DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Cleararc Capital, Inc.

Former SEC-registered adviserCincinnati, OhioCRD 104650SEC 801-11184IAPD
Latest filing Nov 18, 2019
First filing on the tape Dec 21, 2011 · 29 filings
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$5.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$37.0M gross assets
History
29 filings and snapshots on the tape
RAUM$3.9B as of Mar 21, 2019
Mar 28, 2012$15B then
HNW client RAUM$5.0M as of Mar 21, 2019
Mar 30, 2018$7.8M then
State-registered IARs (5.B.3)0 as of Mar 21, 2019
Mar 28, 20130 then
Employees (5.A)12 as of Mar 21, 2019
Mar 28, 201338 then
Private funds4 as of Mar 21, 2019
Mar 31, 20141 then
RAUM -52% over the last fiscal year-14% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Nov 18, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.0MderivedHNW RAUM over HNW clients
Average account
$33.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-52%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$37.0M, 4 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$1.3B35%
  • Charitable organizations$1.0B26%
  • State and municipal entities$659M17%
  • Pooled investment vehicles$594M16%
  • Insurance companies$149M3.9%
  • Pension and profit-sharing plans$88.1M2.3%
  • High-net-worth individuals$5.0M0.1%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
7reported
Charitable clients
21reported
Accounts
116reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$37.0M for 4 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Stoneroad Dividend Growth Premium Income Plus Investment Trust Fund, A Series Of The Stoneroad Series Investment Trustno longer reportedOther Private Fund$00Mar 29, 2016
Owners and control persons
Schedule A and B, latest filing
  • Presley Robert Banks · Director Of Relationship Managementcontrol
    since 12/2014 · owns less than 5%
  • David James Cahn · Directorcontrol
    since 01/2019 · owns less than 5%
  • Brady Gerald Coogan · Directorcontrol
    since 12/2017 · owns less than 5%
  • Shawn Stephen Hedger · Director Of Trading And Investment Operations; Directorcontrol
    since 07/2003 · owns less than 5%
  • Jean Diane Hulls · Chief Compliance Officercontrol
    since 03/2014 · owns less than 5%
  • Francis Michael Kennedy · Directorcontrol
    since 08/2018 · owns less than 5%
  • William Jonathan Reynolds · President And Chief Investment Officer; Directorcontrol
    since 09/2018 · owns less than 5%
Entity owners
  • Fifth Third Bank, National Association · Shareholder
    direct · owns 75% or more · public reporting company
  • Fifth Third Bancorp · Shareholder
    indirect · owns 75% or more of Fifth Third Financial Corporation · public reporting company
  • Fifth Third Financial Corporation · Shareholder
    indirect · owns 75% or more of Fifth Third Bank, National Association · public reporting company
Related persons
Schedule D 7.A
Advisers that list Cleararc Capital, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 288 to 116
    Dec 21, 2018 to Mar 21, 2019
  • Advisory employees · 23 to 6
    Dec 21, 2018 to Mar 21, 2019
  • Advisory activities · 4 to 3
    Dec 21, 2018 to Mar 21, 2019
  • Charity clients · 40 to 21
    Dec 21, 2018 to Mar 21, 2019
  • Corporate clients · 19 to 20
    Dec 21, 2018 to Mar 21, 2019
  • HNW clients · 2 to 1
    Dec 21, 2018 to Mar 21, 2019
  • Individual clients · 72.0 to unset
    Dec 21, 2018 to Mar 21, 2019
  • Pension plan clients · 14 to 7
    Dec 21, 2018 to Mar 21, 2019
  • Assets in custody · $474M to $37.0M
    Dec 21, 2018 to Mar 21, 2019
  • Employees · 40 to 12
    Dec 21, 2018 to Mar 21, 2019
  • Discretionary RAUM · $8.1B to $3.9B
    Dec 21, 2018 to Mar 21, 2019
  • HNW RAUM · $7.8M to $5.0M
    Dec 21, 2018 to Mar 21, 2019
  • Individual RAUM · 24108511.0 to unset
    Dec 21, 2018 to Mar 21, 2019
  • Pension RAUM · $154M to $88.1M
    Dec 21, 2018 to Mar 21, 2019
  • Pooled vehicle RAUM · $1.3B to $594M
    Dec 21, 2018 to Mar 21, 2019
  • RAUM · $8.1B to $3.9B
    Dec 21, 2018 to Mar 21, 2019
  • Other offices · 1 to 0
    Nov 19, 2018 to Dec 10, 2018
  • Accounts · 391 to 288
    Jan 30, 2018 to Mar 30, 2018
  • Advisory employees · 18 to 23
    Jan 30, 2018 to Mar 30, 2018
  • Charity clients · 92 to 40
    Jan 30, 2018 to Mar 30, 2018
  • Corporate clients · 29 to 19
    Jan 30, 2018 to Mar 30, 2018
  • Individual clients · 171 to 72
    Jan 30, 2018 to Mar 30, 2018
  • Pension plan clients · 23 to 14
    Jan 30, 2018 to Mar 30, 2018
  • Pooled vehicle clients · 8 to 5
    Jan 30, 2018 to Mar 30, 2018
  • Assets in custody · $289M to $474M
    Jan 30, 2018 to Mar 30, 2018
  • Employees · 41 to 40
    Jan 30, 2018 to Mar 30, 2018
  • Other offices · 2 to 1
    Jan 30, 2018 to Mar 30, 2018
  • Discretionary RAUM · $7.1B to $8.1B
    Jan 30, 2018 to Mar 30, 2018
  • HNW RAUM · $7.2M to $7.8M
    Jan 30, 2018 to Mar 30, 2018
  • Individual RAUM · $56.2M to $24.1M
    Jan 30, 2018 to Mar 30, 2018
  • Pension RAUM · $236M to $154M
    Jan 30, 2018 to Mar 30, 2018
  • Pooled vehicle RAUM · $916M to $1.3B
    Jan 30, 2018 to Mar 30, 2018
  • RAUM · $7.1B to $8.1B
    Jan 30, 2018 to Mar 30, 2018
  • Charity clients · unset to 92.0
    Mar 28, 2017 to Jan 30, 2018
  • Corporate clients · unset to 29.0
    Mar 28, 2017 to Jan 30, 2018
  • HNW clients · unset to 2.0
    Mar 28, 2017 to Jan 30, 2018
  • Individual clients · unset to 171.0
    Mar 28, 2017 to Jan 30, 2018
  • Pension plan clients · unset to 23.0
    Mar 28, 2017 to Jan 30, 2018
  • Pooled vehicle clients · unset to 8.0
    Mar 28, 2017 to Jan 30, 2018
  • Other offices · unset to 2.0
    Mar 28, 2017 to Jan 30, 2018
Signals
3 dated events
  • Daryl Brian Lamb (Director) no longer on Schedule A of Cleararc Capital, Inc. (listed 2019-03-21, absent 2019-09-13)
    Sep 13, 2019 · Control person left · inference
  • Cleararc Capital, Inc. reported RAUM $3.9B, down 52% from $8.1B (2018-12-21 to 2019-03-21)
    Mar 21, 2019 · RAUM change · derived
  • David James Cahn (Director) appeared on Schedule A of Cleararc Capital, Inc.
    Mar 21, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026