OPUS CAPITAL GROUP, LLC

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Opus Capital Group is based out of Cincinnati. Opus Capital Group is a large advisory firm with 296 clients and discretionary assets under management (AUM) of $435,803,178 (Form ADV from 2020-06-29). Their last reported 13F filing for Q2 2020 included $326,688,000 in managed 13F securities and a top 10 holdings concentration of 64.61%. Opus Capital Group's largest holding is Vanguard S&P 500 ETF with shares held of 152,654. Opus Capital Group has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 63 13F filings, and 62 13G filings

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06/30/2020

13F Activity

  • Market Value $326.688 Million
  • Prior Market Value $282.667 Million
  • New Purchases15 stocks
  • Additional Purchases27 stocks
  • Sold out of6 stocks
  • Reduced holdings in53 stocks
  • Top 10 Holdings % 64.61 %
  • Turnover % [1]:18.42%
  • Turnover Alt % [2]: 10.58 %
  • Time Held Top20:10.45 quarters
  • Time Held Top10:10.80 quarters
  • Time Held All:16.75 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 20.47%
Performance Last 4 Quarters: -7.24%
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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

OPUS CAPITAL MANAGEMENT
221 EAST 4TH STREET SUITE 2850
CINCINNATI OH    45202
Country: United States

Business Phone: 513-621-6787
Fax: 513-639-3072
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 6
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 296
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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OPUS CAPITAL GROUP, LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
WHELAN, KEVIN, PATRICK PRINCIPAL AND PORTFOLIO MANAGER 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
CONDREN, JOSEPH, PATRICK PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
BISHOP, NATHAN, ANDREW PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
BAILEY, NATHAN, MICHAEL PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT, INC. MEMBER 05/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC MEMBER direct 2006-05-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
HAUSSLER, JAKKI, LYNN SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1996 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC CHAIRMAN direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND CEO direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC CHAIRMAN direct 1996-01-01 2008-09-23
OPUS CAPITAL GROUP, LLC CHAIRMAN & CEO direct 1996-01-01 2011-04-01
OPUS CAPITAL GROUP, LLC CHAIRMAN AND CEO direct 1996-01-01 2015-03-27
WHELAN, KEVIN, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
CONDREN, JOSEPH, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
BISHOP, NATHAN, ANDREW SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
BAILEY, NATHAN, MICHAEL SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01

OPUS CAPITAL GROUP, LLC

ownership team - last updated 2020-03-23
Name Title Start Date Direct/Indirect % Ownership

OPUS CAPITAL GROUP, LLC

ownership team - last updated 2019-09-10
Name Title Start Date Direct/Indirect % Ownership
WHELAN, KEVIN, PATRICK PRINCIPAL AND PORTFOLIO MANAGER 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
CONDREN, JOSEPH, PATRICK PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
BISHOP, NATHAN, ANDREW PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
BAILEY, NATHAN, MICHAEL PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT, INC. MEMBER 05/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC MEMBER direct 2006-05-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
HAUSSLER, JAKKI, LYNN SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1996 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC CHAIRMAN direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND CEO direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC CHAIRMAN direct 1996-01-01 2008-09-23
OPUS CAPITAL GROUP, LLC CHAIRMAN & CEO direct 1996-01-01 2011-04-01
OPUS CAPITAL GROUP, LLC CHAIRMAN AND CEO direct 1996-01-01 2015-03-27
WHELAN, KEVIN, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1999 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
BISHOP, NATHAN, ANDREW SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
CONDREN, JOSEPH, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
BAILEY, NATHAN, MICHAEL SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01

OPUS CAPITAL GROUP, LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
CONDREN, JOSEPH, PATRICK PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
HAUSSLER, JAKKI, LYNN FOUNDER AND CEO 01/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC CHAIRMAN direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND CEO direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC CHAIRMAN direct 1996-01-01 2008-09-23
OPUS CAPITAL GROUP, LLC CHAIRMAN & CEO direct 1996-01-01 2011-04-01
OPUS CAPITAL GROUP, LLC CHAIRMAN AND CEO direct 1996-01-01 2015-03-27
HAUSSLER, LEONARD, ANTHONY FOUNDER AND PORTFOLIO MANAGER 01/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC PRESIDENT direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND PORTFOLIO MANAGER direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC PRESIDENT direct 1996-01-01 2015-03-27
WHELAN, KEVIN, PATRICK PRINCIPAL AND PORTFOLIO MANAGER 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
EAGLESTON, ADAM, THOMAS PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/CHIEF INVESTMENT OFFICER direct 2003-11-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/TREASURER direct 2003-11-01
BISHOP, NATHAN, ANDREW PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
Wagner, David, W RESEARCH ANALYST 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC RESEARCH ANALYST direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
BAILEY, NATHAN, MICHAEL ASSOCIATE WEALTH ADVISOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT, INC. MEMBER 05/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC MEMBER direct 2006-05-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
HAUSSLER, JAKKI, LYNN SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1996 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC CHAIRMAN direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND CEO direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC CHAIRMAN direct 1996-01-01 2008-09-23
OPUS CAPITAL GROUP, LLC CHAIRMAN & CEO direct 1996-01-01 2011-04-01
OPUS CAPITAL GROUP, LLC CHAIRMAN AND CEO direct 1996-01-01 2015-03-27
HAUSSLER, LEONARD, ANTHONY SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1996 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC PRESIDENT direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND PORTFOLIO MANAGER direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC PRESIDENT direct 1996-01-01 2015-03-27
WHELAN, KEVIN, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
CONDREN, JOSEPH, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
EAGLESTON, ADAM, THOMAS SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/CHIEF INVESTMENT OFFICER direct 2003-11-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/TREASURER direct 2003-11-01
BISHOP, NATHAN, ANDREW SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
Wagner, David, W SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC RESEARCH ANALYST direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
BAILEY, NATHAN, MICHAEL SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01

OPUS CAPITAL GROUP, LLC

ownership team - last updated 2017-03-24
Name Title Start Date Direct/Indirect % Ownership
HAUSSLER, JAKKI, LYNN FOUNDER AND CEO 01/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC CHAIRMAN direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND CEO direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC CHAIRMAN direct 1996-01-01 2008-09-23
OPUS CAPITAL GROUP, LLC CHAIRMAN & CEO direct 1996-01-01 2011-04-01
OPUS CAPITAL GROUP, LLC CHAIRMAN AND CEO direct 1996-01-01 2015-03-27
HAUSSLER, LEONARD, ANTHONY FOUNDER AND PORTFOLIO MANAGER 01/01/1996 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC PRESIDENT direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND PORTFOLIO MANAGER direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC PRESIDENT direct 1996-01-01 2015-03-27
WHELAN, KEVIN, PATRICK PRINCIPAL AND PORTFOLIO MANAGER 01/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
CONDREN, JOSEPH, PATRICK PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
EAGLESTON, ADAM, THOMAS PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/CHIEF INVESTMENT OFFICER direct 2003-11-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/TREASURER direct 2003-11-01
BISHOP, NATHAN, ANDREW PRINCIPAL AND PORTFOLIO MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
Wagner, David, W RESEARCH ANALYST 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC RESEARCH ANALYST direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
BAILEY, NATHAN, MICHAEL ASSOCIATE WEALTH ADVISOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
Knapke, Michael, R MARKETING AND CLIENT SERVICE ASSOCIATE 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC MARKETING AND CLIENT SERVICE ASSOCIATE direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT, INC. MEMBER 05/01/2006 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC MEMBER direct 2006-05-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
FERGUSON, JOHN, ALLEN PRINCIPAL AND PORTFOLIO MANAGER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-03-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-03-01
HAUSSLER, JAKKI, LYNN SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1996 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC CHAIRMAN direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND CEO direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC CHAIRMAN direct 1996-01-01 2008-09-23
OPUS CAPITAL GROUP, LLC CHAIRMAN & CEO direct 1996-01-01 2011-04-01
OPUS CAPITAL GROUP, LLC CHAIRMAN AND CEO direct 1996-01-01 2015-03-27
HAUSSLER, LEONARD, ANTHONY SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1996 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1996-01-01
OPUS CAPITAL MANAGEMENT LLC PRESIDENT direct 1996-01-01
OPUS CAPITAL GROUP, LLC FOUNDER AND PORTFOLIO MANAGER direct 1996-01-01
OPUS CAPITAL MANAGEMENT INC PRESIDENT direct 1996-01-01 2015-03-27
WHELAN, KEVIN, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 01/01/1999 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 1999-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 1999-01-01
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT direct 1999-01-01
OPUS CAPITAL MANAGEMENT INC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT LLC DIRECTOR direct 1999-01-01 2003-03-10
OPUS CAPITAL MANAGEMENT INC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL MANAGEMENT LLC VICE PRESIDENT & DIRECTOR OF RESEARCH direct 1999-01-01 2004-03-05
OPUS CAPITAL GROUP, LLC VICE PRESIDENT direct 1999-01-01 2015-03-27
OPUS CAPITAL MANAGEMENT, INC MEMBER OPUS CAPITAL GROUP, LLC 01/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC MEMBER direct 2006-05-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
OPUS CAPITAL GROUP, LLC MEMBER indirect 2007-01-01
CONDREN, JOSEPH, PATRICK SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC PRINCIPAL, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC ASSISTANT VICE PRESIDENT & CHIEF COMPLIANCE OFFICER direct 2005-02-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2005-02-01
EAGLESTON, ADAM, THOMAS SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/CHIEF INVESTMENT OFFICER direct 2003-11-01
FMT CAPITAL MANAGEMENT, INC. DIRECTOR/VICE PRESIDENT/TREASURER direct 2003-11-01
BISHOP, NATHAN, ANDREW SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-01-01
HABERER REGISTERED INVESTMENT ADVISOR INC SENIOR PORTFOLIO MANAGER direct 2008-09-01
HABERER REGISTERED INVESTMENT ADVISOR INC VP, SR. PORTFOLIO MANAGER AND CHIEF INVESTMENT OFFICER direct 2013-08-01
Wagner, David, W SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC RESEARCH ANALYST direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
BAILEY, NATHAN, MICHAEL SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC ASSOCIATE WEALTH ADVISOR direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
Knapke, Michael, R SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC 01/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC MARKETING AND CLIENT SERVICE ASSOCIATE direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01
FERGUSON, JOHN, ALLEN SHAREHOLDER OPUS CAPITAL MANAGEMENT, INC. 03/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC PRINCIPAL AND PORTFOLIO MANAGER direct 2016-03-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-03-01

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