Fifth Third Asset Management, Inc. (Cincinnati)

Name: Fifth Third Asset Management, Inc.
Address: 38 Fountain Square Plaza, Cincinnati, OH, 45263
Telephone: 855-362-2227

Fifth Third Asset Management, Inc. is a large advisory firm based in Cincinnati. It manages $6.89 billion of regulatory assets for 313 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Fifth Third Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fifth Third Asset Management: assets under management

The assets under management (AUM) of Fifth Third Asset Management, Inc. is $6.89 billion. The firm's AUM has gone down by -44% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $6.87 billion in discretionary accounts and $19.57 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $22.24 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.89 million.

Fifth Third Asset Management has custody of $4.72 billion in cash and securities for 252 clients in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Fifth Third Asset Management, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Fifth Third Asset Management, Inc.

Michael K Keating has been acting as President since 1 Apr 2001. Mitchell Lloyd Stapley has served as the Chief Investment Officer since 1 Oct 2012. Ralph Seefred Michael joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Fifth Third Bank	Shareholder	1 Jan 2001	75% - 100%	31-0676865
An Ohio Banking Corporation Fifth Third Bank	Shareholder	1 Jan 2001	75% - 100%	31-0676865
Robert William Curtin	Treasurer/asst secretary	1 Apr 2001	Other	1283433
Denis James Amato	Director of value strategies	1 Apr 2001	Other	2944739
Michael K Keating	Director	1 Apr 2001	Other	2279331
John Brien Schmitz	Director of equity strategy/income growth/intl	1 Apr 2001	Other	1724415
Kevin Sean Woodard	Assistant secretary	1 Apr 2001	Other	2523425
Richard Brian Ille	Member investment committee	1 Apr 2001	Other	1812453
Mitchell L. Stapley	Director of fixed income/taxable	1 Apr 2001	Other	4372531
Allan J. Meyers	Director of equity strategy/large company fund	1 Apr 2001	Other	4372535
Michael J. Martin	Director of fixed income/tax free	1 Apr 2001	Other	4380779
Stephen Shawn Hedger	Member investment committee	1 Apr 2001	Other	1827876
James Berghausen	President	1 Apr 2001	Other	4417172
Roberta Olson	Director fixed income	1 Apr 2001	Other	2279575
Steve Folker	Director of growth strategies	1 Apr 2001	Other	4417493
Mitchell Lloyd Stapley	Director of fixed income/taxable	1 Apr 2001	Other	4372531
Michael John Martin	Director of fixed income/tax free	1 Apr 2001	Other	4380779
Steven E. Folker	Member investment committee	1 Apr 2001	Other	4417493
Neal Everett Arnold	Director	1 Jan 2002	Other	2263534
James Kirk	Member investment committee	1 Apr 2002	Other	2367489
James Richard Kirk	Member investment committee	1 Apr 2002	Other	2367489
John Brien Schmitz	President/chairman investment committee	1 Jan 2003	Other	1724415
Paul L Reynolds	Secretary	1 Jan 2003	Other	2616203
Kevin Jason Patton	Chief compliance officer	1 Jan 2003	Other	4631357
James E Russell	Member investment committee	1 Jan 2003	Other	4631359
David Lowell Withrow	Member investment committee	1 Jan 2003	Other	1854676
James Edward Russell	Member investment committee	1 Jan 2003	Other	4631359
Paul Lyle Reynolds	Secretary	1 Jan 2003	Other	2616203
John Brien Schmitz	Member investment committee	1 Mar 2003	Other	1724415
Christopher J. Bell	Treasurer	1 Mar 2003	Other	4660625
Emerson Keith Wirtz	President; ftam investment committee chairman	1 Mar 2003	Other	2912282
Stephen Shawn Hedger	Managing director, trading and investment operations	1 Jul 2003	Other	1827876
Stephanie Schulze Thomas	Member investment committee	1 Oct 2004	Other	4863679
Christopher Allen Nelson	Chief compliance officer	1 Oct 2004	Other	2384935
John E Augustine	Member investment committee	1 Oct 2004	Other	2180749
Richard W Holmes	Chief legal officer; secretary	1 Jan 2005	Other	4940054
Timothy Patrick Ford	Managing director, sales	1 Jul 2005	Other	2644048
James Anthony Mautino	Chief compliance officer	1 Aug 2005	Other	2104106
Richard Brian Ille	Director	1 Aug 2006	Other	1812453
Matthew Ashley Swendiman	Chief legal officer; secretary	1 Aug 2006	Other	2849367
Stephanie Schulze Thomas	Director	1 Aug 2006	Other	4863679
Richard Paris Floyd	Managing director, client management	1 May 2012	Other	6134015
Christopher J. Bell	President	1 Oct 2012	Other	4660625
Mitchell Lloyd Stapley	Chief investment officer	1 Oct 2012	Other	4372531
Dimitrios Aristotle Contis	Managing director, sales	1 Oct 2012	Other	2601237
Stephen Gerard Mullins	President; director	1 Dec 2012	Other	4347855
Ralph Seefred Michael	Director	1 Feb 2013	Other	1639667
Harold James Coffey	Director	1 Feb 2013	Other	1102928
Keith Eugene Dershem	Director	1 Feb 2013	Other	6179415

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Fifth Third Financial Corporation	Shareholder	1 Jan 2001	75% - 100%	31-1755886
Fifth Third Bancorp	Shareholder	1 Jan 2001	75% - 100%	31-0854434

Based in Cincinnati

The principal office where Fifth Third Asset Management, Inc. performs its advisory services is located at 38 Fountain Square Plaza, Cincinnati, OH 45263, which is also the mailing address of the firm. An additional office of the firm is in Grand Rapids, MI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 855-362-2227 or by fax 513-534-0122. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at 53.com.