CLEARARC CAPITAL INC

CINCINNATI, OH Investment Advisor How do I update this listing?

Also known as:

  • FIFTH THIRD ASSET MANAGEMENT INC

Cleararc Capital is based out of Cincinnati. Cleararc Capital is a large advisory firm with 74 clients and discretionary assets under management (AUM) of $3,891,452,305 (Form ADV from 2018-12-01). Their last reported 13F filing for Q1 2019 included $366,900,000 in managed 13F securities and a top 10 holdings concentration of 22.72%. Cleararc Capital's largest holding is Microsoft Corp. with shares held of 128,514. Cleararc Capital has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 65 13F filings

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62

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $371.929 Million
  • Prior Market Value $334.09 Million
  • New Purchases33 stocks
  • Additional Purchases17 stocks
  • Sold out of5 stocks
  • Reduced holdings in319 stocks
  • Top 10 Holdings % 22.41 %
  • Turnover % [1]:10.24%
  • Turnover Alt % [2]: 3.58 %
  • Time Held Top20:12.26 quarters
  • Time Held Top10:12.80 quarters
  • Time Held All:30.47 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 2019-05-15

Performance for Q1 2019: 5.04%
Performance Last 4 Quarters: 9.49%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2019-03-31 - 13F-HR/A (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/A (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
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  • 2010-12-31 - 13F-HR (Subscription required)
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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Fifth Third Bancorp
Fifth Third Bank

View Last Form Adv Compilation Report on Record

CLEARARC CAPITAL, INC.
Classified as Hedge Fund
580 WALNUT STREET SIXTH FLOOR
CINCINNATI OH    45263
Country: United States

Business Phone: 855-362-2227
Fax: 513-534-0122
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: OH
Number of employees: 12
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 36,984,500
Total Number of Clients: 74
Amount of client funds and securities by related persons: 2,818,590,000
Total Number of clients from related persons: 54
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2)
Data above was derived from SEC filings.

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CLEARARC CAPITAL, INC.

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
FIFTH THIRD BANK, AN OHIO BANKING CORPORATION SHAREHOLDER 01/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. OWNER direct 1998-06-01
FIFTH THIRD/MAXUS ASSET MANAGEMENT SHAREHOLDER direct 2001-01-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER direct 2017-04-01
HEDGER, STEPHEN, SHAWN DIRECTOR OF TRADING AND INVESTMENT OPERATIONS 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR, TRADING AND INVESTMENT OPERATIONS direct 2003-07-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF OPERATIONS OFFICER; MEMBER INVESTMENT COMMITTEE direct 2001-04-01 2004-12-03
FIFTH THIRD/MAXUS ASSET MANAGEMENT MEMBER INVESTMENT COMMITTEE direct 2001-04-01 2005-03-31
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, TRADING & INVESTMENT OPERATIONS direct 2001-04-01 2005-08-25
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, TRADING AND INVESTMENT OPERATIONS direct 2003-07-01 2014-01-03
HULLS, DIANE, JEAN CHIEF COMPLIANCE OFFICER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MAINSTREAM INVESTMENT ADVISERS LLC DIRECTOR (CHIEF COMPLIANCE OFFICER) direct 1997-07-01
CLEARARC CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2014-03-01
THE RETIREMENT CORPORATION OF AMERICA CHIEF COMPLIANCE OFFICER direct 2017-06-01
MAINSTREAM INVESTMENT ADVISERS LLC DIRECTOR direct 1997-07-01 2005-01-20
BANKS, ROBERT, PRESLEY DIRECTOR OF RELATIONSHIP MANAGEMENT 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR, RELATIONSHIP MANAGEMENT direct 2014-12-01
COOGAN, GERALD, BRADY DIRECTOR 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2017-12-01
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2017-12-01
FRANKLIN STREET ADVISORS, INC. DIRECTOR direct 2018-11-01
LAMB, BRIAN, DARYL DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR direct 2018-03-01
KENNEDY, MICHAEL, FRANCIS DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2018-08-01
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2018-08-01
FRANKLIN STREET ADVISORS, INC. DIRECTOR direct 2018-11-01
REYNOLDS, JONATHAN, WILLIAM PRESIDENT AND CHIEF INVESTMENT OFFICER; DIRECTOR 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2017-04-01
CAHN, JAMES, DAVID DIRECTOR 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2019-01-01
FIFTH THIRD FINANCIAL CORPORATION SHAREHOLDER FIFTH THIRD BANK 01/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC SHAREHOLDER indirect 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
FIFTH THIRD BANCORP SHAREHOLDER FIFTH THIRD FINANCIAL CORPORATION 01/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
GELFAND MAXUS ASSET MANAGEMENT INC PARENT COMPANY direct 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
MAXUS ASSET MANAGEMENT INC. PARENT COMPANY direct 2001-01-01 2001-04-20
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 1997-11-01 2002-05-02

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
STONEROAD STRATEGIC INCOME PLUS SRI INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-8110838418 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 4,663,053 5,000,000
STONEROAD CORE PLUS FIXED INCOME SRI INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-2884585916 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 3,399,754 100,000
STONEROAD CORE PLUS FIXED INCOME INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-9426519967 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 11,275,104 5,000,000
STONEROAD STRATEGIC INCOME PLUS INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-6194425506 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 17,646,597 5,000,000

CLEARARC CAPITAL, INC.

ownership team - last updated 2018-12-21
Name Title Start Date Direct/Indirect % Ownership
FIFTH THIRD BANK, AN OHIO BANKING CORPORATION SHAREHOLDER 01/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. OWNER direct 1998-06-01
FIFTH THIRD/MAXUS ASSET MANAGEMENT SHAREHOLDER direct 2001-01-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER direct 2017-04-01
HEDGER, STEPHEN, SHAWN DIRECTOR OF TRADING AND INVESTMENT OPERATIONS 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR, TRADING AND INVESTMENT OPERATIONS direct 2003-07-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF OPERATIONS OFFICER; MEMBER INVESTMENT COMMITTEE direct 2001-04-01 2004-12-03
FIFTH THIRD/MAXUS ASSET MANAGEMENT MEMBER INVESTMENT COMMITTEE direct 2001-04-01 2005-03-31
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, TRADING & INVESTMENT OPERATIONS direct 2001-04-01 2005-08-25
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, TRADING AND INVESTMENT OPERATIONS direct 2003-07-01 2014-01-03
HULLS, DIANE, JEAN CHIEF COMPLIANCE OFFICER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MAINSTREAM INVESTMENT ADVISERS LLC DIRECTOR (CHIEF COMPLIANCE OFFICER) direct 1997-07-01
CLEARARC CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2014-03-01
THE RETIREMENT CORPORATION OF AMERICA CHIEF COMPLIANCE OFFICER direct 2017-06-01
MAINSTREAM INVESTMENT ADVISERS LLC DIRECTOR direct 1997-07-01 2005-01-20
BANKS, ROBERT, PRESLEY DIRECTOR OF RELATIONSHIP MANAGEMENT 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR, RELATIONSHIP MANAGEMENT direct 2014-12-01
COOGAN, GERALD, BRADY DIRECTOR 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2017-12-01
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2017-12-01
FRANKLIN STREET ADVISORS, INC. DIRECTOR direct 2018-11-01
LAMB, BRIAN, DARYL DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR direct 2018-03-01
KENNEDY, MICHAEL, FRANCIS DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2018-08-01
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2018-08-01
FRANKLIN STREET ADVISORS, INC. DIRECTOR direct 2018-11-01
REYNOLDS, JONATHAN, WILLIAM PRESIDENT AND CHIEF INVESTMENT OFFICER; DIRECTOR 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2017-04-01
FIFTH THIRD FINANCIAL CORPORATION SHAREHOLDER FIFTH THIRD BANK 01/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC SHAREHOLDER indirect 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
FIFTH THIRD BANCORP SHAREHOLDER FIFTH THIRD FINANCIAL CORPORATION 01/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
GELFAND MAXUS ASSET MANAGEMENT INC PARENT COMPANY direct 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
MAXUS ASSET MANAGEMENT INC. PARENT COMPANY direct 2001-01-01 2001-04-20
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 1997-11-01 2002-05-02

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
STONEROAD STRATEGIC INCOME PLUS SRI INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-8110838418 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 69,584,906 5,000,000
STONEROAD CORE PLUS FIXED INCOME SRI INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-2884585916 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 75,963,491 100,000
STONEROAD CORE PLUS FIXED INCOME INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-9426519967 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 171,823,322 5,000,000
STONEROAD STRATEGIC INCOME PLUS INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-6194425506 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 156,548,725 5,000,000

CLEARARC CAPITAL, INC.

ownership team - last updated 2017-03-28
Name Title Start Date Direct/Indirect % Ownership
FIFTH THIRD BANK, AN OHIO BANKING CORPORATION SHAREHOLDER 01/01/2001 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. OWNER direct 1998-06-01
FIFTH THIRD/MAXUS ASSET MANAGEMENT SHAREHOLDER direct 2001-01-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER direct 2017-04-01
ILLE, RICHARD, BRIAN DIRECTOR, PRODUCTS & MARKETING; DIRECTOR 08/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR, PRODUCTS & MARKETING; DIRECTOR direct 2006-08-01
FIFTH THIRD/MAXUS ASSET MANAGEMENT MEMBER INVESTMENT COMMITTEE direct 2001-04-01 2005-03-31
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, MUTUAL FUNDS AND MANAGED ACCOUNTS direct 2001-04-01 2005-08-25
FIFTH THIRD ASSET MANAGEMENT, INC. DIRECTOR direct 2006-08-01 2012-11-15
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, PRODUCTS & MARKETING; DIRECTOR direct 2006-08-01 2014-01-03
STAPLEY, MITCHELL, LLOYD CHIEF INVESTMENT OFFICER; DIRECTOR 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
LYON STREET ASSET MANAGEMENT CO PRESIDENT & CHIEF INVESTMENT OFFICER direct 2001-10-01
CLEARARC CAPITAL, INC. CHIEF INVESTMENT OFFICER; DIRECTOR direct 2012-10-01
LYON STREET ASSET MANAGEMENT CO SENIOR V.P., CHIEF FIXED INCOME OFFICER direct 1999-03-01 2001-03-30
FIFTH THIRD ASSET MANAGEMENT, INC. DIRECTOR OF FIXED INCOME/TAXABLE direct 2001-04-01 2005-03-31
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF FIXED INCOME OFFICER direct 2001-04-01 2005-08-25
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF INVESTMENT OFFICER direct 2012-10-01 2012-11-15
FLOYD, RICHARD, PARIS DIRECTOR, CLIENT ADMINISTRATION 05/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, CLIENT MANAGEMENT direct 2012-05-01
CLEARARC CAPITAL, INC. DIRECTOR, CLIENT ADMINISTRATION direct 2012-05-01
CLEARARC CAPITAL, INC. DIRECTOR, CLIENT MANAGEMENT direct 2012-05-01
HEDGER, STEPHEN, SHAWN DIRECTOR, TRADING AND INVESTMENT OPERATIONS 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR, TRADING AND INVESTMENT OPERATIONS direct 2003-07-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF OPERATIONS OFFICER; MEMBER INVESTMENT COMMITTEE direct 2001-04-01 2004-12-03
FIFTH THIRD/MAXUS ASSET MANAGEMENT MEMBER INVESTMENT COMMITTEE direct 2001-04-01 2005-03-31
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, TRADING & INVESTMENT OPERATIONS direct 2001-04-01 2005-08-25
FIFTH THIRD ASSET MANAGEMENT, INC. MANAGING DIRECTOR, TRADING AND INVESTMENT OPERATIONS direct 2003-07-01 2014-01-03
MULLINS, STEPHEN, GERARD PRESIDENT; DIRECTOR 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL ASSET MANAGEMENT CORP PRINCIPAL direct 1988-08-01
CLEARARC CAPITAL, INC. PRESIDENT; DIRECTOR direct 2012-12-01
MAINSTREAM INVESTMENT ADVISERS LLC DIRECTOR OF CLIENT SERVICE AND MARKETING direct 2006-02-01 2010-03-31
LANIER ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2011-07-01 2012-06-27
MAINSTREAM INVESTMENT ADVISERS LLC CLIENT SERVICE AND MARKETING ADVISER direct 2006-02-01 2012-07-12
MICHAEL, RALPH, SEEFRED DIRECTOR 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2013-02-01
J.J.B. HILLIARD, W.L. LYONS, INC. DIRECTOR direct 1998-12-01 2002-07-31
HULLS, DIANE, JEAN CHIEF COMPLIANCE OFFICER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
MAINSTREAM INVESTMENT ADVISERS LLC DIRECTOR (CHIEF COMPLIANCE OFFICER) direct 1997-07-01
CLEARARC CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2014-03-01
THE RETIREMENT CORPORATION OF AMERICA CHIEF COMPLIANCE OFFICER direct 2017-06-01
MAINSTREAM INVESTMENT ADVISERS LLC DIRECTOR direct 1997-07-01 2005-01-20
MOEDDEL, ROBERT, MICHAEL DIRECTOR 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2014-12-01
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2017-04-01
VOGEL-VANDERSON, SUSAN, LYNNE DIRECTOR 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR direct 2014-12-01
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2017-04-01
BANKS, ROBERT, PRESLEY DIRECTOR, RELATIONSHIP MANAGEMENT 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLEARARC CAPITAL, INC. DIRECTOR, RELATIONSHIP MANAGEMENT direct 2014-12-01
BELL, CHRISTOPHER, JAMES DIRECTOR 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD ASSET MANAGEMENT, INC. TREASURER direct 2003-03-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2003-03-01
FIFTH THIRD ASSET MANAGEMENT, INC. CHIEF OPERATIONS OFFICER; TREASURER direct 2003-03-01
FIFTH THIRD ASSET MANAGEMENT, INC. TREASURER; CHIEF FINANCIAL OFFICER direct 2003-03-01
CLEARARC CAPITAL, INC. DIRECTOR direct 2012-10-01
FIFTH THIRD ASSET MANAGEMENT, INC. PRESIDENT direct 2012-10-01
THE RETIREMENT CORPORATION OF AMERICA DIRECTOR direct 2017-04-01
FIFTH THIRD FINANCIAL CORPORATION SHAREHOLDER FIFTH THIRD BANK 01/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC SHAREHOLDER indirect 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
FIFTH THIRD BANCORP SHAREHOLDER FIFTH THIRD FINANCIAL CORPORATION 01/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
GELFAND MAXUS ASSET MANAGEMENT INC PARENT COMPANY direct 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
MAXUS ASSET MANAGEMENT INC. PARENT COMPANY direct 2001-01-01 2001-04-20
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 1997-11-01 2002-05-02

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
STONEROAD CORE PLUS FIXED INCOME SRI INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-2884585916 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 49,575,858 100,000
STONEROAD CORE PLUS FIXED INCOME INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-9426519967 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 117,197,939 5,000,000
STONEROAD STRATEGIC INCOME PLUS INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-6194425506 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 98,169,225 5,000,000
STONEROAD STRATEGIC INCOME PLUS SRI INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST United States 805-8110838418 Other Private Fund NEW HAMPSHIRE BUSINESS TRUST 24,239,493 5,000,000

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