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Investment Adviser Firm Summary

CLEARARC CAPITAL, INC. (CRD# 104650 / SEC# 801-11184)
Alternate Names: CLEARARC CAPITAL, INC. , FIFTH THIRD ASSET MANAGEMENT, INC. , FIFTH THIRD/MAXUS ASSET MANAGEMENT , INVESTMENT STRATEGIES INC. , MAXUS ASSET MANAGEMENT INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/28/1975

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/25/2005
Alaska 08/26/2005
Arizona 08/25/2005
Arkansas 08/30/2005
California 08/25/2005
Colorado 08/25/2005
Connecticut 08/25/2005
Delaware 08/30/2005
District of Columbia 08/25/2005
Florida 03/12/2004
Georgia 08/25/2005
Hawaii 08/25/2005
Idaho 08/25/2005
Illinois 03/22/2004
Indiana 03/11/2004
Iowa 08/26/2005
Kansas 08/25/2005
Kentucky 03/11/2004
Louisiana 08/25/2005
Maine 08/25/2005
Maryland 08/25/2005
Massachusetts 08/25/2005
Michigan 06/10/2003
Minnesota 03/17/2004
Mississippi 08/25/2005
Missouri 08/25/2005
Montana 08/25/2005
Nebraska 08/25/2005
Nevada 08/25/2005
New Hampshire 08/25/2005
New Jersey 09/06/2005
New Mexico 08/25/2005
New York 08/25/2005
North Carolina 08/25/2005
North Dakota 08/25/2005
Ohio 12/07/1999
Oklahoma 08/25/2005
Oregon 08/25/2005
Pennsylvania 03/31/2005
Puerto Rico 08/25/2005
Rhode Island 08/25/2005
South Carolina 08/25/2005
South Dakota 08/26/2005
Tennessee 08/26/2005
Texas 03/11/2004
Utah 08/25/2005
Vermont 08/25/2005
Virginia 08/25/2005
Washington 08/25/2005
West Virginia 08/25/2005
Wisconsin 08/25/2005
Wyoming 03/30/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser