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Institutional systems, personalized services, and always done securely

Transfer Agency interaction is the first contact shareholders will have with the fund once investing. We strive to make that experience a forgettable one, with efficient, effective, automated systems to process trades and make sure that new investors don’t have to think twice about the purchase or redemption process. If your clients do have unique needs, our call center team is prepared to answer even the most complex questions, employing licensed representatives and experienced professionals.

How we can help

Shareholder Processing

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Institutional systems process direct shareholder trades, NSCC activity, and provide daily trade summary and detail reports, dealer sales activity, and money movement reconciliations.

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Blue Sky Administration and Reporting

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Review and analyze all blue sky filing and registration to ensure that all states requiring registration are done in the most effective manner, whether at the trust level or through real time registration at the time of sale

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Year-End Tax Reporting

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Prepare all tax forms and mail to shareholders (1099R, 1099Div, 5498), coordinate and test electronic filings to the IRS using FIRE system, generate and mail all daily, quarterly, and year-end statements, confirmations, and tax forms to shareholders.

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AML Compliance and Reporting

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Provide quarterly compliance surrounding code of ethics, anti-money laundering, 22c-2,Bank Secrecy Act filings, Suspicious Activity Reporting preparation and filing, and 314(a) reporting

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Shareholder Inquiries & Call Center Services

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Handle all shareholder inquiries immediately and securely, using call center technology solution ensures complex calls can be routed directly to our licensed customer service agents. With offices on both coasts, representatives are available not just during market hours.

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Our Transfer Agency professionals have worked with some of the largest institutional firms, and build some of the most boutique, custom solutions, providing a depth of knowledge that is not readily available in a very specific industry operation. Additionally, thanks to our experienced and tenured staff, shareholders speak with the same representatives, time after time. We provide a level of consistency and shareholder familiarity that is unmatched, acting as an extension of their operations team for each advisor.

Why Needed?


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