NATIONAL INVESTMENT SERVICES INC

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National Investment Services is based out of Milwaukee. National Investment Services is a large advisory firm with 381 clients and discretionary assets under management (AUM) of $7,223,418,000 (Form ADV from 2019-05-31). Their last reported 13F filing for Q3 2019 included $85,968,000 in managed 13F securities and a top 10 holdings concentration of 30.18%. National Investment Services's largest holding is NextEra Energy Inc. with shares held of 12,958. Whalewisdom has at least 45 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $85.968 Million
  • Prior Market Value $86.765 Million
  • New Purchases8 stocks
  • Additional Purchases6 stocks
  • Sold out of5 stocks
  • Reduced holdings in63 stocks
  • Top 10 Holdings % 30.18 %
  • Turnover % [1]:16.88%
  • Turnover Alt % [2]: 12.74 %
  • Time Held Top20:7.40 quarters
  • Time Held Top10:4.00 quarters
  • Time Held All:8.19 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 2019-08-14

Performance for Q2 2019: -3.96%
Performance Last 4 Quarters: -1.88%
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
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
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
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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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)
  • 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)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

NATIONAL INVESTMENT SERVICES, INC
Classified as Hedge Fund
777 E. WISCONSIN AVENUE SUITE 2350
MILWAUKEE WI    53202-5310
Country: United States

Business Phone: 414-765-1980
Fax: 414-765-1998
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: WI
Number of employees: 38
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 3,291,630,000
Total Number of Clients: 381
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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NATIONAL INVESTMENT SERVICES, INC

ownership team - last updated 2019-05-31
Name Title Start Date Direct/Indirect % Ownership
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
NIS HOLDING CORPORATION DIRECT OWNER 07/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC DIRECT OWNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC DIRECT OWNER direct 2014-07-01
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NIS INTERMEDIATE FIXED INCOME FUND, LLC United States 805-4054883567 Other Private Fund INTERMEDIATE FIXED INCOME FUND 931,823,000 250,000
NIS CORE FIXED INCOME FUND, LLC United States 805-1438142266 Other Private Fund CORE FIXED INCOME 1,036,306,000 250,000
NIS SMALL/MID CAP VALUE EQUITY FUND, LLC United States 805-7686491695 Other Private Fund DOMESTIC VALUE EQUITY FUND 2,310,000 1,000,000
NIS TOTAL ABSOLUTE RETURN FUND, LLC United States 805-4819143079 Hedge Fund 541,978,000 1,000,000
NIS PREFERRED STOCK FUND II, LLC United States 805-2052974210 Hedge Fund 300,643,000 250,000
NIS HIGH YIELD FUND, LLC United States 805-4885335078 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 225,623,000 0
NIS SHORT DURATION HIGH YIELD FUND, LLC United States 805-8009436311 Other Private Fund SHORT DURATION HIGH YIELD FIXED INCOME 36,227,000 1,000,000
NIS INTERMEDIATE FIXED INCOME QP FUND, LLC United States 805-3285438261 Other Private Fund INTERMEDIATE FIXED INCOME FUND 46,055,000 1,000,000
NIS CORE FIXED INCOME QP FUND, LLC United States 805-4696913987 Other Private Fund CORE FIXED INCOME 116,724,000 1,000,000
NIS PREFERRED STOCK QP FUND, LLC United States 805-2862572015 Hedge Fund 10,958,000 1,000,000
NIS TOTAL ABSOLUTE RETURN QP FUND, LLC United States 805-2064246457 Hedge Fund 31,762,000 1,000,000
NIS HIGH YIELD QP FUND, LLC United States 805-8049920777 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 11,223,000 1,000,000

NATIONAL INVESTMENT SERVICES, INC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
NIS HOLDING CORPORATION DIRECT OWNER 07/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC DIRECT OWNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC DIRECT OWNER direct 2014-07-01
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NIS INTERMEDIATE FIXED INCOME FUND, LLC United States 805-4054883567 Other Private Fund INTERMEDIATE FIXED INCOME FUND 931,823,000 250,000
NIS CORE FIXED INCOME FUND, LLC United States 805-1438142266 Other Private Fund CORE FIXED INCOME 1,036,306,000 250,000
NIS SMALL/MID CAP VALUE EQUITY FUND, LLC United States 805-7686491695 Other Private Fund DOMESTIC VALUE EQUITY FUND 2,310,000 1,000,000
NIS TOTAL ABSOLUTE RETURN FUND, LLC United States 805-4819143079 Hedge Fund 541,978,000 1,000,000
NIS PREFERRED STOCK FUND II, LLC United States 805-2052974210 Hedge Fund 300,643,000 250,000
NIS HIGH YIELD FUND, LLC United States 805-4885335078 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 225,623,000 0
NIS SHORT DURATION HIGH YIELD FUND, LLC United States 805-8009436311 Other Private Fund SHORT DURATION HIGH YIELD FIXED INCOME 36,227,000 1,000,000
NIS INTERMEDIATE FIXED INCOME QP FUND, LLC United States 805-3285438261 Other Private Fund INTERMEDIATE FIXED INCOME FUND 46,055,000 1,000,000
NIS CORE FIXED INCOME QP FUND, LLC United States 805-4696913987 Other Private Fund CORE FIXED INCOME 116,724,000 1,000,000
NIS PREFERRED STOCK QP FUND, LLC United States 805-2862572015 Hedge Fund 10,958,000 1,000,000
NIS TOTAL ABSOLUTE RETURN QP FUND, LLC United States 805-2064246457 Hedge Fund 31,762,000 1,000,000
NIS HIGH YIELD QP FUND, LLC United States 805-8049920777 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 11,223,000 1,000,000

NATIONAL INVESTMENT SERVICES, INC

ownership team - last updated 2018-10-30
Name Title Start Date Direct/Indirect % Ownership
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
NIS HOLDING CORPORATION DIRECT OWNER 07/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC DIRECT OWNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC DIRECT OWNER direct 2014-07-01
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NIS SHORT DURATION HIGH YIELD FUND, LLC United States 805-8009436311 Other Private Fund SHORT DURATION HIGH YIELD FIXED INCOME 20,520,000 1,000,000
NIS INTERMEDIATE FIXED INCOME QP FUND, LLC United States 805-3285438261 Other Private Fund INTERMEDIATE FIXED INCOME FUND 0 1,000,000
NIS CORE FIXED INCOME QP FUND, LLC United States 805-4696913987 Other Private Fund CORE FIXED INCOME 0 1,000,000
NIS PREFERRED STOCK QP FUND, LLC United States 805-2862572015 Hedge Fund 0 1,000,000
NIS TOTAL ABSOLUTE RETURN QP FUND, LLC United States 805-2064246457 Hedge Fund 0 1,000,000
NIS HIGH YIELD QP FUND, LLC United States 805-8049920777 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 0 1,000,000
NIS INTERMEDIATE FIXED INCOME FUND, LLC United States 805-4054883567 Other Private Fund INTERMEDIATE FIXED INCOME FUND 891,061,000 250,000
NIS CORE FIXED INCOME FUND, LLC United States 805-1438142266 Other Private Fund CORE FIXED INCOME 1,027,246,000 250,000
NIS SMALL/MID CAP VALUE EQUITY FUND, LLC United States 805-7686491695 Other Private Fund DOMESTIC VALUE EQUITY FUND 1,950,000 1,000,000
NIS TOTAL ABSOLUTE RETURN FUND, LLC United States 805-4819143079 Hedge Fund 389,952,000 1,000,000
NIS PREFERRED STOCK FUND II, LLC United States 805-2052974210 Hedge Fund 330,246,000 250,000
NIS HIGH YIELD FUND, LLC United States 805-4885335078 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 253,273,000 0

NATIONAL INVESTMENT SERVICES, INC

ownership team - last updated 2018-05-31
Name Title Start Date Direct/Indirect % Ownership
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
NIS HOLDING CORPORATION DIRECT OWNER 07/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC DIRECT OWNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC DIRECT OWNER direct 2014-07-01
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
BROOKS, ROBERT, PATRICK CHIEF EXECUTIVE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2000-12-01
WOOD ASSET MANAGEMENT INC CHAIRMAN direct 2010-04-01
SOVEREIGN HOLDINGS LLC CHAIRMAN direct 2010-04-01
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP MANAGING DIRECTOR direct 2008-04-01 2009-07-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2011-03-30
NATIONAL INVESTMENT SERVICES, INC CHIEF EXECUTIVE OFFICER direct 2000-12-01 2011-11-08
TITANIUM ASSET MANAGEMENT CORP CHIEF EXECUTIVE OFFICER / DIRECTOR direct 2008-04-01 2012-03-30
TITANIUM ASSET MANAGEMENT CORP CHAIRMAN direct 2008-04-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC CEO -MANAGING PARTNER indirect 2014-07-01 2015-08-13
WHITE, KENT, JAY CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT, CHIEF INVESTMENT OFFICER direct 2000-12-01
NATIONAL INVESTMENT SERVICES, INC EXECUTIVE VICE PRESIDENT direct 2000-12-01 2001-03-29
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2000-12-01 2008-11-14
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
SIDLER, NORMAN, EDWARD PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2000-02-01 2006-10-02
NATIONAL INVESTMENT SERVICES, INC SENIOR VICE PRESIDENT direct 2007-01-01 2008-11-14
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01 2014-03-25
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01 2015-08-13
MCCARTIN, BARTLETT, JOSEPH PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
TITANIUM ASSET MANAGEMENT CORP DIRECTOR direct 2012-12-01
FREMGEN, JOHN, P PRINCIPAL, MANAGING PARTNER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC PRINCIPAL/MANAGING PARTNER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
NATIONAL INVESTMENT SERVICES, INC MANAGING PARTNER indirect 2014-07-01
BERRIE, JASON, CHRISTOPHER CO-CHIEF INVESTMENT OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT direct 2006-01-01
ANDERSON, MARK, ROBERT CHIEF STRATEGY OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC ASSISTANT VICE PRESIDENT direct 2001-01-01 2008-11-14
HASLEE, LARRY, HAROLD CHIEF COMPLIANCE OFFICER NIS HOLDING CORPORATION 07/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 1994-01-01
WOOD ASSET MANAGEMENT LLC CCO direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC SECRETARY, TREASURER, VICE PRESIDENT direct 1994-01-01 2005-03-18
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER direct 2008-04-01 2009-03-24
TITANIUM ASSET MANAGEMENT CORP CHIEF FINANCIAL OFFICER direct 2008-04-01 2009-07-01
TITANIUM ASSET MANAGEMENT CORP TREASURER direct 2008-04-01 2010-03-11
NATIONAL INVESTMENT SERVICES, INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER direct 1994-01-01 2013-03-14
TITANIUM ASSET MANAGEMENT CORP SENIOR VICE PRESIDENT direct 2008-04-01 2014-03-25
PULLEN, TYLER, JAMES CHIEF EQUITY OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
WOOD ASSET MANAGEMENT LLC VP - CHIEF EQUITY OFFICER direct 2014-07-01
NATIONAL INVESTMENT SERVICES, INC VP- CHIEF EQUITY OFFICER direct 2015-01-01
VAN LITH, SCOTT, ORILE CHIEF FINANCIAL OFFICER NIS HOLDING CORPORATION 07/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
NATIONAL INVESTMENT SERVICES, INC CHIEF FINANCIAL OFFICER direct 2017-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NIS INTERMEDIATE FIXED INCOME FUND, LLC United States 805-4054883567 Other Private Fund INTERMEDIATE FIXED INCOME FUND 891,061,000 250,000
NIS CORE FIXED INCOME FUND, LLC United States 805-1438142266 Other Private Fund CORE FIXED INCOME 1,027,246,000 250,000
NIS SMALL/MID CAP VALUE EQUITY FUND, LLC United States 805-7686491695 Other Private Fund DOMESTIC VALUE EQUITY FUND 1,950,000 1,000,000
NIS TOTAL ABSOLUTE RETURN FUND, LLC United States 805-4819143079 Hedge Fund 389,952,000 1,000,000
NIS PREFERRED STOCK FUND II, LLC United States 805-2052974210 Hedge Fund 330,246,000 250,000
NIS HIGH YIELD FUND, LLC United States 805-4885335078 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 253,273,000 0
NIS SHORT DURATION HIGH YIELD FUND, LLC United States 805-8009436311 Other Private Fund SHORT DURATION HIGH YIELD FIXED INCOME 20,520,000 1,000,000
NIS INTERMEDIATE FIXED INCOME QP FUND, LLC United States 805-3285438261 Other Private Fund INTERMEDIATE FIXED INCOME FUND 0 1,000,000
NIS CORE FIXED INCOME QP FUND, LLC United States 805-4696913987 Other Private Fund CORE FIXED INCOME 0 1,000,000
NIS PREFERRED STOCK QP FUND, LLC United States 805-2862572015 Hedge Fund 0 1,000,000
NIS TOTAL ABSOLUTE RETURN QP FUND, LLC United States 805-2064246457 Hedge Fund 0 1,000,000
NIS HIGH YIELD QP FUND, LLC United States 805-8049920777 Other Private Fund FIXED INCOME FUND- HIGH YIELD SECTOR 0 1,000,000

WhaleScore history for NATIONAL INVESTMENT SERVICES INC

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