geminifund.comFund Services | Ultimus

Linkedin Twitter About About Ultimus Executive Team Sales Team Awards Careers Resources News & Press Insights Articles Blogs Podcasts Video Library Events Clients Shareholder Desktop Reporting Services NLD Ad Review Ultimus Client Access Network (UCAN) Ultimus Distribution Advantage Clients in the Spotlight GOAL Contact Us REGISTERED FUNDS Mutual Funds Launching a Mutual Fund Existing Fund Conversions Exchange Traded Funds Launching an ETF Existing Fund Conversions Commingled Vehicles Variable Insurance Funds Interval & Tender Offer Funds Collective Investment Trusts Business Development Company & Exchange Traded Closed End Funds Employee Securities Company Trust Options: Series & Standalone Fund Services Accounting Distribution Financial Administration Fund Compliance Fund Organization or Conversion Legal Administration Mutual Fund Transfer Agency and Shareholder Servicing Tax Services Middle Office Services PRIVATE FUNDS Private Equity Fund Services Venture Capital Fund Services Real Estate Fund Services Hedge Funds Fund Services Endowments & Foundations Fund Services DEDICATED MANAGED ACCOUNT Outsourced Chief Investment Officers (OCIOs) Fund of Hedge Funds Pensions, Endowments & Family Offices PUBLIC PLANS State-Sponsored 529 Plans Local Government Investment Pools Fund Services Comprehensive solutions specially designed to meet the unique needs of a variety of registered fund types and sizes HomeRegistered FundsFund Services Fund Services Courtney 2020-02-03T10:47:44-04:00 At Ultimus, we tailor our comprehensive mutual fund services to meet the unique needs of various sized fund groups, offering both series trust and standalone trust solutions. Whether you’re starting a new mutual fund or ETF or have existing funds , we have solutions that may help you grow your business. Our mutual fund creation experience has long been established. In addition, we have gained extensive experience managing conversions over the past decade, which means we’ve honed our processes in order to make the transition as seamless for you as possible. You can depend on our industry expertise and proven methodology to help you establish or reorganize your funds with Ultimus. Ultimus’ Services for Registered Funds: Accounting Our institutional quality technology, infrastructure, control environment, and experience can support any type of investment strategy, including those with sophisticated reporting needs. This is supported by significant investments in systems and processes, including management committees that review risks, vendors, pricing information for valuations, and performance metrics. Our accounting professionals work in an environment of strong internal controls to ensure high quality, extensive, and reliable personal service. The comprehensive fund accounting operational procedures and controls Ultimus has developed and implemented have contributed to consistently clean SOC1 audits. Our fund accounting department’s core duties include providing NAV calculations for all portfolios and funds that price daily or on other frequencies , as well as cash forecasting and corporate action processing. Ultimus also provides specialized services for ETFs, including processing of the daily Portfolio Composition File (PCF) and oversight of create/redeem files as needed. Contact us to learn more. Distribution Gathering assets for your mutual fund or ETF depends on many factors, including building awareness and providing advisers the ability to access your fund. Ultimus offers comprehensive solutions to meet your fund distribution needs and your strategic business goals. We’ve built a vast network of selling agreements and can provide you extensive information about RIAs, wirehouses, independent broker/dealers, and other market opportunities, as well as help you understand the requirements to engage these channels and the costs associated with them. Additionally, Ultimus’ mutual fund and ETF adviser clients are granted exclusive access to our Ultimus Distribution Advantage Program , which provides detailed distribution planning information, tools, and support. The Ultimus Distribution Advantage site offers details regarding the most relevant intermediaries in the financial services industry, such as data about their fees, minimum requirements, and underlying platforms and programs. You will also find other tools, such as a calendar of upcoming events and industry conferences and directory listings for marketers, website designers, third party marketers, and data providers, that can help you maximize your distribution program. Unique approach to distribution and providing support to firms Growing a distribution strategy with Ultimus’ guidance Ultimus provides critical solutions for ongoing needs Contact us to learn more. Financial Administration As your business partner, Ultimus efficiently handles all administrative duties for registered funds, including preparation and SEC filing of shareholder reports, performance reporting, board reporting and communications, and treasury operations. By partnering with Ultimus, you can focus on managing your portfolios and growing fund assets, while we skillfully handle all your administrative responsibilities. Ultimus uses state-of-the-art systems to provide the best service as possible for registered funds, including reporting for all SEC regulatory filings, expense management, portfolio analytics covering performance, attribution, contribution, allocation, and risk reporting, and automated daily fund and benchmark performance calculations. Our team also supports fund auditors and reporting and presentations at quarterly board meetings, as well as establishing and monitoring operating budgets, and paying fund operating expenses, including monthly management fees. Contact us to learn more. Fund Compliance Compliance solutions to keep firms up-to-date To ensure that they meet today’s stringent compliance requirements, all registered funds are required to designate a Chief Compliance Officer (CCO). Ultimus, whose staff includes attorneys, former regulators, former CPAs/auditors, former CCOs, and operations professionals, provides an experienced, qualified person to act on an independent basis as your fund’s CCO. This diverse experience enables us to evaluate the steady stream of new regulations from many different perspectives, resulting in practical and cost-effective implementation strategies. Your compliance officer reports directly to your fund’s board of directors/trustees. This service is provided for all Ultimus-sponsored series trusts and is available for those who operate funds in a standalone trust. Our goal is to help ensure that registered funds meet the SEC’s stringent regulatory compliance requirements. We assist funds in complying with the federal securities laws (defined by Rule 38a-1) and meeting the responsibilities as outlined by Rule 38a-1. Ultimus’ program is tailored to meet the needs of funds seeking a cost-effective alternative to hiring a CCO on a full-time basis, as we provide an experienced, qualified, and independent person to act as the fund’s CCO. Contact us to learn more. Fund Organization or Conversion As a new client, you will initially work with our adviser services team, which includes fund launch specialists. You will be assigned a project manager who will guide you through the onboarding or conversion process and coordinate your connectivity and engagement with third party service providers (custodians, prime brokerage firms, and auditors) and your core Ultimus service teams, such as fund administration and fund accounting. Lastly, your dedicated relationship manager will serve as your point of contact for the overall relationship after your new product launch. Ultimus seeks to build a lasting and productive relationship with you by thoroughly understanding your needs and being attentive to even the smallest details. Your project and relationship managers act as a...