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Name

As of 07/22/2022

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

Certeza Convex Core Fund

CONVX | Fund

$8.34

$5.2 M

0.00%

$0.00

2.11%

Vitals

YTD Return

-27.2%

1 yr return

-12.7%

3 Yr Avg Return

N/A

5 Yr Avg Return

N/A

Net Assets

$5.2 M

Holdings in Top 10

84.5%

52 WEEK LOW AND HIGH

$8.3
$8.26
$12.56

Expenses

OPERATING FEES

Expense Ratio 2.11%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover N/A

Redemption Fee N/A

Min Investment

Standard (Taxable)

$5,000

IRA

N/A

Fund Classification

Fund Type

Open End Mutual Fund

Name

As of 07/22/2022

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

Certeza Convex Core Fund

CONVX | Fund

$8.34

$5.2 M

0.00%

$0.00

2.11%

CONVX - Profile

Distributions

  • YTD Total Return -27.2%
  • 3 Yr Annualized Total Return N/A
  • 5 Yr Annualized Total Return N/A
  • Capital Gain Distribution Frequency N/A
  • Net Income Ratio -1.36%
DIVIDENDS
  • Dividend Yield 0.0%
  • Dividend Distribution Frequency Annually

Fund Details

  • Legal Name
    Certeza Convex Core Fund
  • Fund Family Name
    Certeza
  • Inception Date
    Dec 30, 2020
  • Shares Outstanding
    N/A
  • Share Class
    Inst
  • Currency
    USD
  • Domiciled Country
    United States
  • Manager
    Jim Macfarlane

Fund Description

CONVX - Performance

Return Ranking - Trailing

Period CONVX Return Category Return Low Category Return High Rank in Category (%)
YTD -27.2% -72.6% 38.3% N/A
1 Yr -12.7% 1.3% 112.2% N/A
3 Yr N/A* -5.2% 25.7% N/A
5 Yr N/A* 4.2% 25.5% N/A
10 Yr N/A* 2.7% 15.5% N/A

* Annualized

Return Ranking - Calendar

Period CONVX Return Category Return Low Category Return High Rank in Category (%)
2023 N/A -94.0% 2181.7% N/A
2022 N/A -22.7% 41.1% N/A
2021 N/A -100.0% 17.1% N/A
2020 N/A -100.0% 33.2% N/A
2019 N/A -44.8% 25.0% 43.19%

Total Return Ranking - Trailing

Period CONVX Return Category Return Low Category Return High Rank in Category (%)
YTD -27.2% -72.7% 37.7% N/A
1 Yr -12.7% 1.3% 112.2% N/A
3 Yr N/A* -5.2% 25.7% N/A
5 Yr N/A* 4.2% 25.5% N/A
10 Yr N/A* 2.7% 15.5% N/A

* Annualized

Total Return Ranking - Calendar

Period CONVX Return Category Return Low Category Return High Rank in Category (%)
2023 N/A -94.0% 2181.7% N/A
2022 N/A -21.6% 41.1% N/A
2021 N/A -100.0% 17.1% N/A
2020 N/A -100.0% 33.2% N/A
2019 N/A -13.4% 26.8% 71.27%

NAV & Total Return History

CONVX - Holdings

Concentration Analysis

CONVX Category Low Category High CONVX % Rank
Net Assets 5.2 M 732 K 1.21 T 99.27%
Number of Holdings 80 2 3783 76.46%
Net Assets in Top 10 7.11 M -247 M 267 B 98.73%
Weighting of Top 10 84.47% 2.0% 100.0% 2.23%

Top 10 Holdings

  1. Federated Hermes Govt Obl IS 13.16%
  2. Union Pacific Corp 5.18%
  3. Aon PLC 4.86%
  4. Texas Pacific Land Trust 4.83%
  5. HCA Holdings Inc 4.49%
  6. Microsoft Corp 4.34%
  7. Oracle Corp 4.34%
  8. Sprott Physical Gold Trust 4.31%
  9. Lowe's Companies Inc 4.20%
  10. Johnson & Johnson 3.73%

Asset Allocation

Weighting Return Low Return High CONVX % Rank
Bonds 		68.35% -9.53% 81.55% 0.40%
Cash 		30.82% -87.42% 100.00% 0.74%
Convertible Bonds 		1.30% 0.00% 10.44% 1.14%
Preferred Stocks 		0.00% 0.00% 11.50% 80.35%
Other 		0.00% -15.45% 100.00% 80.28%
Stocks 		-0.46% -6.31% 154.21% 100.00%

Bond Sector Breakdown

Weighting Return Low Return High CONVX % Rank
Government 		51.57% 0.00% 100.00% 1.45%
Cash & Equivalents 		30.67% 0.00% 100.00% 96.13%
Corporate 		17.70% 0.00% 100.00% 6.02%
Securitized 		0.03% 0.00% 50.80% 1.80%
Municipal 		0.03% 0.00% 3.09% 1.04%
Derivative 		0.00% 0.00% 99.32% 80.64%

Bond Geographic Breakdown

Weighting Return Low Return High CONVX % Rank
US 		61.88% 0.00% 69.52% 0.47%
Non US 		6.47% -79.05% 43.31% 0.40%

CONVX - Expenses

Operational Fees

CONVX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 2.11% 0.01% 31.14% N/A
Management Fee 1.39% 0.00% 2.00% 99.87%
12b-1 Fee 0.00% 0.00% 1.00% N/A
Administrative Fee N/A 0.00% 0.95% N/A

Sales Fees

CONVX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 1.00% 5.75% N/A
Deferred Load N/A 0.95% 5.00% N/A

Trading Fees

CONVX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 0.25% 2.00% N/A

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

CONVX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover N/A 0.00% 438.00% N/A

CONVX - Distributions

Dividend Yield Analysis

CONVX Category Low Category High CONVX % Rank
Dividend Yield 0.00% 0.00% 2.07% 83.18%

Dividend Distribution Analysis

CONVX Category Low Category High Category Mod
Dividend Distribution Frequency Annually Annually Quarterly Annually

Net Income Ratio Analysis

CONVX Category Low Category High CONVX % Rank
Net Income Ratio -1.36% -3.04% 16.95% N/A

Capital Gain Distribution Analysis

CONVX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Annually

Distributions History

View More +

CONVX - Fund Manager Analysis

Managers

Jim Macfarlane

Start Date

Tenure

Tenure Rank

Dec 30, 2020

1.42

1.4%

Jim Macfarlane, CFA- Mr. Macfarlane joined Certeza Asset Management LLC in 2019 and holds the positions of Chief Executive Officer and Portfolio Manager. Prior to joining Certeza Asset Management LLC, Mr. Macfarlane held various roles at Goldman Sachs in both the US and Europe during his 12-year career with the firm. Mr. Macfarlane received a B.S. in Finance from Utah State University in 2007 and a Masters in Finance from the London Business School in 2014. He holds the designation of Chartered Financial Analyst®.

Patrick Sharp

Start Date

Tenure

Tenure Rank

Dec 30, 2020

1.42

1.4%

Mr. Sharp joined Certeza Asset Management LLC in 2011 and holds the positions of Chief Technology Officer and Portfolio Manager. Mr. Sharp received his B.S. in Computer Science with a professional emphasis in Science from Utah State University in 2017.

Brett Nelson

Start Date

Tenure

Tenure Rank

Dec 30, 2020

1.42

1.4%

Mr. Nelson founded Certeza Asset Management LLC in 2011 and holds the positions of Chief Investment Officer and Managing Member. Certeza Fund Advisors LLC is a wholly owned subsidiary of Certeza Asset Management LLC. Mr. Nelson has served as Chief Investment Officer of Certeza Asset Management LLC since 2011. Mr. Nelson received a B.S. in Finance from Utah State University in 2006. He holds the designation of Chartered Financial Analyst®.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.01 42.35 6.3 1.33

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