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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CLEARARC CAPITAL, INC.

CRD 104650

CINCINNATI, OH

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Search this name across graphsid dfx:ria:1d6f3171-5ccf-1d5c-4ad5-b4df81ad04b3

Data as of Nov 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 3
On other graphs: 0
Observed: Dec 21, 2011 to Nov 18, 2019
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $3.9BItem 5.F on the latest filing (2019-11-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $5.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 116
High net worth clients: 1
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $37.0Mgross asset value as reported per fund; never fund size
Custody, client assets: $37.0M
SEC number: 801-11184
CRD: 104650
Filings on the tape: 29
First filed: Dec 21, 2011
Latest filed: Nov 18, 2019
Organised: Corporation, Ohio

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
STONEROAD DIVIDEND GROWTH PREMIUM INCOME PLUS INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST	Other Private Fund	$0	Aug 17, 2016	0	Mar 29, 2016	dropped	021-242583

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BANKS, ROBERT, PRESLEY	DIRECTOR OF RELATIONSHIP MANAGEMENT	Na	yes	12/2014	Mar 30, 2015	Nov 18, 2019
CAHN, JAMES, DAVID	Director	Na	yes	01/2019	Mar 21, 2019	Nov 18, 2019
COOGAN, GERALD, BRADY	Director	Na	yes	12/2017	Jan 30, 2018	Nov 18, 2019
FIFTH THIRD BANCORP	Shareholder	E	yes	01/2001	Dec 21, 2011	Nov 18, 2019
FIFTH THIRD BANK, NATIONAL ASSOCIATION	Shareholder	E	yes	01/2001	Nov 18, 2019	Nov 18, 2019
FIFTH THIRD FINANCIAL CORPORATION	Shareholder	E	yes	01/2001	Dec 21, 2011	Nov 18, 2019
HEDGER, STEPHEN, SHAWN	DIRECTOR OF TRADING AND INVESTMENT OPERATIONS; DIRECTOR	Na	yes	07/2003	Nov 2, 2012	Nov 18, 2019
HULLS, DIANE, JEAN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Mar 31, 2014	Nov 18, 2019
KENNEDY, MICHAEL, FRANCIS	Director	Na	yes	08/2018	Sep 26, 2018	Nov 18, 2019
REYNOLDS, JONATHAN, WILLIAM	PRESIDENT AND CHIEF INVESTMENT OFFICER; DIRECTOR	Na	yes	09/2018	Sep 26, 2018	Nov 18, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FIFTH THIRD SECURITIES, INC.	n/a	Bd affiliated wealth	$11B	N	yes	n/a
MAINSTREET INVESTMENT ADVISORS LLC	n/a	Other adviser	$5.9B	N	yes	n/a
FRANKLIN STREET ADVISORS, INC.	n/a	Bank affiliated wealth	$4.5B	N	yes	n/a
THE RETIREMENT CORPORATION OF AMERICA	n/a	Former SEC adviser	$632M	N	yes	n/a
EPIC INSURANCE SOLUTIONS AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
FIFTH THIRD BANK, NATIONAL ASSOCIATION	n/a	n/a	n/a	Y	yes	Oh
FIFTH THIRD INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
FRANKLIN STREET TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
R.G. MCGRAW INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 21, 2019	$3.9B	$3.9B	12	6	0	4	$37.0M
2017	Mar 30, 2018	$8.1B	$8.1B	40	23	1	4	$474M
2016	Mar 28, 2017	$7.1B	$7.1B	41	18	n/a	4	$289M
2015	Mar 29, 2016	$6.1B	$6.1B	43	19	n/a	4	$210M
2014	Mar 30, 2015	$7.0B	$7.0B	44	20	n/a	2	$56.0M
2013	Mar 31, 2014	$7.0B	$7.0B	43	20	n/a	1	$0
2012	Mar 28, 2013	$6.9B	$6.9B	38	20	n/a	n/a	n/a
2011	Mar 28, 2012	$15B	$14B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$3.9B	$8.1B	-52.2%	$6.1B	-14.0%	12	40	0	1

Relationships

Affiliated with (5)

← CEDAR HILL ASSOCIATES, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ THE RETIREMENT CORPORATION OF AMERICARegistered adviserother investment adviser, common control
factForm ADV
→ FRANKLIN STREET ADVISORS INC.Registered adviserother investment adviser, common control
factForm ADV
→ MAINSTREET ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (10)

← CAHN, JAMES, DAVIDOwnerDIRECTOR, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← HEDGER, STEPHEN, SHAWNOwnerDIRECTOR OF TRADING AND INVESTMENT OPERATIONS; DIRECTOR, ownership code NA, individual
Nov 2, 2012 to presentfactForm ADV
← KENNEDY, MICHAEL, FRANCISOwnerDIRECTOR, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← HULLS, DIANE, JEANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← BANKS, ROBERT, PRESLEYOwnerDIRECTOR OF RELATIONSHIP MANAGEMENT, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← REYNOLDS, JONATHAN, WILLIAMOwnerPRESIDENT AND CHIEF INVESTMENT OFFICER; DIRECTOR, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← COOGAN, GERALD, BRADYOwnerDIRECTOR, ownership code NA, individual
Jan 30, 2018 to presentfactForm ADV
← FIFTH THIRD BANCORPOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← FIFTH THIRD BANK, NATIONAL ASSOCIATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 18, 2019 to presentfactForm ADV
← FIFTH THIRD FINANCIAL CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV

Advises (1)

→ STONEROAD DIVIDEND GROWTH PREMIUM INCOME PLUS INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUSTPrivate fundOther Private Fund, IA, no longer reported
Mar 29, 2016 to Aug 17, 2016factForm ADV

Registered with (16)

← JEFFREY J ZIEGLERAdvisorregistration: previous registration
Apr 13, 2004 to Sep 27, 2012factForm ADV
← MICHAEL DAVID FELDHAUSAdvisorregistration: previous registration
Apr 25, 2008 to Sep 27, 2012factForm ADV
← ROBERT MATTHEW WATERSAdvisorregistration: previous registration
Aug 4, 2010 to Jun 25, 2012factForm ADV
← Glen CohenAdvisorregistration: previous registration
Jan 25, 2007 to May 10, 2012factForm ADV
← Luke RobichaudAdvisorregistration: previous registration
Aug 18, 2006 to May 10, 2012factForm ADV
← Brian John DavisAdvisorregistration: previous registration
Apr 24, 2008 to May 10, 2012factForm ADV
← Christopher David HoltAdvisorregistration: previous registration
Feb 10, 2011 to May 8, 2012factForm ADV
← PHILLIP JAMES ELIASAdvisorregistration: previous registration
Aug 15, 2008 to Apr 10, 2012factForm ADV
← MATTHEW ASHLEY SWENDIMANAdvisorregistration: previous registration
Oct 27, 2009 to May 11, 2011factForm ADV
← Paul WebberAdvisorregistration: previous registration
Aug 18, 2006 to Feb 10, 2011factForm ADV
← ANDREW T SULLIVANAdvisorregistration: previous registration
Apr 29, 2010 to Jan 28, 2011factForm ADV
← JEFFREY FREDERICK BAUERAdvisorregistration: previous registration
Mar 21, 2007 to Sep 13, 2010factForm ADV
← MATTHEW WILLIAM HOLMESAdvisorregistration: previous registration
Oct 2, 2007 to Mar 23, 2009factForm ADV
← JOSEPH ALEXANDER CUOZZIAdvisorregistration: previous registration
Sep 19, 2006 to Jul 10, 2008factForm ADV
← John PaytonAdvisorregistration: previous registration
Apr 14, 2005 to Mar 26, 2008factForm ADV
← ALEXANDER WALLACE INSLEYAdvisorregistration: previous registration
Nov 22, 2006 to Jan 28, 2008factForm ADV

Dated events

Occurred
Sep 13, 2019
Control person left
Daryl Brian Lamb (Director) no longer on Schedule A of Cleararc Capital, Inc. (listed 2019-03-21, absent 2019-09-13)
Form ADVobserved 6 days ago
Occurred
Mar 21, 2019
Regulatory AUM changed
Cleararc Capital, Inc. reported RAUM $3.9B, down 52% from $8.1B (2018-12-21 to 2019-03-21)
Form ADVobserved 6 days ago
$-4.2B
Occurred
Mar 21, 2019
Control person joined
David James Cahn (Director) appeared on Schedule A of Cleararc Capital, Inc.
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d6f3171-5ccf-1d5c-4ad5-b4df81ad04b3
First observed: Dec 21, 2011
Last observed: Nov 18, 2019 83 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CLEARARC CAPITAL, INC.

CRD 104650

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d6f3171-5ccf-1d5c-4ad5-b4df81ad04b3

Data as of Nov 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

STONEROAD DIVIDEND GROWTH PREMIUM INCOME PLUS INVESTMENT TRUST FUND, A SERIES OF THE STONEROAD SERIES INVESTMENT TRUST

Other Private Fund

Aug 17, 2016

Mar 29, 2016

dropped

021-242583

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANKS, ROBERT, PRESLEY

DIRECTOR OF RELATIONSHIP MANAGEMENT

yes

12/2014

Mar 30, 2015

Nov 18, 2019

CAHN, JAMES, DAVID

Director

yes

01/2019

Mar 21, 2019

Nov 18, 2019

COOGAN, GERALD, BRADY

Director

yes

12/2017

Jan 30, 2018

Nov 18, 2019

FIFTH THIRD BANCORP

Shareholder

yes

01/2001

Dec 21, 2011

Nov 18, 2019

FIFTH THIRD BANK, NATIONAL ASSOCIATION

Shareholder

yes

01/2001

Nov 18, 2019

FIFTH THIRD FINANCIAL CORPORATION

Shareholder

yes

01/2001

Dec 21, 2011

Nov 18, 2019

HEDGER, STEPHEN, SHAWN

DIRECTOR OF TRADING AND INVESTMENT OPERATIONS; DIRECTOR

yes

07/2003

Nov 2, 2012

Nov 18, 2019

HULLS, DIANE, JEAN

CHIEF COMPLIANCE OFFICER

yes

03/2014

Mar 31, 2014

Nov 18, 2019

KENNEDY, MICHAEL, FRANCIS

Director

yes

08/2018

Sep 26, 2018

Nov 18, 2019

REYNOLDS, JONATHAN, WILLIAM

PRESIDENT AND CHIEF INVESTMENT OFFICER; DIRECTOR

yes

09/2018

Sep 26, 2018

Nov 18, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIFTH THIRD SECURITIES, INC.

n/a

Bd affiliated wealth

$11B

yes

n/a

MAINSTREET INVESTMENT ADVISORS LLC

n/a

Other adviser

$5.9B

yes

n/a

FRANKLIN STREET ADVISORS, INC.

n/a

Bank affiliated wealth

$4.5B

yes

n/a

THE RETIREMENT CORPORATION OF AMERICA

n/a

Former SEC adviser

$632M

yes

n/a

EPIC INSURANCE SOLUTIONS AGENCY, LLC

n/a

yes

n/a

FIFTH THIRD BANK, NATIONAL ASSOCIATION

n/a

yes

FIFTH THIRD INSURANCE AGENCY, INC.

n/a

yes

n/a

FRANKLIN STREET TRUST COMPANY

n/a

yes

n/a

R.G. MCGRAW INSURANCE AGENCY, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 21, 2019

$3.9B

$37.0M

2017

Mar 30, 2018

$8.1B

$474M

2016

Mar 28, 2017

$7.1B

n/a

$289M

2015

Mar 29, 2016

$6.1B

n/a

$210M

2014

Mar 30, 2015

$7.0B

n/a

$56.0M

2013

Mar 31, 2014

$7.0B

n/a

2012

Mar 28, 2013

$6.9B

n/a

2011

Mar 28, 2012

$15B

$14B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$3.9B

$8.1B

-52.2%

$6.1B

-14.0%