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2006-05-01
ETESIAN WEALTH ADVISORS, LLC OWNER,CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC PRESIDENT, CCO direct 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC MANAGER; MEMBER indirect 2013-02-01
NASR, SEYYED VALIALLAH MEMBER, MANAGER CLARAPHI CAPITAL LLC 10/01/2012 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
CLARAPHI ADVISORY NETWORK, LLC MEMBER, MANAGER indirect 2012-10-01
CLARAPHI ADVISORY NETWORK, LLC CHIEF EXECUTIVE OFFICER direct 2013-04-01
ORBITEX MANAGEMENT INC CHIEF FINANCIAL OFFICER direct 1999-08-01 2002-03-28
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER direct 2008-03-01 2009-07-30
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR direct 2008-03-01 2011-08-15
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, TREASURER, AND DIRECTOR direct 2008-03-01 2012-08-17
NATIONAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR direct 2012-08-01 2013-02-27

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