Executive and Director Trustee Search

Transcription

Executive and Director Trustee Search
Management Practice, Inc.
Wilbanks Partners LLC
216 West Hill Road
Suite 200
Stamford, CT 06902
203-973-0535
Fax: 866-749-6826
Email: [email protected]
Website: http://www.mfgovern.com
One Stamford Plaza
Ninth Floor
263 Tresser Boulevard
Stamford, CT 06901
203-303-7766
Website: http://www.wilbankspartners.com
Contact: C. Meyrick Payne, Senior Partner
Contact: George Wilbanks, Managing Partner
MPI has worked with fund boards for more than 40 years and has
specialized knowledge of the fund director position.
Wilbanks Partners provides executive recruiting and organizational
management consulting services to every segment of the asset
and wealth management business. In a market dominated by
uncertainty, recruitment and retention of executive leadership
require a special combination of deep market knowledge
and the independence, wisdom, and experience to put this
knowledge to work. George Wilbanks brings a 30-year career
in the investment business, first in venture capital and mutual
funds and subsequently building the AWM practice at Russell
Reynolds Associates. He has worked on nearly 1,000 searches with
experience in virtually every facet of the investment and wealth
advisory business.
We offer:
»»Nationwide search for the “T-shaped” director: broad, wise,
and collegiate on top with functional skill or interest to
complement existing board
»»Assistance with diversity disclosure required by the SEC in
certain public documents
»»Fees typically lower than national executive search firms
»»Step-by-Step Process:
»»Needs assessment
»»Selection criteria
»»Initial screening and assistance with credit, legal, and
background checking of candidates
»»Documentation of the process and correspondence with
candidates
»»New director education/onboarding
MJE Advisors
17 Hanover Road
Suite 240
Florham Park, NJ 07932
973-765-9400
Fax: 973-765-0881
Website: http://www.mjeadvisors.com/contact-us
Contact: Barry Emen, President
MJE Advisors is a leading provider of executive search for the
investment management industry with more than 40 years of
combined experience among our professional team. We work
closely with our clients to develop customized recruiting solutions
and help them acquire the key human capital needed to grow
their business. We are a privately owned firm with relationships
throughout North America and the United Kingdom covering all
major sub-sectors of the investment management industry. We
leverage our collective expertise to identify and deliver only the
highest quality professionals who help support the growth and
success of our clients.
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THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION
Sutherland teams with investment management
clients to make business goals a reality
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Mutual Funds
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Insurance Products
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Closed-End Funds
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Broker-Dealers
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Exchange-Traded Funds
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Investment Advisers
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Hedge Funds
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Boards of Directors
For more information on Sutherland’s investment management practice, contact:
Eric Arnold
202.383.0741
[email protected]
Michael Koffler
212.389.5014
[email protected]
Fred Bellamy
202.383.0126
[email protected]
Susan Krawczyk
202.383.0197
[email protected]
Tom Bisset
202.383.0118
[email protected]
Steve Roth
202.383.0158
[email protected]
Steve Boehm
202.383.0176
[email protected]
Holly Smith
202.383.0245
[email protected]
Jamie Cain
202.383.0180
[email protected]
John Walsh
202.383.0818
[email protected]
Cliff Kirsch
212.389.5052
[email protected]
Mary Jane Wilson-Bilik
202.383.0660
[email protected]
SUTHERLAND ASBILL & BRENNAN LLP
www.sutherland.com
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Financial Planning
DST
1055 Broadway
10th Floor
Kansas City, MO 64105
816-435-3773
Fax: 816-435-3777
Website: http://www.dstsystems.com
Contact: Bruce Olberding, Vice President
Spend less time managing information and more time focused on
how to grow your business. Our Distribution Support Solutions
focus on providing asset management companies, broker-dealers,
and financial advisors convenient, cost-effective access to critical
information, superior levels of service, and automation to address
regulatory, customer service, and business strategy needs.
DST Vision® is an interactive website enabling advisers to respond
to client inquiries, prepare for portfolio reviews, or monitor
activity across a book-of-business. Vision is the preferred financial
intermediary site providing no-cost access to fund, shareowner
account, and dealer information to more than 100,000 active
users each month. Its real-time, critical information and tools help
advisors spend less time managing information and more time
focused on the needs of their clients.
Vision® Professional is a premium solution that enables advisors
to retrieve presentation-ready, automated, and consolidated
historical, quarter-end shareholder reporting reports with
supplemental product and holdings analytics. The solution also
adds brokerage positions to the holding available for aggregation
with the other financial products already in Vision.
Our Financial Advisor Network® Mail (FAN Mail®) provides advisors
and broker-dealer back-offices the transactional and position
information necessary to populate proprietary databases and
software applications.
Our Internet Dealer Commissions solution is an automated, 24/7
file delivery system for commission and 12b-1 data.
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Financial Printing
BNY Mellon
Command Financial Press
25 Liberty Street
New York, NY 10281-1008
800-579-1459
Website: http://www.bnymellon.com
345 Hudson Street
Fourth Floor
New York, NY 10014
212-274-0070
Fax: 212-334-8783
Website: http://www.commandfinancial.com
Contact: Marina Lewin, Global Head of Sales
BNY Mellon offers cost-effective investor communications
solutions to meet your financial printing needs. Our relationship
with Xerox® brings to our clients Xerox’s technology and services,
including enhanced capabilities to deliver a complete digital
communications solution and innovation in personalized multimarket-channel business communications to support your
business, including:
»»Data processing with aggregation, manipulation, and
composition
»»Printing variable data in black and white, highlight color, and
full digital color
»»Intelligent/selective insertion
»»Mail preparation and postal optimization
»»Electronic archival and presentment
»»Digital imaging
»»Inventory procurement, management, and storage
See our ad on page 9.
Contact: Bruce Bezpa, Vice President, Marketing
Command Financial, one of the country’s largest financial
printers, offers the latest in fully integrated, technology-based
solutions and personalized service related to data, document, and
distribution elements of document lifecycle management. We
continue to redefine financial printing by providing a full range of
financial printing services, including state-of-the-art typesetting,
highly experienced customer service, in-house proofreading,
EDGAR, XBRL, language translation, virtual data rooms, and
extensive in-house press capacity. Our press and production
capacity—one of the largest in the country—includes digital print,
print-on-demand, web, and sheet-fed capabilities; perfect binding;
and traditional and electronic fulfillment. We also offer industryleading content management through our Command Automated
Publishing System, CAPS. The prospectus and shareholder report
modules of CAPS are content management and automated
document assembly tools that utilize an intuitive user interface
and a database-driven virtual library, allowing clients to manage
and repurpose information. Our Integration module bridges the
capabilities of our Prospectus and Shareholder report modules to
provide a comprehensive solution for content and management.
Our Summary Prospectus functionality significantly enhances
the management of summary prospectus content, and our new
Multi-Change Processing features provides enhanced functionality
designed to address KIIDs and Collective Funds.
95
FINANCIAL PRINTING
Merrill Corporation
RR Donnelley
225 Varick Street
New York, NY 10014
212-229-6602
Fax: 212-367-5989
Website: http://www.merrillcorp.com
99 High Street
Boston, MA 02110
617-556-8309
Fax: 617-556-8369
Website: http://www.rrdgim.com
Contact: Roy Gross, President, Marketing and Communication
Solutions
Contact: John Hagerty, Vice President, Content Delivery
How do you optimize your printing budget? Merrill prints
regulatory, compliance, and marketing documents of all sizes and
quantities. We are a leader in digital print and electronic content
management, reducing obsolescence costs. Our print solutions
are seamlessly integrated with our Composition, EDGAR, XBRL,
PublishingCenter, and Print and Distribute services.
We’ve also developed ComplianceCenter, an intelligent printdatabase information and scenario analysis tool that delivers
personalized and portfolio-specific documents to shareholders,
eliminating unnecessary printing and postage costs.
Do you have a document project on your plate, and you don’t
know where to start? As the world’s largest provider of print and
related services, we are ready to meet your needs. Our highly
experienced 1940-Act service team partners with you at every
stage of your project to ensure quality, keep costs in check,
and build your brand. Our unparalleled range of capabilities,
industry-centric solutions, and innovative technologies ensure
that your project will run smoothly, at the lowest production and
postage costs. That’s why we are an industry leader in investor
communications.
Whether you’re seeking a fully integrated suite of services or
a single solution, Merrill delivers solutions tailored to precisely
match the way you do business.
Radius Financial Compliance Group
33 Riverside Drive
Pembroke, MA 02359
781-878-8028 x217
Website: http://www.radiusfcg.com
Contact: Maureen Tuttavilla, President
At Radius, financial compliance documents are our business. With
an average of 20 years of industry experience, members of our
financial compliance group have the expert knowledge necessary
to ensure your project is completed meticulously and expeditiously
every step of the way. We provide 24/7 coverage, and prices
to keep you well within budget, with no surprise costs and no
nonsense. We work to earn the business of our clients with each
project. Let us show you how important your business is to us.
»»Financial Typesetting
»»Financial Document Proofreading
»»EDGAR and SEC Filings
»»XBRL
»»Document Hosting
»»Print (web, offset, print-on-demand)
»»Mail
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529 College Savings Plan Support and Servicing
Boston Financial Data Services, Inc.
DST
2000 Crown Colony Drive
Quincy, MA 02169
888-772-2337
617-483-8795
Website: http://www.bostonfinancial.com
333 West 11th Street
888-DST-INFO
617-483-8810
Contact: Steve Grande, Vice President, Sales
Contact: Mike Tobin, Vice President of Sales
Boston Financial has been servicing college savings plans
since 1998, currently supporting 26 programs representing 2.9
million accounts. We thoroughly understand the operational and
regulatory aspects of the business, handle a large variety of plan
designs and features, and are positioned to meet each state’s
needs as they evolve program rules and functionality.
DST’s mutual fund shareholder recordkeeping platform supports
processing and recordkeeping for 529 college savings plans.
Plan providers can use a broad range of functionality and service
models, including:
Boston Financial was one of the first providers to support both
direct and advisor-sold programs and to offer states integrated
solutions for supporting contribution monitoring, aggregation
tracking, and tax-reporting. We continue to develop innovative
tools and technologies to promote investor satisfaction and
simplify the savings process.
»»Shareholder web access to account set-up, transaction
processing, and plan information
»»Financial intermediary web access
»»Interactive voice response
»»Program and plan manager complete aggregation across
asset managers, recordkeepers, and distributors
»»Support of any standard share class, including B class shares,
and rolls to A class when shares are fully aged
»»Processing of 529 purchases through payroll transmission
»»Systematic investment changes based on beneficiary’s age or
years to enrollment
»»Systematic tracking of regulatory requirements limiting 529
investment strategy changes
»»Systematic adjustments of principal
»»Customer communication services
»»Sales reporting
»»Business process solutions
»»1099-Q tax reporting
»»Flexible service offerings
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529 COLLEGE SAVINGS PLAN SUPPORT AND SERVICING
Envision Financial Systems, Inc.
Gemini Fund Services, LLC
18101 Von Karman Avenue
Suite 1420
Irvine, CA 92612
714-247-0030, x114
949-579-9195
Website: http://www.enfs.com
80 Arkay Drive
Suite 110
Hauppauge, NY 11788
855-891-0092
Website: http://www.geminifund.com
Contact: Brian Jones, Executive Vice President
Envision is the leading provider of real-time shareholder
recordkeeping and servicing solutions. Our product suite includes
a shareholder recordkeeping system with integrated cost basis,
workflow, and imaging, as well as Internet inquiry, trading,
and e-delivery solutions. Envision also offers a separate trade
monitoring application that works with any recordkeeping
platform. Using real-time open industry standard technology,
configurable business rules, and a customer-centric interface,
our clients have significantly increased efficiency and service
quality. Envision’s products enable investment companies and
service providers to optimize productivity and increase customer
satisfaction by allowing them to control and customize their
business processes. Envision provides reliability for today’s
challenges and flexibility for tomorrow’s opportunities.
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Contact: Eddie Lund, Vice President Business Development
Gemini Fund Services, LLC provides comprehensive, pooled
investment solutions as an engaged partner to independent
advisors. Gemini serves as a resource to advisors bringing their
own, unique investment vehicles to market, including mutual
funds, exchange-traded funds, funds on insurance platforms, and
more. As a full-service firm, Gemini provides the administration,
accounting, and transfer agent/shareholder services that advisors
need in order to launch and market successful products. With
more than 30 years of experience, Gemini brings industry
knowledge and insight to help advisors achieve the vision of their
product and deliver the most extensive range of solutions to
clients.
Fund Accounting
Atlantic Fund Services
Barrington Partners
3 Canal Plaza
Suite 600
Portland, ME 04101
207-347-2016
Website: http://www.atlanticfundservices.com
77 Franklin Street
Suite 802
Boston, MA 02110
617-482-3300
617-482-3325
Website: http://www.barringtonp.com
Contact: Jessica Chase, Senior Vice President, Business
Development
Atlantic provides comprehensive solutions for converting,
launching, and operating mutual funds, registered and
unregistered hedge funds, and other pooled investment vehicles.
We offer:
»»Consultative product design, conversion, and fund start-up
management
»»Expert fund administration and compliance support,
including best practices and cost management strategies
»»Advanced fund accounting that supports accurate and timely
NAV calculations and reporting
»»Leading transfer agency services that provide clients,
intermediaries, and shareholders with focused expertise and
real-time data
Since our founding as Forum Financial Group in 1986, we have
provided innovative fund services and solutions that emphasize
quality, responsiveness, and compliance.
Contact: Hubbard Garber, Partner
Barrington Partners
»»Benchmark Surveys
»»Intermediary Oversight 2014 and 2015
»»Intermediary Fees 2014
»»Audit Fee Survey 2015
»»Global Fund Accounting Costs 2015
»»Consulting/Best Practices
»»Cost, Process, Technology, Strategy Analysis
»»Fund Fee Analysis and Service Provider Due Diligence
»»Product/Class Strategy Analysis
»»Middle- and Back-Office Assessment
»»Securities Lending and/or FX
»»Specialty 15(c)
»»Investment Banking
»»Investment Advisory, Administration, and Software
companies
»»Fairness Opinions
»»Lift-Outs of Portfolio Management Teams
»»Systems Research
»»Separate Account, Mutual Fund, and Hedge Fund
Technology, globally
99
FUND ACCOUNTING
BNY Mellon
225 Liberty Street
New York, NY 10281-1008
800-579-1459
80 Arkay Drive
Suite 110
Hauppauge, NY 11788
855-891-0092
BNY Mellon offers a single worldwide source for fund accounting
and administration services. Our experience encompasses virtually
any security and product structure, including multi-manager,
multiple-class, multi-currency funds, master/feeder, hedge
fund, variable annuity, and fund of funds, enabling us to service
virtually any client innovation regardless of domain. These services
are delivered by industry professionals via one global platform
that provides real-time access to data worldwide in a consistent
fashion, regardless of a fund’s domicile, size, or asset mix.
Brown Brothers Harriman & Co.
50 Post Office Square
Boston, MA 02110
617-772-1673
Website: https://www.bbh.com/wps/portal/expertise/
investmentservices/productscapabilities/
investmentaccountingadministration/infomediary
Contact: Michael A. Saunders, Managing Director
Brown Brothers Harriman (BBH) provides multi-currency
investment accounting, portfolio valuation, fund administration,
and reporting services to some of the largest and most
sophisticated asset gatherers in the world. Exceeding $1.5 trillion
in global accounting and administration assets (as of June 30,
2014), we provide accounting, valuation, financial reporting,
compliance, performance, and tax services to a variety of entities
that include collective investment vehicles, insurance companies,
pensions, and trusts, all managed through a single technology
platform. BBH consistently receives ‘top rated’ accolades in Global
Custodian’s annual Mutual Fund Administration Survey. For more
information about BBH’s differentiated approach, please visit
www.bbh.com.
clients.
Huntington Asset Services, Inc.
37 West Broad Street
HP0600
Columbus, OH 43215
614-480-3943
Website: http://www.huntingtonassetservices.com
Contact: Jeffrey Young, Senior Vice President, Business
Development
Huntington provides organization, conversion, and ongoing
support for mutual funds, collective trust funds, and other pooled
investment vehicles using industry-leading systems. Spanning
financial, tax, legal, and compliance administration, our attorneys,
paralegals, and operations teams:
»»Pay fund expenses
»»Monitor portfolio compliance
»»Prepare budgets
»»Prepare regulatory filings (prospectuses, supplements,
financials, tax returns)
»»Analyze securities transactions
»»Produce and distribute board materials
»»Provide appropriate fund officers
Servicing funds for more than 50 years, our solutions include:
»»Administration
»»Legal and Compliance
»»Fund Accounting
»»Transfer Agency
»»Distribution
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FUND ACCOUNTING
Interactive Data Pricing and Reference Data LLC
J.P. Morgan
100 Church Street
New York, NY 10019
212-771-6565
Fax: 212-497-3100
Website: http://www.interactivedata.com
383 Madison Avenue
11th Floor
New York, NY 10179
212-834-4526
Fax: 212-622-3514
Website: http://www.jpmorgan.com/investorservices
Contact: Liz Abela, Vice President, Interactive Data
Interactive Data is a proven industry leader, providing major
financial institutions and corporations worldwide with timely,
high-quality independent evaluated prices to support their
mission-critical operations. The company delivers daily evaluations
representing approximately 100 countries and 30 different
currencies for 2.8 million financial instruments. Thousands of
financial institutions worldwide, ranging from central banks to
large investment banks to hedge funds, subscribe to Interactive
Data’s daily evaluated pricing. Interactive Data has more than
2,500 employees in offices worldwide.
Pricing, evaluations, and reference data are provided in the United
States through Interactive Data Pricing and Reference Data LLC
and internationally through Interactive Data (Europe) Ltd. and
Interactive Data (Australia) Pty Ltd.
Contact: John Durso, Managing Director
J.P. Morgan is a leading provider of accounting and administration
services worldwide, servicing 18,500 accounts representing
$7.2 trillion assets. Our global accounting system is designed
to support a variety of investment vehicles in the marketplace,
including mutual funds, commingled vehicles, multi-manager
funds, ETFs, fund of funds, and multi-currency funds. We leverage
our worldwide expertise for the benefit of our clients and utilize
a single global accounting system to deliver consistent reporting
across regions, broad product knowledge, and pass-the-book
capabilities for funds requiring service in multiple locations. J.P.
Morgan continues to reinvest in our products and services to
deliver innovative products to our clients.
Northern Trust
Jackson Fund Services
225 West Wacker Drive
Suite 1200
Chicago, IL 60606
312-338-5801
Fax: 312-730-9757
Contact: Mark D. Nerud, President and CEO
Jackson Fund Services (JFS), a division of Jackson National
Asset Management, LLC and a subsidiary of Jackson National Life
Insurance Company, offers a full range of mutual fund and variable
annuity sub-account services, including:
»»Fund Accounting
»»Fund Administration
»»Regulatory Administration and Compliance
»»Transfer Agent and Shareholder Services
JFS services 179 funds with approximately $171.1 billion in
assets covering virtually all asset classes. Because of our unique
size and structure, we have the resources to meet your growing
needs while also providing the customized solutions, individual
attention, and access to key personnel that you would expect from
a business partner.
50 South LaSalle Street
Chicago, IL 60603
312-444-5655
Fax: 312-557-1846
Website: http://northerntrust.com/fundservices
Contact: Michael Blake, Senior Vice President
Northern Trust is a top-tier provider of Global Fund Services,
including fund accounting, fund administration, transfer agency,
custody, and financial reporting services to our global fund
clients. With offices located in Chicago, Dublin, Limerick, London,
and Luxembourg, Northern Trust services a wide variety of fund
structures and investment objectives, including registered mutual
funds, collective investment funds, trust funds, offshore funds,
partnerships, and hedge funds.
We deliver our fund services via a single global platform. Our
capabilities are built on the experience and expertise of our
established Global Fund Services division, which offers global
clients a strong competitive advantage.
101
FUND ACCOUNTING
Nottingham
State Street
116 South Franklin Street
Rocky Mount, NC 27804
800-525-3863
252-972-9922, x206
Fax: 252-442-4226
Website: http://www.ncfunds.com
One Lincoln Street
Boston, MA 02111
617-664-6676
Fax: 617-664-7733
Website: http://www.statestreet.com
Contact: Kate Honey, Executive Vice President
Nottingham is a full-service fund administration firm providing
turnkey organizational and operational services for mutual funds,
hedge funds, and fund-of-funds. We also offer unitized accounting
and customized reporting solutions to foundations, endowments,
and government budgets and investment pools.
Our comprehensive fund services include:
»»Structure consultation and organization
»»Legal administration
»»Fund accounting
»»Distribution
»»Shareholder servicing
»»Transfer agency services
Contact: Peter L. Thurmond, Senior Vice President
State Street’s fully integrated multicurrency Global Horizon®
accounting, custody, and financial reporting system offers full
accrual, trade date, and tax lot accounting, with multiple methods
for costing sales. Fund assets and records are serviced in a single
system environment, providing real-time processing in local
time zones and consistent reporting whether you trade in one
or multiple countries and currencies. Trade information can be
entered electronically from your current system. Global Horizon®
monitors and reports transactions, holdings, and income in both
local and user-selected base currencies. With the largest pool
of pricing professionals in the world, we have extensive pricing
ability and expertise.
Ultimus Fund Solutions, LLC
Nottingham’s hands-on, personable services are best suited for
new or existing funds seeking a highly responsive administration
partner that shepherds the organization process and provides
superior day-to-day service to both advisors and shareholders.
225 Pictoria Drive
Suite 450
Cincinnati, OH 45246
513-587-3400
Website: http://www.ultimusfundsolutions.com
SEI
Contact: Bob Dorsey, Managing Director
1 Freedom Valley Drive
Oaks, PA 19456
610-676-1270
Website: http://www.seic.com/IMS
Ultimus provides comprehensive mutual fund services to new
and existing, open- and closed-end fund groups. We operate as
a professional services firm staffed with attorneys, accountants,
paralegals, operations specialists, and shareholder service
representatives.
Contact: John Alshefski, Senior Vice President and Managing
Director
Our team of Passionate Professionals provides services, including
fund organization and compliance, fund administration and
distribution, fund accounting and pricing, transfer agent, and
shareholder services, along with middle-office services, to produce
Remarkable Results for our fund clients.
SEI provides industry-leading outsourcing services for investment
managers worldwide. SEI’s solution offers an integrated, openarchitecture operating platform that brings together innovative
components tailored for your specific accounting requirements.
Our clients have relied on SEI during the shifting regulatory
landscape to deliver best practices, innovative technology, and
customized reporting in a highly automated environment.
Since 1999, our senior management team of seasoned veterans,
combined with industry-leading technology and operational best
practices, delivers customized, Smart Solutions suited to each
fund’s business requirements.
Our sophisticated services enable investment managers of all sizes
and points in their lifecycles to streamline their business, minimize
distractions, and sharpen business strategies by remaining
focused on their competitive advantages and core competencies.
SEI is committed to growing with our clients and delivering worldclass solutions.
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FUND ACCOUNTING
UMB Fund Services
U.S. Bancorp Fund Services, LLC
235 West Galena Street
Milwaukee, WI 53212
888-844-3350
Website: http://www.umbfs.com
777 East Wisconsin Avenue
Milwaukee, WI 53202
414-765-5678
800-300-3863
Fax: 866-624-7095
Website: http://www.usbfs.com
Contact: Tony Fischer, President
We take ownership of the day-to-day operational details for a
wide variety of fund structures, including mutual funds, common
and collective trusts, registered and unregistered hedge funds—
from calculating NAVs and cash availability, to preparing financial
statements for shareholders and regulators, to transmitting NAVs
to the media and reporting agencies, to reviewing corporate
actions and preparing detailed financial reports for the advisor.
Our fund accountants use up-to-date, integrated technology to
deliver accurate, consistent, and timely information.
Our highly skilled staff and exceptional service are tailored
to overcome the challenges of an ever-changing regulatory
environment of complex rules and product offerings.
Contact: Bob Kern, Director of Business Development
Our knowledgeable highly tenured Fund Accounting group is
enhanced by our dedication to implementing Lean Six Sigma
principles through tools and methods to increase efficiency. Our
services include:
»»Timely calculation and dissemination of daily NAVs
»»Production of a daily general ledger and a trial balance
»»A high level of controls and review over all accounting and
pricing procedures
»»Reconcilement of daily cash activity with custodian
»»Accounting for all portfolio trade activity via a variety of
trading formats
»»Accounting for income, expense, and shareholder activities,
including multi-class
»»Corporate actions processing
»»Multi-vendor access to security valuations
»»Coordination with the transfer agent and outstanding share
positions
All of US serving you.
See our ad on the inside front cover.
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Fund Compliance and Administrative Services
AST Fund Solutions, LLC
1200 Wall Street West
3rd Floor
Lyndhurst, NJ 07071
201-806-7300
Fax: 201-460-0050
Website: http://www.astfundsolutions.com
3 Canal Plaza
Portland, ME 04101
207-347-2016
Contact: Paul Torre, Executive Vice President
AST Fund Solutions, LLC is the premier provider of proxy
solicitation and shareholder communication services for the mutual
fund, business development company (BDC), and master limited
partnership (MLP) industries in North America.
Our team of experts offers a comprehensive suite of services for
open-end and closed-end funds, BDCs, and MLPs.
Services include:
»»Mutual fund, closed-end, BDC, and MLP proxy solicitation
services
»»Regulatory mailing services
»»Strategic advisory services for closed-end funds, BDCs, and
MLPs
»»CEFinsight.com™
»»Closed-end fund, BDC, and MLP transfer agent solutions
»»Closed-end fund, BDC, and MLP administration services
Development
We offer:
management
real-time data
American Stock Transfer & Trust Company (AST) and its affiliates
are leading providers of registry services to financial markets
around the world.
For more information, call 201-806-7300, email
[email protected], or visit www.amstock.com.
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FUND COMPLIANCE AND ADMINISTRATIVE SERVICES
BNY Mellon
DST
225 Liberty Street
New York, NY 10281-1008
800-579-1459
1055 Broadway
646-417-3120
Contact: Robyn Holloway, Vice President, Sales
BNY Mellon offers a comprehensive range of 1940 Act
administrative services, further enhancing our position as one
of the leading service providers to the mutual fund industry.
Dedicated industry professionals help guide clients through the
maze of rules and regulations governing mutual funds. Using
leading-edge technologies, we provide financial, compliance,
and management reporting services. Let us demonstrate BNY
Mellon’s unique ability to offer comprehensive and customized
administrative services to support your success in the highly
regulated mutual fund environment.
Asset management companies are integrating alternative
investments into traditional investment strategies as they seek
improved returns and diversification.
Boston, MA 02110
617-772-1673
investorservices/productscapabilities/
investmentaccountingadministration
Brown Brothers Harriman (BBH), with more than $1.5 trillion in
global accounting and administration assets (as of June 30, 2014),
provides a comprehensive suite of compliance and administrative
funds services. We offer numerous modules, including fund
accounting, financial reporting, assistant treasurer’s support,
tax support, performance measurement and analytics, and
legal, regulatory, and corporate secretarial support, as well as
an automated compliance monitoring system. With more than
35 years of experience in fund administration services, BBH
has proven its flexible and modular approach to managing its
clients’ complex products. For more information about BBH’s
differentiated approach, please visit www.bbh.com.
DST supports a full range of alternative products, including:
»»Closed-end interval funds
»»Listed and non-listed REITs
»»Business development corporations
»»Managed futures
»»Retail alternative products
Our service models can be tailored to fit specific operational
needs. We can help:
»»Manage operational costs
»»Simplify infrastructure demands
»»Support interfaces to engage broker-dealers
»»Enhance the overall value of your alternative investment
brand
Companies in the financial services market have long depended
on DST’s industry experience, technological expertise, and service
excellence to help them simplify how they respond to changing
business conditions and customer requirements. This remains
true in a world that is quickly embracing new forms of alternative
investment products.
105
Envision Financial Systems, Inc.
18101 Von Karman Avenue
Suite 1420
Irvine, CA 92612
714-247-0030, x114
949-579-9195
Website: http://www.enfs.com
Suite 1200
Chicago, IL 60606
312-338-5801
Contact: Brian Jones, Executive Vice President
Envision provides independent compliance solutions for SEC Rule
22c-2.
Clarity Compliance is a web-based trade monitoring service that
analyzes omnibus and sub-account trading activity for Rule 22c-2
compliance with fund trading policies. Clarity uses configurable
parameter-driven business rules to allow customers to optimize
trade monitoring efficiencies. With Clarity Compliance, you are
able to use targeted analytical tools to assist in making policy
decisions, monitoring trading activity for patterns, frequency,
and materiality. The Clarity team manages all aspects of the
data acquisition process for NSCC and non-NSCC intermediaries,
ensuring 100 percent of your data is received and analyzed.
»»Fund Accounting
a business partner.
80 Arkay Drive
Suite 110
Hauppauge, NY 11788
855-891-0092
clients.
106
J.P. Morgan
383 Madison Avenue
11th Floor
New York, NY 10179
212-834-4526
212-622-3514
J.P. Morgan offers complete compliance and administration
solutions, supporting a wide array of investment vehicles and fund
structures. The breadth of our product offering is supported by
cutting-edge technologies integrated onto one common operating
platform. Our tools are flexible to be customized to meet unique
client requirements and support all industry requirements. J.P.
Morgan is one of the largest providers of compliance services,
with more than 8,500 accounts worldwide, representing more
than 275 clients. We deliver a comprehensive suite of products
to investment managers, corporate and public pensions,
endowments and foundations, corporations, insurers, and central
banks. J.P. Morgan continues to reinvest in our products and
services to deliver innovative products to our clients.
SEI
Oaks, PA 19456
610-676-1270
Website: http://www.seic.com/ims
225 Pictoria Drive
Suite 450
513-587-3400
Director
SEI offers a comprehensive range of administrative services,
including financial reporting, fund expense budgeting/forecasting,
board material preparation, regulatory filings, and tax services.
SEI applies operating services, technologies, and business/
regulatory knowledge to each client’s business objectives. Our
services have been designed to take into account the SarbanesOxley Act requirements.
In addition to our compliance support services, SEI offers clients
access to our ComplianceAdvantage Program, which provides
CCOs with timely interpretation of new and pending regulations;
identification of emerging industry best practices; tailored, clientspecific guidance and consultation; and monitoring tools to assist
them with all aspects of their own compliance programs.
State Street
One Lincoln Street
Boston, MA 02111
617-664-6676
617-664-7733
representatives.
shareholder services, along with middle-office services, to produce
practices, delivers customized Smart Solutions suited to each
UMB Fund Services
Milwaukee, WI 53212
888-844-3350
As the leading mutual fund service provider, we understand that it
is more important than ever to manage risk and receive maximum
value for your fund’s shareholders. State Street has developed a
comprehensive compliance program, Compliance 38, designed to
address the needs of the mutual fund client’s CCO. In addition,
State Street’s administration services include treasurer’s office
support, financial and tax reporting, compliance monitoring, Blue
Sky compliance, Board reporting and legal corporate governance
services, and the preparation of SEC filings. Our experienced
administration team comprising tax, legal, treasury, and securities
law professionals will design a flexible and tailored servicing
approach to take you anywhere in the world and into whatever
new product structure your business needs.
We take a strong, multi-layered approach to addressing your fund
compliance and administrative service needs.
Our in-house attorneys, Blue Sky specialists, CCO support, and
tax professionals have extensive ’40 Act, SEC filing, and FINRA
compliance experience. Rigorous quality-control standards help
ensure accuracy and timeliness.
Services include:
»»Dedicated compliance manager to support your CCO
»»SEC, IRS, and portfolio compliance monitoring
»»Budgeting and expense analyses
»»Annual and SEC audit coordination
»»Distribution calculation and tax return preparation assistance
»»Board meeting coordination, including preparing materials,
reports, minutes
»»Rule 38a-1 compliance support services
»»Filing all required financial and regulatory reports
»»Blue Sky compliance monitoring
107
Vigilant Compliance, LLC
Milwaukee, WI 53202
414-765-5678
800-300-3863
Fax: 866-624-7095
Brandywine Two
5 Christy Drive
Suite 208
Chadds Ford, PA 19317
610-558-1750
Website: http://www.vigilantllc.com
Contact: Salvatore Faia, JD, CPA, CFE, President
We utilize a consultative approach to guide the effective launch
and management of our clients’ fund products. Our technology
systems are integrated with our data warehouse, enabling
administrators to provide a consistent, high-quality view of client
investment data. We perform comprehensive administration
services, compliance reviews, and testing based on our clients’
guidelines and requirements mandated by the SEC, the Internal
Revenue Service, and Fund prospectus. Our services include:
Vigilant Compliance is a full-service compliance firm. Compliance
is your license to do business. Vigilant connects you to the
information you need to know, so you can turn your mind to more
important matters. Offering compliance services, including:
»»Fund board services
»»Financial reporting
»»Fund budgets and expenses
»»Fund compliance services
108
»»CCO for Funds
»»CCO for Advisers
»»CCO for Private Equity Advisers
»»CCO for Private Equity Funds
»»SEC Audit Trial Runs
»»SEC Rule 206(4)-7 Reviews and Reports
»»SEC Rule 38 a-1 Reviews and Reports
»»Compliance Policy Updates and Reviews
»»Consulting for Funds and Advisers
»»Fund Management Services
Fund Legal Administration and Regulatory Compliance
ALPS, a DST Company
1290 Broadway
Suite 1100
Denver, CO 80203
303-623-2577
Fax: 303-623-7850
Website: http://www.alpsinc.com
3 Canal Plaza
Portland, ME 04101
207-347-2016
Contact: Lisa B. Mougin, Senior Vice President, Director of Sales
and Client Relationship Management
Clients experience a seamless extension of their workforce with
ALPS. Our service packages include compliance, creative solutions,
distribution, fund accounting, administration, legal, marketing,
shareholder servicing, tax, and transfer agency services to openend, closed-end, exchange-traded, and alternative investment
funds. We also offer a ‘series trust’ option for launching new
open-end funds, as well as exchange-traded funds and closed-end
interval funds.
ALPS’ dedication to the success of our clients was reflected in the
results of the 2012, 2013, and 2014 Global Custodian Mutual Fund
Administration surveys, where our results show that we are the #1
Global Service Provider and received Roll of Honor status in three
categories.
See our ad on the inside back cover.
Development
We offer:
management
real-time data
Boston, MA 02110
617-772-1673
investorservices/productscapabilities/
investmentaccountingadministration
Brown Brothers Harriman (BBH) offers extensive regulatory
compliance and legal administrative expertise as part of its
comprehensive suite of global investment administration services.
These services include corporate secretarial services, up-to-date
information of regulatory changes, direct access to BBH’s team of
experienced regulatory staff, and electronic board books. BBH’s
compliance reporting system receives automated monitoring
reports, has a highly developed audit trail and data integrity
controls, and provides extensive reporting facilities. For more
information about BBH’s differentiated approach, please visit
www.bbh.com.
109
FUND LEGAL ADMINISTRATION AND REGULATORY COMPLIANCE
J.P. Morgan
80 Arkay Drive
Suite 110
Hauppauge, NY 11788
855-891-0092
383 Madison Avenue
11th Floor
New York, NY 10179
212-834-4526
Fax: 212-622-3514
Contact: Eddie Lund, Vice President, Business Development
clients.
Suite 1200
Chicago, IL 60606
312-338-5801
Fax: 312-730-9757
»»Fund Accounting
a business partner.
110
J.P. Morgan’s Regulatory Services team provides full-service
corporate governance and regulatory filing support to a wide
array of investment vehicles and fund structures, including
open-end and closed-end funds, exchange-traded products,
commingled funds, and partnerships. Services include preparation
of regulatory filings and board and committee meeting support,
including preparation and dissemination of materials and meeting
attendance and minuting. The attorneys and support staff within
the Regulatory Services team work closely with our clients to
customize the service offering to fit their specific needs, business,
and preferences while supporting all industry and regulatory
requirements.
Northern Trust
Chicago, IL 60603
312-444-5655
Fax: 312-557-1846
Website: http://northerntrust.com/fundservices
With more than 30 years of fund administration experience,
Northern Trust is a leading provider of asset services to investment
managers. Our fund administration products include fund
accounting, financial reporting, regulatory administration, tax,
performance, treasury, and budgeting and compliance support.
Northern Trust uses leading technology solutions to offer posttrade compliance monitoring solutions for multiple fund structures
in multiple jurisdictions, including Chicago, Dublin, Limerick,
London, and Luxembourg. In addition, Northern Trust has
dedicated professionals to assist in regulatory compliance matters,
including Rule 38a-1 support for Chief Compliance Officers.
SEI
Oaks, PA 19456
610-676-1270
225 Pictoria Drive
Suite 450
513-587-3400
Director, Investment Manager Services
SEI offers a comprehensive range of administrative services,
including financial reporting, fund expense budgeting/forecasting,
board material preparation, regulatory filings, and tax services.
SEI applies operating services, technologies, and business/
regulatory knowledge to each client’s business objectives. Our
services have been designed to take into account the SarbanesOxley Act requirements.
In addition to our compliance support services, SEI offers clients
access to our ComplianceAdvantage Program, which provides
CCOs with timely interpretation of new and pending regulations;
identification of emerging industry best practices; tailored, clientspecific guidance and consultation; and monitoring tools to assist
them with all aspects of their own compliance programs.
State Street
100 Huntington Avenue
Boston, MA 02116
617-662-3968
Contact: Julie Tedesco, Senior Vice President and Senior Managing
Counsel
State Street’s comprehensive corporate and regulatory services
available to mutual funds include SEC filings and public disclosure
assistance, board meeting services, start-up organizational
support (including exemptive applications and SEC interface,
as needed), consultation services, and business planning. State
Street takes a partnership approach to every client relationship
and staffs each with a dedicated team of experienced attorneys
and paralegals. As part of its full-service fund administration
capabilities, State Street’s dedicated legal administration teams
work closely with clients, fund chief compliance officers, and fund
counsel to communicate new and revised legal and regulatory
requirements, recommend follow-up actions as needed, and
develop an appropriate approach for compliance. State Street
provides legal administration services to retail and institutional
funds, variable products, master-feeder funds, funds of registered
hedge funds, business development companies, funds of funds,
and exchange-traded funds listed on multiple exchanges.
representatives.
shareholder services, along with middle office services, to produce
practices, delivers customized Smart Solutions suited to each
UMB Fund Services
Milwaukee, WI 53212
888-844-3350
We take a strong, multi-layered approach to addressing your fund
compliance and administrative service needs.
Our in-house attorneys, Blue Sky specialists, CCO support, and
tax professionals have extensive ’40 Act, SEC filing, and FINRA
compliance experience. Rigorous quality-control standards help
ensure accuracy and timeliness.
Services include:
»»Dedicated compliance manager to support your CCO
»»SEC, IRS, and portfolio compliance monitoring
»»Budgeting and expense analyses
»»Annual and SEC audit coordination
»»Distribution calculation and tax return preparation assistance
»»Board meeting coordination, including preparing materials,
reports, minutes
»»Rule 38a-1 compliance support services
»»Filing all required financial and regulatory reports
111
Milwaukee, WI 53202
414-765-5678
800-300-3863
Fax: 866-624-7095
Our attorneys support registered and unregistered pooled products,
including funds with multiple series, multiple share classes, masterfeeder structures, variable annuities, exchange-traded funds, and
funds-of-funds. We guide our clients and their legal counsel through
fund regulatory and legal requirements, including:
»»Organizing and drafting fund registration statements
»»Preparing mutual fund policies and procedures
»»Drafting and reviewing a variety of contracts, including
agreements between mutual funds, their service providers,
and investment advisers
»»Preparing and executing SEC filings, including applications
for exemptive relief
»»Preparing organizational and quarterly board materials
»»Preparing board meeting minutes
112
GIPS Verification and Performance Measurement
Kreischer Miller
100 Witmer Road
Horsham, PA 19044
215-441-4600
Website: http://www.kmco.com
Contact: Thomas A. Peters, Director, Audit and Accounting
Kreischer Miller is an accounting, tax, and business advisory
firm that has been serving clients since 1975. Our experienced
professionals proactively identify and solve problems, and reduce
risk by addressing issues before they are caught by regulators. We
also offer ideas on ways to operate more efficiently and provide
insight into how other firms handle issues.
Kreischer Miller’s Investment Industry Group provides the
following services for investment managers, funds, broker-dealers,
and investors:
»»GIPS compliance
»»Operational due diligence
»»Compliance and consulting
»»Financial statement audits
»»Tax strategies
To learn more, contact Tom Peters or Todd Crouthamel at 215441-4600 or visit www.kmiig.com.
113
Global Custodian
State Street
Boston, MA 02110
617-772-1673
Website: http://www.bbh.com/wps/portal/
expertise/investorservices/
productscapabilities/globalcustody
One Lincoln Street
Boston, MA 02111
617-664-6676
Fax: 617-664-7733
Brown Brothers Harriman (BBH) is a global leader in asset
servicing, enabling the world’s most sophisticated asset managers
and financial institutions to help achieve their business growth
objectives. With $4.5 trillion in distinct assets under custody
and administration (as of June 30, 2014), and operating from 17
locations worldwide, BBH provides specialist services to enhance
our clients’ competitive edge in nearly 100 markets, which
include custody, accounting, investment administration, securities
lending, foreign exchange, and brokerage services. BBH’s proven
expertise is consistently top-rated in global industry surveys and
publications. For more information about BBH’s differentiated
approach, please visit www.bbh.com.
114
As the leader in serving sophisticated investors worldwide, State
Street has the depth and experience to provide responsive,
competitive custody, settlement, and cash management services.
Global Horizon®, our fully integrated, real-time multicurrency
platform, is designed with a flexible modular structure to meet
continuously changing regulatory and client requirements. We
function 24 hours/seven days a week to provide clients with realtime information and support worldwide. We facilitate electronic
trade notification and settlement, corporate action, and income
processing in more than 100 markets. We actively manage our
subcustodian network to provide superior service to clients. Global
cash activity and projections allow clients to efficiently manage
cash worldwide.
Hedge Fund Administration
and Private Equity Fund Services
ALPS, a DST Company
Northern Trust
1290 Broadway
Suite 1100
Denver, CO 80203
303-623-2577
303-623-7850
Website: http://www.alpsinc.com
Chicago, IL 60603
312-444-5655
Fax: 312-557-1846
Website: http://www.northerntrust.com/fundservices
Contact: Lisa B. Mougin, Senior Vice President, Director of Sales
and Client Relationship Management
Clients experience a seamless extension of their workforce with
ALPS. Our service packages include compliance, creative solutions,
distribution, fund accounting, administration, legal, marketing,
shareholder servicing, tax, and transfer agency services to openend, closed-end, exchange-traded, and alternative investment
funds. We also offer a ‘series trust’ option for launching new
open-end funds, as well as exchange-traded funds and closed-end
interval funds.
ALPS’ dedication to the success of our clients was reflected in the
results of the 2012, 2013, and 2014 Global Custodian Mutual Fund
Administration surveys, where our results show that we are the #1
Global Service Provider and received Roll of Honor status in three
categories.
Northern Trust is a leading provider of administration and
outsourcing services for the alternative investment industry.
Supporting multiple fund structures and asset classes across
jurisdictions worldwide, Northern Trust provides innovative,
effective, and scalable solutions through expert teams coupled
with market-leading technology.
Access wide-ranging administration and middle-office solutions
though a full-service, front-to-back operating model that can
support any asset or strategy with unparalleled flexibility in data
management and reporting. Northern Trust additionally provides
regulatory support in a highly controlled and risk managementfocused environment.
Come to Northern Trust to receive tailored services, global scale,
and superior service built around you.
See our ad on the inside back cover.
BNP Paribas
51 West 52nd Street
36th Floor
New York, NY 10019
212-471-8041
Website: http://securities.bnpparibas.com
Contact: Lance Wargo, Head of Securities Lending, North America
BNP Paribas is a leading global provider of securities services that
delivers integrated solutions to all participants in the investment
cycle, including the buy-side, sell-side, corporates, and issuers.
Backed by the strength of the BNP Paribas Group (rated AA- by
Standard and Poor’s), Securities Services is a leading global
custodian with a local presence in 34 countries across five
continents, effecting global coverage of more than 100 markets. It
partners with clients to help overcome complexity, while offering
a one-stop shop for all asset classes, both onshore and offshore,
around the world.
115
HEDGE FUND ADMINISTRATION AND PRIVATE EQUITY FUND SERVICES
SEI
UMB Fund Services
Oaks, PA 19456
610-676-1270
Website: http://www.seic.com/ims
2225 Washington Boulevard
Suite 300
Ogden, UT 84401
801-737-4000
Director, Investment Manager Services
SEI offers world-class outsourcing services for hedge fund and
private equity managers who desire daily portfolio processing
and reporting capabilities, including independent valuation, trade
capture, reconciliation, and portfolio analytics, in addition to
investor servicing, middle-office services, fund administration, and
fund accounting.
SEI’s operating environment incorporates automation and
controls, operational risk reporting, and workflow technology to
help managers meet the growing demand for transparency, risk
mitigation, and daily reporting being placed on them by their
institutional clients. Our expertise and innovative technologies
enable us to support the specific needs of hedge funds, fundsof-funds, private equity funds, managed account structures, and
registered investment products.
UMB Fund Services is ready to serve your needs.
We provide complete alternative investment services for:
»»Domestic partnerships
»»Master-feeder funds
»»Funds of funds—registered/unregistered
»»Offshore funds
»»Private equity
Services include:
»»Product formation assistance
»»Fund administration
»»Portfolio accounting
»»Investor accounting and reporting
»»Tax preparation and reporting
»»Custody
»»Registered fund regulatory administration
»»Board support
»»Regulatory filings
»»Compliance testing
»»RIC-qualified tax services
We combine expertise, high-touch service, leading-edge
technology, and the stability of a highly capitalized parent that’s
been around for 100+ years.
116
Hedge Fund Services
Confluence
DST
600 River Avenue
Pittsburgh, PA 15212
412-697-4306
Website: http://www.confluence.com/en-us/solutions/
product.php?Unity-NXT-Form-PF-Reporting-12
1055 Broadway
646-417-3120
Website: http://www.dstsystems.com/
alternatives
Contact: Joan Tesla, Vice President of Marketing Communications
Contact: Robyn Holloway, Vice President, Sales
Confluence has been solving challenging data integration and
data reporting problems for the alternative investment industry
for more than a decade. As the leading provider of Form PF and
AIFMD reporting solutions, our experience and the technology
provide a cost-effective response to the complexity of the AIFMD
Transparency Reporting and Form PF regulatory requirements.
Our technology-enabled Unity NXT™ AIFMD Transparency
Reporting and Unity NXT™ Form PF Reporting solutions ensure
completeness, accuracy, and control over the entire reporting
process. We enable disparate departments to share, complete, and
review each answer, each section, and the entire filing with a full
audit trail.
Asset management companies are integrating alternative
investment strategies to move beyond traditional investments as
they seek improved returns and diversification.
DST supports a full range of alternative products, including:
»»Closed-end interval funds
»»Listed and non-listed REITs
»»Business Development Corporations
»»Managed Futures
»»Retail alternative products
Our service models can be tailored to fit specific operational
needs. We can help:
»»Manage operational costs
»»Simplify infrastructure demands
»»Increase opportunities to engage with your customers
»»Support the overall value of your alternative investment
brand
Companies in the financial services market have long depended
on DST’s industry experience, technological expertise, and service
excellence to help them simplify how they respond to changing
business conditions and customer requirements. This remains
true in a world that is quickly embracing new forms of alternative
investment products.
117
HEDGE FUND SERVICES
Foreside Financial Group
Nottingham
Three Canal Plaza
Suite 100
Portland, ME 04101
207-553-7110
207-553-7142
Website: http://www.foreside.com
116 South Franklin Street
Rocky Mount, NC 27804
800-525-3863
252-972-9922, x206
Fax: 252-442-4226
Website: http://www.ncfunds.com
Contact: David M. Whitaker, President
Contact: Kate Honey, Executive Vice President
Foreside delivers a suite of distribution and regulatory compliance
services to clients in the investment management industry. We
serve sponsors of open-end, closed-end, exchange-traded, and
alternative investment products, including commodity pools. Our
solutions allow clients to focus on asset management without
sacrificing distribution and compliance best practices.
Nottingham is a full-service fund administration firm providing
turnkey organizational and operational services for mutual funds,
hedge funds, and fund-of-funds. We also offer unitized accounting
and customized reporting solutions to foundations, endowments,
and government budgets and investment pools.
»»Medallion and Active Distribution
»»Registered Representative Licensing and Compliance
»»Sales and Advertising Review
»»Exchange-Traded Product Services
»»Private Placement Services
»»Hedge Fund Compliance
»»Fund and Adviser CCO Services
»»Treasurer Services
»»AML Officer Services
»»Compliance and Distribution Consulting
»»NFA Member Services
Gemini Hedge Fund Services, LLC
80 Arkay Drive
Hauppauge, NY 11788
888-499-1153
Website: http://www.geminihedge.com
Contact: David Young, President
Gemini Hedge Fund Services, LLC (Gemini Hedge) provides
comprehensive fund administration services to hedge funds and
a consultative approach to help bring pooled products to market.
Gemini Hedge offers extensive experience to fund managers,
investment advisors, trading managers, banks, and other fund
intermediaries through a fully customizable solution. As a hedge
fund administrator designed from start to finish to provide
optimum services, Gemini Hedge enables managers to meet the
requirements of investors and regulatory bodies. Gemini Hedge
offers both depth and breadth of services ranging from middle/
back office duties to comprehensive financial reporting and all
aspects of investor services.
118
Our comprehensive fund services include:
»»Structure consultation and organization
»»Fund accounting
»»Distribution
»»Shareholder servicing
»»Transfer agency services
Nottingham’s hands-on, personable services are best suited for
new or existing funds seeking a highly responsive administration
partner that shepherds the organization process and provides
superior day-to-day service to both advisors and shareholders.
SEI
Oaks, PA 19456
610-676-1270
Director
SEI offers comprehensive alternative investment administration,
accounting, investor servicing, trustee, and custody services.
We service key domiciles, including the United States, Ireland,
the Cayman Islands, the British Virgin Islands, and the Bahamas.
We have the expertise to support the specific needs of hedge
funds, funds of hedge funds, private equity funds, and registered
alternative investment products.
Our team has extensive conversion expertise and integrates
solutions for the most complex and sophisticated investment
platforms in the industry. Our level of experience helps us support
the products of today as well as the innovations of tomorrow.
HEDGE FUND SERVICES
UMB Fund Services
2225 Washington Boulevard
Suite 300
Ogden, UT 84401
801-737-4000
Milwaukee, WI 53202
414-765-5678
800-300-3863
Fax: 866-624-7095
UMB Fund Services is ready to serve your needs.
We provide complete alternative investment services for:
»»Domestic partnerships
»»Master-feeder funds
»»Funds of funds—registered/unregistered
»»Offshore funds
»»Private equity
Services include:
»»Product formation assistance
»»Portfolio accounting
»»Investor accounting and reporting
»»Tax preparation and reporting
»»Custody
»»Registered fund regulatory administration
»»Board support
»»Regulatory filings
»»Compliance testing
»»RIC-qualified tax services
Our support services are designed to meet the unique needs of
complex products, and our extensive network provides clients
the resources and support they need to focus on investment
management and portfolio performance. Our alternative
investments expertise includes the product design and servicing
of the spectrum of alternative investments, including hedge funds,
funds of funds, limited partnerships, offshore funds, private equity
funds, and separately managed accounts. We offer a full range of
services for funds:
»»Custody services
»»Distribution support
»»Onshore and offshore investor services
»»Middle-office
»»Registered office and corporate secretarial services
»»Portfolio and fund accounting
»»Tax support
»»Technology
»»Treasury services
We combine expertise, high-touch service, leading-edge
technology, and the stability of a highly capitalized parent that’s
been around for 100+ years.
119
HEDGE FUND SERVICES
Vigilant Compliance, LLC
Brandywine Two
5 Christy Drive
Suite 208
Chadds Ford, PA 19317
610-558-1750
Website: http://www.vigilantllc.com
Contact: Salvatore Faia, JD, CPA, CFE, President
Vigilant Compliance is a full-service compliance firm. Compliance
is your license to do business. Vigilant connects you to the
information you need to know, so you can turn your mind to more
important matters. Offering compliance services, including:
»»CCO for Funds
»»CCO for Advisers
»»CCO for Private Equity Advisers
»»CCO for Private Equity Funds
»»SEC Audit Trial Runs
»»SEC Rule 206(4)-7 Reviews and Reports
»»SEC Rule 38 a-1 Reviews and Reports
»»Compliance Policy Updates and Reviews
»»Consulting for Funds and Advisers
»»Fund Management Services
120
Imaging
DST
3 Canal Plaza
Portland, ME 04101
207-347-2016
330 West Ninth Street
888-DST-INFO
Fax: 816-843-8197
Development
We offer:
management
real-time data
Contact: John Vaughn, Vice President
AWD®, DST’s Business Process Management Solution, aligns
people, systems, and departments to deliver the ultimate
customer and work experience. AWD provides all of the different
work and engagement experiences in one integrated platform.
We provide the ability to help your customers achieve important
life goals: to save, protect, and grow their assets; maintain a
healthy lifestyle; enjoy the fruits of their labors; and gain peace of
mind.
With our combination of process expertise, industry knowledge,
and enabling technology, we partner with clients to:
»»Enhance customer experience
»»Increase efficiency
»»Adapt to regulatory changes
»»Improve visibility into operation
With AWD, you’ll benefit from these important capabilities:
»»Capture—Capture content from a variety of sources, including
social media streams, scanners, faxes, emails, office
documents, and EDI data
»»Content—Store and retrieve supporting information needed to
execute work—including documents, PDFs, photos, images,
and unstructured rich media such as video
»»Role-based user interfaces—Deliver dynamic user interfaces
designed for optimal productivity based on each associate’s
role
»»Design—Easily build processes and manage change without
an IT cycle orchestration—Improve interactions within your
company and with customers by orchestrating people,
systems, and data
»»Monitoring—Provides real time and historical analytics into
your work and people, allowing you to turn knowledge into
action
»»Communications—Allows organizations to create
personalized, multi-channel output communications for their
customers
AWD is used extensively worldwide in highly regulated industries
(asset management, brokerage, retirement, insurance, and
healthcare) where human-centric processes are critical for running
efficient and intelligent business operations and providing superior
customer service experiences.
121
Independent Director
and Trustee Information Services
Strategic Insight
805 Third Avenue
21st Floor
New York, NY 10022
212-217-6938
Website: http://www.sionline.com
Contact: Allana Burke, Business Development Associate
Strategic Insight (SI), an Asset International company, is a
leading research and consulting firm with more than 25 years of
experience providing trusted, competitive research and business
intelligence to the mutual fund industry. SI’s Board Services
supports management and board of directors’ compliance and
due diligence efforts by combining data, perspective, focus,
and studies, resulting in unmatched insight and analytics.
Strategic Insight is uniquely structured for this service, as
its analysts benefit from extensive knowledge of the fund
industry, a decade of in-depth fee research, comprehensive fee
databases, and monitoring of all SEC filings (www.simfundfiling.
com). Services include 15(c) advisory contract renewal reports,
on-demand fee research, fee and expense benchmarking, and
fact-based research studies on related topics.
Examples of Custom Fee Analysis:
»»Contractual Management Fee Breakpoint Analysis
»»Category Fee/Expense Benchmarking
»»Subadvisory Fee Benchmarking
»»Fund Administration Fees and Structures
»»Transfer Agent Fees and Structures
»»Board Compensation and Structures
»»Adviser Profitability
»»Performance Adjustment Fees
»»Small Account Fees
Asset International is a privately held provider of information
and technology to global pension funds, asset managers,
financial advisers, banking service providers, and other financial
institutions in the private and public sector. Its industry-leading
brands include Strategic Insight, SIMFUND, Plan For Life, Investor
Economics, PLANSPONSOR, PLANADVISER, Chief Investment
Officer, Global Custodian, and The Trade. The company has offices
in New York City, Hong Kong, London, Melbourne, Toronto,
Boston, and Stamford.
122
Independent Director and Trustee Representation
Roy W. Adams
Blank Rome LLP
370 Park Street
Suite 2
Moraga, CA 94556
925-631-0222
925-330-8610
Fax: 815-301-3414
Website: http://www.roywadams.com
The Chrysler Building
405 Lexington Avenue
New York, NY 10174
212-885-5239
Fax: 212-885-5001
Website: http://www.blankrome.com
Contact: Roy Adams, Attorney
Former national law firm partner Roy Adams has provided
personalized, reasonably priced legal services to the investment
management industry for more than 20 years as:
»»Independent legal counsel to mutual and closed-end fund
independent directors/trustees, proactively advising them
on:
»»Regulatory and fiduciary responsibilities, including
under the Investment Company Act of 1940 and federal
securities and state laws
»»Investment adviser issues, including advisory contracts
and fees
»»Special regulatory issues that rely on independence
»»Conflicts of interest
Contact: Thomas R. Westle, Partner
Blank Rome’s investment management practice includes
representation of open-end and closed-end investment
companies, business development companies, independent
boards of directors/trustees, investment advisers, private
investment funds, hedge funds and venture capital funds, and
underwriters with respect to securities offerings by closed-end
investment companies and business development companies.
The firm’s representation includes preparation of registration
statements, private offering materials, proxy statements, stock
exchange listing applications, adviser registrations, merger and
acquisition matters, regulatory compliance matters, applications
for exemptive orders, requests for no-action letters, and tax and
ERISA matters. Blank Rome provides advice with respect to the
organization and structure of investment companies, private
investment funds, and investment advisers and assists clients in
developing innovative investment products.
»»Oversight of fund compliance with securities laws
»»An expert witness in litigation and as SEC-approved
independent consultant regarding regulatory enforcement
matters
Carlton Fields Jorden Burt
1025 Thomas Jefferson Street, NW
Suite 400E
Washington, DC 20007-5208
202-965-8127
Fax: 202-965-8104
Website: http://www.cfjblaw.com
Contact: Richard Choi, Shareholder
Carlton Fields Jorden Burt represents registered mutual
funds, independent directors and trustees, private investment
companies, investment advisers, broker-dealers, and life insurance
companies. Mutual funds that serve as funding vehicles for
variable annuities and life insurance products are a special area
of focus. With extensive experience in formation, operational,
compliance, and distribution matters, Carlton Fields Jorden Burt
attorneys also represent clients in litigation and arbitration matters
and have served as expert witnesses in litigation and as SECapproved independent consultants in connection with regulatory
enforcement matters.
123
INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION
Davis Graham & Stubbs LLP
Drinker Biddle & Reath LLP
1550 17th Street
Suite 500
Denver, CO 80202
303-892-9400
Fax: 303-893-1379
Website: http://www.dgslaw.com
One Logan Square
Suite 2000
Philadelphia, PA 19103-6996
215-988-2700
Website: http://www.drinkerbiddle.com
Contact: Peter H. Schwartz, Partner
Davis Graham & Stubbs has the most active asset management
practice in the Rocky Mountains, providing a full range of
corporate, securities, tax, litigation, and employee benefits advice
to investment companies, investment advisors, independent
directors, banks, and trust companies. We also have extensive
formation experience with hedge funds, mutual funds, venture
capital, private equity funds, and other investment vehicles.
Davis Polk & Wardell, LLP
New York, NY 10017
212-450-4684
Fax: 212-701-5684
Website: http://www.davispolk.com
Contact: Nora M. Jordan, Partner
Davis Polk’s Investment Management Group represents mutual
funds, closed-end funds, unit investment trusts, business
development companies, private funds, and their advisers,
sponsors, underwriters, and directors. Among the types of matters
on which we regularly work are the design and initial offering of
innovative new products, filings with regulatory agencies, internal
compliance programs, applications for exemptions and no-action
letters, and advice to boards of funds concerning their oversight
responsibilities for fund compliance with the Investment Company
Act and other regulatory regimes. Our broad experience includes,
in addition to traditional mutual funds, advising on registered
funds that invest in hedge funds and exchange-traded funds. We
were also a pioneer in the development of unit investment trusts.
Contact: Joshua B. Deringer, Partner and Chair of Investment
Management Group
Drinker Biddle’s investment management lawyers thrive on helping
onshore and offshore clients with strategic thinking and innovative
solutions to legal issues. We represent:
»»Independent directors/trustees
»»Investment companies
»»Investment advisers
»»Exchange-traded funds
»»Hedge funds (registered and unregistered)
»»Commodities advisers and pools
»»Private equity funds
»»Broker-dealers
»»Banks and trust companies
»»Insurance companies
Our services include:
»»Independent director/trustee representation
»»Registration, operation, and reorganization of investment
companies (including ETFs)
»»Alternative products and derivatives
»»Variable annuity and insurance products
»»ERISA, tax, and fiduciary services
»»Mutual fund litigation
»»Governmental investigations and proceedings
»»Regulatory compliance
We provide practical and creative solutions, responsive service,
and value.
124
Goodwin Procter LLP
901 New York Avenue, NW
Washington, DC 20001
202-346-4515
Website: http://www.goodwinprocter.com
Contact: Robert M. Kurucza, Partner and Co-Chair, Financial
Institutions Group
Exchange Place
53 State Street
Boston, MA 02109
617-570-1000
Contact: Philip H. Newman, Partner and Chair, Investment
Management Practice
With more than 40 years of experience representing mutual
funds, independent directors, banks, investment advisers,
insurance companies, broker-dealers, and other fund service
providers, Goodwin Procter is recognized as one of the nation’s
leading law firms in the investment management industry. We
are renowned for our work on some of the most complex deals
in the marketplace, including public and private acquisitions and
financing transactions, and multi-faceted internal reorganizations,
as well as for defending high stakes regulatory investigations and
mutual fund class action litigations. We are consistently ranked
by Chambers for our leading investment management attorneys,
with clients pointing to our “vast experience, depth of knowledge,
and very good judgment as being [our] main strengths,” and
recognized for how we deliver value by being “proactive and
business-minded.”
See our ad on this page.
GOOD
CHOICE
Financial services companies count on us
for proactive legal counsel and practical
advice. We provide innovative solutions
to complex challenges, helping clients
structure corporate transactions and meet
regulatory requirements. When time is
short and industry depth matters, Goodwin
Procter brings a wealth of experience.
Bank-Maintained Funds
Class Action Litigation Defense
Cross-Border Offerings
Hedge Funds
Insurance Product Funds
Mutual Funds
Offshore Funds
Open and Closed-End Funds
Regulatory Compliance
Regulatory Investigations
Representation of Independent Directors
Retail Advisory Products
To find out more about Goodwin Procter,
visit us at www.goodwinprocter.com
Boston | Hong Kong | London | Los Angeles | New York
San Francisco | Silicon Valley | Washington DC
125
K&L Gates LLP
McCarter & English
Austin, TX
BNY Mellon Center
1735 Market Street
Suite 700
Philadelphia, PA 19103
215-979-3840
267-761-2073
Website: http://www.mccarter.com
Beijing
Berlin
Boston, MA
Chicago, IL
Dubai
Fort Worth, TX
Contact: Laura Anne Corsell, Partner
Sydney
McCarter’s investment management attorneys counsel registered
investment companies and alternative vehicles, including
private equity, hedge, and venture capital funds, with respect
to all aspects of federal and state securities regulation. Our
expertise extends beyond these core areas, encompassing ERISA,
insurance coverage, cybersecurity, service provider oversight,
and outsourcing. We represent independent directors with
respect to their responsibilities under the federal securities laws,
supported by a litigation team that has successfully represented
mutual funds and financial services companies in connection with
advisory fees cases, market-timing investigations, and similar
matters. Our attorneys have served as independent compliance
consultants in connection with federal and state settlement orders,
conducted compliance audits, and worked with clients on a full
spectrum of transactional matters involving registered investment
companies and their service providers, including fund formation
and the design of innovative investment products, preparation
of registration statements, mergers and acquisitions, proxy
statements, applications for exemptive orders, and no-action
letters.
Taipei
Frankfurt
Hong Kong
London
Los Angeles, CA
Melbourne
Milan
New York, NY
Pittsburgh, PA
Raleigh, NC
San Francisco, CA
Seattle, WA
Singapore
Tokyo
Washington, DC
Website: http://www.klgates.com
With an exceptional depth of knowledge and experience, the
lawyers of K&L Gates are leading the way in supporting directors/
trustees and their funds in this challenging, evolving, and highly
regulated industry. K&L Gates’ work for fund directors/trustees
includes counseling on their duties under the Investment Company
Act of 1940; investment adviser issues; advice on special
regulatory issues that rely on independence; and representation in
connection with SEC enforcement actions or civil litigation.
For more information about our practice, including a full
description of our services and biographies of our lawyers, please
visit our website at www.klgates.com.
126
Morrison & Foerster
Seward & Kissel LLP
18th Floor
New York, NY 10019-9601
212-468-8053
Website: http://www.mofo.com
901 K Street, NW
202-737-8833
Website: http://www.sewkis.com
Contact: Jay G. Baris, Partner
We deliver innovative, practical solutions to complex issues
involving registered and un-registered funds and advisers,
closed-end funds, business development companies, and
exchange-traded products. MoFo advises U.S. and non-U.S.
investment advisers regarding their registration, disclosure, and
compliance obligations. We counsel all types of pooled investment
vehicles, including private funds, commodity pools, venture
capital, mezzanine, and infrastructure, and we proactively advise
mutual fund independent directors on all aspects of their fiduciary
responsibilities. Our investment management practice and attorneys are
recognized by Chambers, The Legal 500, and the U.S. News Best
Lawyers “Best Law Firms” guide.
Nutter McClennen & Fish LLP
155 Seaport Boulevard
Seaport West
Boston, MA 02210
617-439-2194
Fax: 617-310-9194
Website: http://www.nutter.com
Contact: John Hunt, Partner and Chair of Hedge Funds, Mutual
Funds and Other Investment Funds Group
Nutter provides a broad range of legal services to hedge funds
and other types of alternative investment funds, mutual funds
(including money market funds), commodity pools, banksponsored funds such as bank collective investment funds, and
their investment managers. We represent U.S. mutual funds
and their independent directors as well as sponsors of U.S. and
offshore hedge funds and other types of collective funds. We have
advised clients with respect to all U.S. legal aspects of onshore
and offshore private and offshore fund formation matters and all
U.S. aspects of post-formation legal matters.
Contact: Kathleen K. Clarke
Contact: Paul M. Miller
Contact: Bibb L. Strench
Contact: Anthony C.J. Nuland
We provide a full range of regulatory, corporate, ERISA, tax,
capital markets, transactional, and litigation services for a large
number and wide variety of investment companies, including
registered open-end and closed-end funds, exchange-traded
funds, hedge funds, private equity funds, and offshore funds.
We work with clients in the areas of formation and registration,
compliance with federal and state regulation, domestic and
international investing, mergers and acquisitions, compliance
audits, investigations, and enforcement action. We act as counsel
to the independent directors of registered investment companies
and advise public and private investment advisers, underwriters,
custodians, transfer agents, administrators, and other service
providers to registered and unregistered investment companies.
Stradley Ronon Stevens & Young, LLP
2005 Market Street
Suite 2600
215-564-8115
215-564-8000
Website: http://www.stradley.com
Contact: Bruce Leto, Partner
Counseling clients since 1928, Stradley Ronon’s Investment
Management Group serves as independent legal counsel to
investment company independent directors/trustees, along
with its representation of retail and institutional investment
companies marketing shares through every distribution channel.
We maintain one of the premier investment management practices
in the nation, representing investment company clients with
more than 1,000 separate funds and assets under management
exceeding $2 trillion. We also counsel investment advisers, hedge
fund sponsors, managers, administrators, and underwriters/
distributors, and act as special counsel to other law firms with
regard to complex issues arising under the Investment Company
Act of 1940.
127
Stroock & Stroock & Lavan LLP
Sutherland Asbill & Brennan LLP
180 Maiden Lane
New York, NY 10038
212-806-6049
Fax: 212-806-6006
Website: http://www.stroock.com
700 Sixth Street, NW
Suite 700
202-383-0100
Website: http://www.sutherland.com
Contact: Stuart H. Coleman, Co-Managing Partner
Contact: Stephen E. Roth, Partner
With our representation of nearly 800 investment companies—or
their independent board members—with nearly $1 trillion in assets
under management (approximately 7 percent of U.S. investment
company assets), and some of the nation’s best known investment
advisers and industry service providers, our investment
management practice is one of the most active in the country.
Over the last 50 years, our services have included assistance with
the formation and management of hundreds of mutual funds
(including variable insurance and annuity products), closed-end
funds, exchange-traded funds (ETFs), hedge funds, private equity
funds and other pooled investment vehicles, as well as nontraditional structures such as business development companies,
manager-of-managers funds, registered funds of hedge funds, and
other alternative investment products. Sutherland Asbill & Brennan LLP has a comprehensive investment
management practice. Our clients include open- and closed-end
funds, business development companies (BDCs), unit investment
trusts (UITs), exchange-traded funds (ETFs), 529 plans, and
funds underlying insurance products. We also represent private
investment funds and clients that distribute investment funds,
including broker-dealers, banks, and insurance companies, and
investment advisers who manage these funds. Sutherland advises
clients on all aspects of capital formation, corporate governance,
compliance, tax, ERISA, and litigation matters. Founded in 1924,
the firm has offices in Washington, DC; New York; Atlanta;
London; Geneva; Houston; Austin; and Sacramento.
In particular, our practice representing independent board
members of registered funds is one of the most active and
diverse in the country. We provide legal advice to independent
board members of almost every type of registered fund
(including those that are part of the largest fund complexes
in the industry), including mutual funds, closed-end funds,
ETFs, manager-of-manager funds, and alternative and specialty
funds (e.g., registered funds of hedge funds, privately placed
registered funds, and master-feeder funds), as well as business
development companies. Our diverse client base provides us with
the operational insight to provide sound, practical, and efficient
legal services to all of our clients, and our experience has put us at
the center of new products and regulatory developments affecting
our clients. In addition to providing ongoing advice to independent board
members concerning their regulatory and oversight obligations,
our work also includes special representations in connection with
SEC enforcement actions and civil litigations.
128
Thompson Hine LLP
312 Walnut Street
14th Floor
Cincinnati, OH 45202-4089
513-352-6546
Website: http://www.thompsonhine.com
Contact: Donald S. Mendelsohn, Partner
Thompson Hine investment management lawyers provide
outstanding legal services and a wealth of experience to a wide
range of clients, including investment companies and advisers,
broker-dealers, domestic and offshore hedge funds, fund service
providers, and independent directors and trustees. We offer
innovative solutions for entering the industry, developing new
products and services, expanding business through strategic
planning and acquisition, keeping abreast of regulatory and
industry developments, and interacting with regulators. A topranked national business law firm, Thompson Hine has offices in
Atlanta, Cincinnati, Cleveland, Columbus, Dayton, New York, and
Washington, DC.
Vedder Price P.C.
222 North LaSalle Street
Chicago, IL 60601
312-609-7500
Fax: 312-609-5005
Website: http://www.vedderprice.com/
investment-services-client-services
Contact: David A. Sturms, Shareholder and Chair, Investment
Services Group
Vedder Price offers one of the nation’s premier legal practices
focused on counseling independent directors/trustees. Our
attorneys work closely with independent directors of mutual
funds, closed-end funds, and ETFs, counseling them on their
duties under the law and providing advice on insurance,
indemnification, and other matters of particular interest to
independent directors. Our clients include independent directors
serving a wide range of funds, from start-ups to multibilliondollar fund families. In addition to board-related counseling,
we represent independent directors in litigation, government
enforcement, and investigations.
McCARTER & ENGLISH, LLP
• IndependentDirectors
• MutualFunds
• AlternativeInvestments
• InvestmentAdvisersandBroker-Dealers
• PrivateEquity,HedgeandVenture
CapitalFunds
Laura Anne Corsell | Philadelphia | 215.979.3840
Daniel A. Pollack | New York | 212.609.6900
Theodore M. Grannatt | Boston | 617.449.6599
www.mccarter.com
BOSTON
EAST BRUNSWICK
HARTFORD
NEW YORK
NEWARK
PHILADELPHIA
STAMFORD
WASHINGTON, DC
WILMINGTON
129
Information Technology Advisory
DST
111 South Calvert Street
Suite 1500
Baltimore, MD 21202
443-957-2070
Contact: Jeff Musgrove, President of Finix Professional Services
Broker-dealers are constantly looking for ways to operate more
efficiently, lower costs, reduce risks, and improve client service
capabilities. DST provides innovative technology, business
process solutions, and strategic consulting for broker-dealers.
Our expertise and solutions support a virtual operating platform.
We offer comprehensive professional services, including strategy,
management, IT, and operations consulting. We also offer an
integrated application suite for investment advisors and mutual
fund subaccounting services.
DST delivers industry experience, technological expertise, and
service excellence to help our clients process, communicate, and
safeguard the critical information their customers need to manage
life’s most important business.
130
Proactive, Business-Oriented Counsel with
a Focus on Efficiency and Value
Vedder Price represents a diverse investment management clientele that includes
investment management firms, mutual funds, closed-end funds, ETFs and their boards of
directors and trustees.
Our nationally recognized Investment Services attorneys advise investment advisers, funds
and independent directors/trustees on the diverse issues they face, including:
• Organization and registration of new funds
• Exemptive applications and no-action requests
• Fund governance
• Regulatory and compliance issues
• SEC examinations and investigations
• Contract matters, including those relating to
advisory, custody, brokerage and transfer
agency services
What can we do for you?
For More Information
David A. Sturms, Chair
Investment Services Group
+1 (312) 609 7589
[email protected]
www.vedderprice.com/isg
Chicago • New York • Washington, DC • London • San Francisco • Los Angeles
Vedder Price P.C. is affiliated with Vedder Price LLP, which operates in England and Wales, and with Vedder Price (CA), LLP, which operates in California.
131
Insurance and Insurance Services
Crystal & Company
ICI Mutual Insurance Brokers, Inc.
32 Old Slip
New York, NY 10005
212-504-5919
800-221-5830
Website: http://www.crystalco.com
1401 H Street, NW
Suite 1000
800-334-2462
Fax: 202-682-2425
Website: http://www.icimutual.com
Contact: Sanford F. Crystal, Executive Vice President
Crystal & Company is the nation’s leading insurance brokerage
firm specializing in the needs of the investment management
community. Representing several hundred mutual fund groups,
investment advisors, and hedge funds, we have extensive
experience in addressing the complex insurance needs of our
clients. What separates us from other brokerage firms is our ability
to develop and manuscript coverage for our clients’ specific needs
and exposures, and to provide them with policies that are most
creative and cost-efficient.
As the alternative in insurance brokerage, Crystal & Company
provides industry-leading insurance services, value-added
solutions, and results to our clients.
Contact: Briana Davis, Lead Broker
ICI Mutual Insurance Brokers, Inc. is a wholly owned subsidiary of
ICI Mutual Insurance Company, the captive insurer for the mutual
fund industry that is sponsored by the Investment Company
Institute.
Brokers place insurance coverages for investment advisers, brokerdealers, transfer agents, and other participants in the investment
management industry that are members or associate members of
the Institute. Products include:
»»Investment Advisers (Non-Mutual Fund) Insurance Products
»»ERISA Fidelity Bonds
»»FINRA Securities Dealer Blanket Bonds and Financial
Institution Bonds
»»State Surety Bonds
»»Lost Instrument Bonds
»»Mail Insurance
»»Transfer Agent Coverages
»»Worker Compensation
»»Other Specialized Coverages
ICI Mutual Insurance Brokers, Inc. is dedicated exclusively to
servicing the investment management industry.
132
INSURANCE AND INSURANCE SERVICES
Liftman Insurance, Inc.
Starkweather & Shepley Insurance
101 Federal Street
Boston, MA 02110-1827
617-439-9595 x1
Website: http://www.liftman.com
400 Blue Hill Drive
Suite 188
Westwood, MA 02090-2161
781-234-0080
Fax: 401-431-9359
Website: http://www.starshepfi.com
Contact: Mark Liftman, President
Liftman Insurance specializes in insurance for the investment
industry. The experienced professionals at Liftman Insurance
provide clients with superior service and knowledge. We offer the
following insurance coverage at competitive premiums:
»»Advisors Errors and Omissions Liability
»»Mutual Fund Errors and Omissions Liability
»»Securities Brokers Professional Liability
»»Hedge Fund Liability
»»ERISA Bonds
»»Directors and Officers Liability
»»State Surety Bonds
»»Fiduciary Liability
»»Computer Fraud
»»STAMP/SEMP Surety Bonds
»»Employment Practices Liability
»»Lost Securities Bonds
»»Fidelity and Pension Trust Bonds
»»Mutual Fund Independent Directors/Trustees Liability
»»Securities Dealers Fidelity Bonds
»»Data Security and Privacy Liability
»»Cyber Fraud Liability
Contact: Andrew J. Fotopulos, President
400 Blue Hill Drive
Suite 188
Westwood, MA 02090-2161
781-320-9693
Fax: 401-431-9682
Contact: David Jacavone, Account Executive
Starkweather & Shepley’s Investment Industry Practice Group
focuses on providing specialized risk coverage designed for
insuring financial institutions and personnel, including investment
advisers, investment management consultants, mutual fund
groups, hedge/private investment funds, and securities broker/
dealers. Ranked by Business Insurance magazine as the 69th
largest insurance brokerage in the world, Starkweather & Shepley
has offered insurance solutions since 1879. Our Investment
Industry Practice Group offers specialty coverages, including
errors and omissions, directors and officers liability, ERISA bonds,
employment practices liability, fidelity bonds, and cyber liability
insurance.
133
Intermediary Compensation Management
and Oversight
Boston Financial Data Services, Inc.
Delta Data Software
2000 Crown Colony Drive
Quincy, MA 02169
888-772-2337
816-843-8192
Website: http://www.bostonfinancial.com/fia
700 Brookstone Centre Parkway
Suite 500
Columbus, GA 31904
617-834-2898
Fax: 508-497-0786
Website: http://www.deltadatasoft.com
Contact: Jim Mock, Vice President, Sales
With the Financial Intermediary Administration (FIATM ) suite of
services, you’re better positioned to understand and monitor your
intermediary activity. FIA combines on-line tools and technologies,
leading to greater transparency—saving you time and resources.
The result is a comprehensive and cost-effective way to better
manage the relationships and oversight of your intermediaries. FIA
includes:
»»FIRMport™: Enables proactive relationship monitoring and
event management through alerts, data analytics, and
reporting
»»Payment Administration: Automates and simplifies your
invoice validation, mitigating risk and streamlining your
environment
Contact: BJ Choi, Senior Vice President, Sales and Marketing
Delivering Value through Relationships, Talent, and Technology
Delta Data is focused on solving complex challenges in the
financial services industry. We have a 30-year legacy of delivering
expertise and proven software solutions and services that provide
competitive advantages to our clients. We drive profitability by
anticipating and solving compliance mandates, mitigating risk and
improving processing efficiencies, and facilitating a higher level of
customer service.
APERIOsuite—industry’s only sell-side solution for management
of data associated with mutual funds and other pooled investment
products
Revenue Manager—more than 13 years at leading sell-side firms
delivering control over every aspect of mutual fund revenue
sharing and distribution fee processing
Fee Manager— buy-side solution for management of distribution
expenses related to assets held in omnibus accounts and providing
control of payments to distribution partners
FUNDLinx—industry’s leading enterprise mutual fund processing
solution with a client base responsible for more than $1 trillion in
fund assets
DART: Data Analysis, Reporting and Transparency—industry’s
only solution for mutual fund companies and buy-side
counterparts to meet the regulatory 22c-2 rule
Deal Manager—data integration and analytic solution provides
insight to your business that might otherwise require weeks to
gather with existing toolsets
134
Investment Accounting
and Portfolio Management Systems
Linedata
Multifonds
260 Franklin Street
Boston, MA 02210
617-912-4700
Website: http://www.linedata.com
100 High Street
15th Floor
Boston, MA 02110
646-660-5775
Website: http://www.multifonds.com
Linedata Mfact is an innovative fund accounting solution with more
than 20 years of experience working with some of the world’s
leading financial institutions. It covers multi-jurisdictional, multiasset class investing with outstanding support and services.
Linedata Mfact is designed to facilitate processing, with a full
audit trail. It comes with an inclusive range of frequently updated
compliance regulatory reports, including rules set forth by the U.S.
Internal Revenue Service code and the Investment Company Act
of 1940.
Linedata Mfact can be integrated with other elements of the
Linedata Back Office platform, including Linedata Mshare transfer
agency software and Linedata Reporting.
Milestone Group
225 Franklin Street
17th Floor
Boston, MA 02110
617-986-0300
Website: http://www.milestonegroup.com.au
Contact: Geoff Hodge, Chief Executive
Milestone Group is a global provider of investment technology
solutions for fund oversight, fund processing, fund distribution,
tax and accounting, and investment analytics.
Milestone Group’s pControl solution supports multiple business
functions and processes, integrating seamlessly with existing core
technologies and servicing today’s complex inter-funded product
structures and related business processes.
pControl is a single application platform delivering best practice
operational efficiency and control to investment managers,
platforms, life companies, banks, and fund administrators.
Clients can select standard or tailored solutions overcoming issues
arising from limitations of existing core technologies, satellite
systems, spreadsheets, and manual processes.
Contact: Lior Yogev, Manager, North America
Multifonds is the leading investment software providing portfolio
accounting, fund accounting, investor servicing, and transfer
agency on a single platform. Multifonds combines the Investment
Book of Records and Accounting Book of Records to support
the complex middle-office investment operations of the world’s
leading global custodians, administrators, insurance companies,
and asset managers.
Today more than $5 trillion of traditional and alternative assets are
processed on Multifonds in more than 30 jurisdictions. Multifonds
is a member of the FinTech 100 group of top global financial
services software vendors, and has won industry awards from
Waters Technology, Custody Risk, and Global Custodian.
SEI
Oaks, PA 19456
610-676-1270
Director
Innovative technological solutions have been the backbone of
SEI since it was founded in 1968, and technology continues to
be the primary driver behind all of our service offerings. One
of our competitive advantages is our investment in awardwinning, top-tier accounting systems. Our accounting systems are
integrated with one another; this approach to technology means
that we have an extremely flexible and scalable platform that is
specialized for various investment strategies and products. SEI’s
goal is to provide a collaborative platform to our clients with both
operational expertise and technology that can integrate to meet
the changing market.
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Investment Banking Services
Berkshire Capital Securities LLC
535 Madison Avenue
19th Floor
New York, NY 10022
212-207-1000
Fax: 212-207-1019
Website: http://www.berkcap.com
Contact: R. Bruce Cameron, President and CEO
Berkshire Capital is an independent employee-owned investment
bank specializing in M&A and valuations in the financial services
sector. We are recognized as a leading expert in the wealth
management, money management, alternatives, real estate, and
broker/dealer industries. Headquartered in New York, we have
partners located in San Francisco, Denver, Philadelphia, London,
Sydney, and Frankfurt.
Berkshire Capital has advised buyers and sellers, both foreign
and domestic, on more than 290 completed transactions. These
transactions have involved a transfer of more than $900 billion of
assets under management with an aggregate value of more than
$12.5 billion. Berkshire Capital has also completed more than 260
independent valuations/strategic advisory assignments.
Member, FINRA / SIPC
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SEWARD & KISSEL LLP
WE BELIEVE IN PRACTICAL SOLUTIONS
WE OFFER COST-EFFECTIVE LEGAL SERVICES
WE DELIVER
Seward & Kissel LLP, founded in 1890, is a leading U.S. law firm with an international
reputation for excellence. We are regularly cited as one of the leading legal advisers to the
financial services industry and are recognized both nationally and internationally for our work
with investment funds.
We have over 50 attorneys dedicated to providing services to our investment management
clients. We represent a broad client base ranging from large investment company complexes to
single funds.
We have decades of experience in all areas of investment management, including:
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Mutual Funds
Closed-End Funds
Offshore Funds
Exchange-Traded Funds
Funds of Funds Arrangements
Fund Service Providers
Master-Feeder Funds
Reorganizations and Mergers
529 Plans
■ SEC Exemptive Orders and No-Action
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Letters
Hedge Funds and Private Equity Funds
Alternative Investment Funds
Investment Advisers
Regulatory Compliance
ERISA
Tax
SEC Staff Inspections and Enforcement
Actions
******
For more information about our Investment Management Practice, please visit
www.sewkis.com or contact one of the following members of our Investment Management
Practice Group.
Washington, DC
Kathleen K. Clarke
Paul M. Miller
Anthony C.J. Nuland
Bibb L. Strench
(202) 737-8833
(202) 737-8833
(202) 737-8833
(202) 737-8833
New York
Patricia A. Poglinco
John E. Tavss
Steve Nadel
(212) 574-1247
(212) 574-1261
(212) 574-1231
137
Investment Software for Investment Companies
Milestone Group
225 Franklin Street
17th Floor
Boston, MA 02110
617-986-0300
Website: http://www.milestonegroup.com.au
Contact: Geoff Hodge, Chief Executive
Milestone Group is a global provider of investment technology
solutions for fund oversight, fund processing, fund distribution,
tax and accounting, and investment analytics.
Milestone Group’s pControl solution supports multiple business
functions and processes, integrating seamlessly with existing core
technologies and servicing today’s complex inter-funded product
structures and related business processes.
pControl is a single application platform delivering best practice
operational efficiency and control to investment managers,
platforms, life companies, banks, and fund administrators.
Clients can select standard or tailored solutions overcoming issues
arising from limitations of existing core technologies, satellite
systems, spreadsheets, and manual processes.
138
Legal Counsel
Roy W. Adams
Bingham McCutchen LLP
370 Park Street
Suite 2
Moraga, CA 94556
925-631-0222
925-330-8610
Fax: 815-301-3414
Website: http://www.roywadams.com
One Federal Street
Boston, MA 02110-1726
617-951-8515
Website: http://www.bingham.com
Contact: Roy Adams, Attorney
Former national law firm partner Roy Adams has provided
personalized, reasonably priced legal services to the investment
management industry for more than 20 years, including to:
Investment companies and advisers, regarding fund:
»»Organizations
»»Registrations
»»Operations
»»Mergers and acquisitions
»»Compliance and supervisory oversight procedures
Mutual and closed-end fund independent directors/trustees,
proactively advising them on all aspects of their regulatory and
fiduciary responsibilities under the Investment Company Act of
1940 and federal securities and state laws.
Clients, as an expert witness in litigation and as an SEC-approved
independent consultant regarding regulatory enforcement matters.
Contact: Lee Anne Copenhefer, Partner
2020 K Street NW
202-373-6725
Contact: Thomas S. Harman, Partner
One Federal Street
Boston, MA 02110-1726
617-951-8247
Contact: Roger Joseph, Partner
2020 K Street NW
202-373-6799
Contact: W. John McGuire, Partner
We represent investment management organizations of all sizes,
including some of the largest asset management organizations
in the world. We advise both U.S. and non-U.S. managers and
funds and their independent directors or trustees, and work with
managers of public mutual funds, institutional asset managers,
and managers of private wealth. Clients include every type of
commingled investment vehicles—both U.S. and offshore—
ranging from registered mutual funds, ETFs, variable insurance
products, collective investment trusts, and closed-end investment
companies to venture capital, LBO, mezzanine, infrastructure and
other private equity funds, hedge funds, and commodity pools.
Bingham is a winner of the prestigious Chambers USA Award for
Excellence (investment funds) category.
139
LEGAL COUNSEL
Blank Rome LLP
Davis Graham & Stubbs LLP
The Chrysler Building
New York, NY 10174
212-885-5239
Fax: 212-885-5001
Website: http://www.blankrome.com
1550 17th Street
Suite 500
Denver, CO 80202
303-892-9400
Fax: 303-893-1379
Website: http://www.dgslaw.com
Contact: Thomas R. Westle, Partner
Contact: Peter H. Schwartz, Partner
Blank Rome’s investment management practice includes
representation of open-end and closed-end investment
companies, business development companies, independent
boards of directors/trustees, investment advisers, private
investment funds, hedge funds and venture capital funds, and
underwriters with respect to securities offerings by closed-end
investment companies and business development companies.
The firm’s representation includes preparation of registration
statements, private offering materials, proxy statements, stock
exchange listing applications, adviser registrations, merger and
acquisition matters, regulatory compliance matters, applications
for exemptive orders, requests for no-action letters, and tax and
ERISA matters. Blank Rome provides advice with respect to the
organization and structure of investment companies, private
investment funds, and investment advisers and assists clients in
developing innovative investment products.
Davis Graham & Stubbs has the most active asset management
practice in the Rocky Mountains, providing a full range of
corporate, securities, tax, litigation, and employee benefits advice
to investment companies, investment advisors, independent
directors, banks, and trust companies. We also have extensive
formation experience with hedge funds, mutual funds, venture
capital, private equity funds, and other investment vehicles.
Chapman and Cutler, LLP
111 West Monroe Street
Chicago, IL 60603
312-845-3781
Fax: 312-701-2361
Contact: Eric Fess, Partner
Specializes in all aspects of unit investment trusts, exchangetraded funds (ETFs) and open-end and closed-end investment
companies as well as the representation of independent directors
and trustees. Because of its national prominence in financing
transactions, including municipal securities, Chapman and Cutler
LLP provides advice to funds and their advisors and underwriters
and represents funds in their purchase of privately placed
securities. The firm is also involved in various transactions,
including derivatives, fund mergers/reorganizations, fund
borrowings and leverage, asset securitization, and defaulted
securities workouts.
140
Davis Polk & Wardwell LLP
New York, NY 10017
212-450-4684
Fax: 212-701-5684
Website: http://www.davispolk.com
Contact: Nora M. Jordan, Partner
Davis Polk’s Investment Management Group represents mutual
funds, closed-end funds, unit investment trusts, business
development companies, private funds, and their advisers,
sponsors, underwriters, and directors. Among the types of matters
on which we regularly work are the design and initial offering of
innovative new products, filings with regulatory agencies, internal
compliance programs, applications for exemptions and no-action
letters, and advice to boards of funds concerning their oversight
responsibilities for fund compliance with the Investment Company
Act and other regulatory regimes. Our broad experience includes,
in addition to traditional mutual funds, advising on registered
funds that invest in hedge funds and exchange-traded funds. We
were also a pioneer in the development of unit investment trusts.
LEGAL COUNSEL
Debevoise & Plimpton LLP
555 13th Street, NW
202-383-8050
Fax: 202-383-8118
Website: http://www.debevoise.com
Contact: Kenneth J. Berman, Partner
Debevoise & Plimpton LLP represents sponsors of U.S.-registered
investment companies and their independent directors; sponsors
of business development companies; a wide range of domestic
and foreign investment advisers (including advisers affiliated with
banks and insurance companies); and sponsors of and investors
in domestic and foreign private equity, hedge, and other types
of private investment funds. The firm has extensive experience in
acquisitions and dispositions of investment advisers. Our practice
also emphasizes internal reviews and compliance assessments,
enforcement and litigation matters, and offerings of listed and
unlisted investment products internationally.
Dechert LLP
One International Place
100 Oliver Street
40th Floor
Boston, MA 02110-2605
617-728-7100
Fax: 617-426-6567
Website: http://www.dechert.com/financial_services
Contact: Joseph Fleming, Partner
One International Place
40th Floor
100 Oliver Street
Boston, MA 02110-2605
617-728-7126
Contact: Geoffrey Kenyon, Partner
1900 K Street, NW
202-261-3300
Fax: : 202-261-3333
Contact: Robert Helm, Partner
1900 K Street, NW
202-261-3300
Fax: 202-261-3333
Fax: 212-698-3599
Contact: Jon Rand, Partner
1095 Avenue of the Americas
New York, NY 10036-6797
212-698-3500
Fax: 212-698-3599
Contact: Stuart Strauss, Partner
2010 Main Street
Suite 500
Irvine, CA 92614
949-442-6000
Fax: 949-442-6010
Contact: Kevin Cahill, Partner
2010 Main Street
Suite 500
Irvine, CA 92614
949-442-6000
Fax: 949-442-6010
Contact: Robert Robertson, Partner
Dechert is a leading adviser to financial services firms, asset
managers, and investment funds, representing clients ranging
from small start-up and boutique operations to some of the largest
fund complexes in the world. Our international team advises on
regulatory and compliance matters, investigations by regulatory
authorities, litigation, and the formation and management of
open- and closed-end funds, insurance products, offshore funds,
and hedge funds.
We assist funds and their advisers in connection with fund
organization and registration, and the development and
implementation of compliance and supervisory oversight
procedures. We provide advice regarding federal and state laws,
rules, and interpretative positions that may impact funds and their
investment advisers. We serve as transactional counsel and handle
regulatory issues in mergers and acquisitions of financial services
companies and funds. We also advise on complex derivatives
matters.
With approximately 180 financial services lawyers working
throughout 18 offices firm-wide (Boston, Charlotte, Hartford,
Irvine, Los Angeles, New York, Philadelphia, Washington, Dublin,
Frankfurt, London, Luxembourg, Munich, Paris, Hong Kong, Dubai,
and Singapore), Dechert is consistently recognized as a top law
firm for investment funds by a number of U.S., European, and
Asian publications.
Contact: Jack Murphy, Partner
New York, NY 10036-6797
212-698-3500
141
LEGAL COUNSEL
Drinker Biddle & Reath LLP
Foley & Lardner LLP
One Logan Square
Suite 2000
215-988-2700
Website: http://www.drinkerbiddle.com
Milwaukee, WI 53202
414-271-2400
Fax: 414-297-4900
Website: http://www.foley.com
Contact: Joshua B. Deringer, Partner and Chair of Investment
Management Group
Contact: Peter Fetzer, Partner
Drinker Biddle’s investment management lawyers thrive on helping
onshore and offshore clients with strategic thinking and innovative
solutions to legal issues. We represent:
»»Investment companies
»»Investment advisers
»»Exchange-traded funds
»»Hedge funds (registered and unregistered)
»»Commodities advisers and pools
»»Private equity funds
»»Broker-dealers
»»Banks and trust companies
»»Insurance companies
Our services include:
»»Registration, operation, and reorganization of investment
companies (including ETFs)
»»Independent trustee representation
»»Alternative products and derivatives
»»Variable annuity and insurance products
»»ERISA, tax, and fiduciary services
»»Mutual fund litigation
»»Governmental investigations and proceedings
»»Regulatory compliance
We provide practical and creative solutions, responsive service,
and value.
Foley & Lardner LLP provides professional services throughout
the entire process of the planning, organization, registration,
and operation of investment companies, exchange-traded funds,
broker-dealers, hedge funds, commodities advisers and pools,
private equity funds, and investment advisers. We also advise and
counsel the boards of directors of investment advisers (public and
private), broker-dealers, and other service providers to investment
companies.
Goodwin Procter LLP
901 New York Avenue NW
202-346-4515
Contact: Robert M. Kurucza, Partner and Co-Chair, Financial
Institutions Group
Exchange Place
53 State Street
Boston, MA 02109
617-570-1000
Contact: Philip H. Newman, Partner and Co-Chair, Financial
Institutions Group
With more than 40 years of experience representing mutual
funds, independent directors, banks, investment advisers,
insurance companies, broker dealers, and other fund service
providers, Goodwin Procter is recognized as one of the nation’s
leading law firms in the investment management industry. We
are renowned for our work on some of the most complex deals
in the marketplace, including public and private acquisitions and
financing transactions, and multi-faceted internal reorganizations,
as well as for defending high stakes regulatory investigations and
mutual fund class action litigations. We are consistently ranked
by Chambers for our leading investment management attorneys,
with clients pointing to our “vast experience, depth of knowledge,
and very good judgment as being [our] main strengths,” and
recognized for how we deliver value by being “proactive and
business-minded.”
142
d
A top-ranked legal advisor to
the investing world
Many of the world’s leading investment managers and mutual funds rely on Dechert’s experienced
team of lawyers in the United States, Europe, Asia and the Middle East.
Tier 1 for investment funds: registered funds, since the publication’s inception.
“One of the deepest and most experienced teams in the registered fund space. Counsels asset
managers, funds and independent directors, and regularly works on the most complex matters.”
Chambers USA, 2014
Tier 1 for investment fund formation and management (mutual/registered funds) since the
publication’s inception.
Dechert is “one of the top ’40 act firms” and has “a deep group of experts who understand
how to be business friendly and work within the confines of regulation.”
The Legal 500 (U.S.), 2014
Consistently ranked in Tier 1 for investment funds: hedge funds globally.
“The global footprint of this firm places it in a strong position to act on behalf of some
of the most important players in the hedge fund world… [C]lients uniformly appreciate
lawyers’ knowledge of local trends and regulations.”
Chambers Global, 2014
To learn how Dechert can help you, please contact:
Joseph R. Fleming
Boston
+1 617 728 7161
[email protected]
Jon S. Rand
New York
+1 212 698 3634
[email protected]
Geoffrey R.T. Kenyon
Boston
+1 617 728 7126
[email protected]
Stuart Strauss
New York
+1 212 698 3529
[email protected]
Robert W. Helm
Washington, D.C.
+1 202 261 3356
[email protected]
Kevin F. Cahill
Orange County
+1 949 442 6051
[email protected]
Jack W. Murphy
Washington, D.C.
+1 202 261 3303
[email protected]
Robert A. Robertson
Orange County
+1 949 442 6037
[email protected]
dechert.com
143
LEGAL COUNSEL
K&L Gates LLP
Austin, TX
Beijing
Berlin
Boston, MA
Chicago, IL
hedge funds, variable insurance products, private and offshore
investment funds, and exchange-traded funds.
For more information about our practice, including a full
description of our services and biographies of our lawyers, please
visit our website at www.klgates.com.
Kramer Levin Naftalis & Frankel LLP
Hong Kong
New York, NY 10036-2714
212-715-7520
Fax: 212-715-7636
Contact: Carl Frischling, Partner
London
Los Angeles, CA
Contact: Susan J. Penry-Williams, Partner
Melbourne
Milan
Contact: Ronald Feiman, Partner
New York, NY
Pittsburgh, PA
Contact: George M. Silfen, Partner
Raleigh, NC
Kramer Levin specializes in the Investment Company Act of
1940 and related investment adviser, broker-dealer, banking,
and commodities areas. The firm counsels mutual funds, their
advisers, and their independent directors on the full range
of legal and regulatory concerns, including fund governance,
compliance, Sarbanes-Oxley Act, anti–money laundering, and fund
distribution issues. The firm also specializes in representing clients
in acquisitions and mergers involving investment companies and
financial services organizations. In addition, Kramer Levin has a
full corporate and litigation practice, including tax and employee
benefits.
Dubai
Fort Worth, TX
Frankfurt
San Francisco, CA
Seattle, WA
Singapore
Sydney
Taipei
Tokyo
Washington, DC
Website: http://www.klgates.com
Law Office of C. Richard Ropka, LLC
K&L Gates has one of the nation’s largest and most experienced
diversified financial services practices. More than 150 of our
lawyers in the United States, Europe, Asia, and Australia focus
their time providing legal services to the investment management
and professional investor communities. In addition, our clients
benefit from the experience of the more than 30 lawyers in the
firm who have worked at the SEC or other financial regulatory
agencies.
215 Fries Mill Road
Turnersville, NJ 08012
856-374-1744
Fax: 866-272-8505
We represent mutual funds, closed-end funds, hedge funds,
offshore funds, insurance companies, broker-dealers, investment
advisers, retirement plans, banks and trust companies, and other
financial institutions. We also regularly represent mutual fund
distributors, independent directors of investment companies,
and service providers to the investment management industry.
In addition, we frequently serve as outside counsel to industry
associations on a variety of projects, including legislative and
policy matters.
We work with clients in connection with the full range of
investment industry products and activities, including all types
of open-end and closed-end investment companies, funds of
144
Contact: C. Richard Ropka, Esq., Partner
The Law Office of C. Richard Ropka’s investment management
practice represents open-end mutual funds, and their investment
advisors, underwriters, administrators, and independent trustees/
directors. The firm provides legal counsel to these clients and
its broker-dealer clients in contract negotiations, corporate
governance, and SEC and SRO compliance and enforcement
matters. Our representation includes preparation of registration
statements, private offering materials, proxy statements, and tax
opinions. Our full-service firm represents clients with the expertise
of large law firms, with the personal touch of a small law firm in
the areas of tax, mergers and acquisitions, securities, trusts and
estates, and tax exempt organizations.
LEGAL COUNSEL
Mayer Brown LLP
Morgan, Lewis & Bockius LLP
1999 K Street, NW
202-263-3379
Website: http://www.mayerbrown.com
1701 Market Street
215-963-5037
Fax: 215-963-5001
Website: http://www.morganlewis.com
Contact: Stephanie M. Monaco, Partner
Contact: Amy Ward Pershkow, Partner
Mayer Brown is an internationally recognized law firm that
provides practical, sophisticated, and comprehensive advice to a
broad spectrum of domestic and international regulated financial
institutions and financial services organizations. Clients include
mutual fund groups, fund board of directors, investment advisers,
private investment funds, banks, and securities firms. We assist
clients and their counterparties in developing new investment
products and services, and handle all types of regulatory,
compliance, tax, ERISA, and litigation matters. Our partners have
the experience necessary to deal efficiently and effectively with
complex and novel legal issues and to respond promptly to clients’
needs.
McCarter & English
BNY Mellon Center
1735 Market Street
Suite 700
215-979-3840
267-761-2073
Website: http://www.mccarter.com
Contact: Laura Anne Corsell, Partner
McCarter’s investment management attorneys counsel registered
investment companies and alternative vehicles, including
private equity, hedge, and venture capital funds with respect
to all aspects of federal and state securities regulation. Our
expertise extends beyond these core areas, encompassing ERISA,
insurance coverage, cybersecurity, service provider oversight,
and outsourcing. We represent independent directors with
respect to their responsibilities under the federal securities laws,
supported by a litigation team that has successfully represented
mutual funds and financial services companies in connection with
advisory fees cases, market-timing investigations, and similar
matters. Our attorneys have served as independent compliance
consultants in connection with federal and state settlement
orders, conducted compliance audits, and worked with clients
on a full spectrum of transactional matters involving registered
investment companies and their service providers, including fund
formation and the design of innovative investment products,
preparation of registration statements, mergers and acquisitions,
proxy statements, applications for exemptive orders and no-action
letters.
Contact: Timothy W. Levin, Partner
The Morgan Lewis Investment Management Practice provides a full
range of legal services to clients in the financial services industry,
both domestically and abroad. Our clients include investment
companies, advisers, broker-dealers, private equity and hedge
funds, banks, trust and insurance companies, pension plans and
consultants, and transfer agents. We have an interdisciplinary
approach to counseling clients, combining the knowledge of
lawyers familiar with federal and state securities law, ERISA, IRS
rules, commodities regulation, banking, and insurance laws. Our
practice consists of more than 60 attorneys in eight offices, and is
listed in The Legal 500 U.S. and Chambers USA.
Morrison & Foerster
18th Floor
New York, NY 10019-9601
212-468-8053
Website: http://www.mofo.com
Contact: Jay G. Baris, Partner
We deliver innovative, practical solutions to complex issues
involving registered and un-registered funds and advisers,
closed-end funds, business development companies, and
exchange-traded products. MoFo advises U.S. and non-U.S.
investment advisers regarding their registration, disclosure, and
compliance obligations. We counsel all types of pooled investment
vehicles, including private funds, commodity pools, venture
capital, mezzanine, and infrastructure, and we proactively advise
mutual fund independent directors on all aspects of their fiduciary
responsibilities.
Our investment management practice and attorneys are
recognized by Chambers, The Legal 500, and the U.S. News Best
Lawyers “Best Law Firms” guide.
145
LEGAL COUNSEL
Norton Smith & Co.
Nutter McClennen & Fish LLP
Level 20 Tower 2 Darling Park
201 Sussex Street
Sydney, Australia NSW 2000
+61 2 9321 4900
Fax: +61 2 9006 1239
Website: http://www.nortonsmith.com.au
155 Seaport Boulevard
Seaport West
Boston, MA 02210
617-439-2194
Fax: 617-310-9194
Website: http://www.nutter.com
Contact: Richard Liebmann, Chair, Financial Services Practice
Group
Contact: John Hunt, Partner and Chair of Hedge Funds, Mutual
Funds and Other Investment Funds Group
Norton Smith & Co. is a specialist law firm that focuses particularly
on the provision of services to the financial services industry.
With more than 40 years of experience in finance, taxation, and
corporate law, it has expertise in advising investment companies,
superannuation and pension funds, asset consultants, brokerdealers, private equity, hedge funds, banks, trustees, custodians
and insurance companies.
Nutter provides a broad range of legal services to hedge funds
and other types of alternative investment funds, mutual funds
(including money market funds), commodity pools, banksponsored funds such as bank collective investment funds, and
their investment managers. We represent U.S. mutual funds
and their independent directors as well as sponsors of U.S. and
offshore hedge funds and other types of collective funds. We have
advised clients with respect to all U.S. legal aspects of onshore
and offshore private and offshore fund formation matters and all
U.S. aspects of post-formation legal matters.
Our practitioners have extensive industry-specific knowledge
through engagement as directors, compliance committee
members, and as general counsel to Australian and international
corporations in the financial services industry, as well as to their
membership of leading Australian financial services industry
associations.
The firm was recognized by Global Law Experts as the 2014
Winner of the Boutique Category as Financial Services Sector Law
Firm of the Year in Australia.
See our ad on this page.
146
LEGAL COUNSEL
Paul Hastings LLP
Pepper Hamilton LLP
75 East 55th Street
Room 2055A
New York, NY 10022
212-318-6800
Fax: 212-230-7745
Website: http://www.paulhastings.com
3000 Two Logan Square
18th and Arch Streets
215-981-4000
Fax: 215-981-4750
Website: http://www.pepperlaw.com
Contact: Michael R. Rosella, Partner
Contact: John M. Ford, Partner
55 Second Street
24th Floor
San Francisco, CA 94105-3441
415-856-7000
Fax: 415-856-7100
Pepper Hamilton LLP counsels managers, sponsors, advisers, and
investors in public and private investment funds. Our lawyers are
skilled in the formation, operations, and regulatory environments
of a variety of investment funds, including registered investment
companies, direct equity funds, mezzanine funds, hedge funds,
business development companies, small business investment
companies, other alternative investment products, SEC regulatory
enforcement actions, corporate governance, and directors’ and
officers’ liability. We have several attorneys with prior government
experience with the SEC, FINRA, the U.S. Department of Justice,
Department of Treasury, and Internal Revenue Service.
Contact: David A. Hearth, Partner
515 South Flower Street
25th Floor
Los Angeles, CA 90071-2228
213-683-6000
Contact: Arthur L. Zwickel, Partner
875 15th Street, NW
202-551-1700
Fax: 202-551-1705
Contact: Wendell M. Faria, Of Counsel
Paul Hastings has a substantial and diverse practice in organizing,
registering, acquiring, reorganizing, and advising open- and
closed-end investment companies, exchange-traded funds,
and unit investment trusts. The firm is counsel to funds and
advisers, and has numerous independent director representations.
The firm also serves as special counsel to funds or advisers in
matters involving conflicts of interest or unusual circumstances
or transactions, as litigation counsel, as distributor’s counsel
concerning broker-dealer and related matters, as ERISA counsel,
and as counsel to domestic and offshore private investment funds.
147
LEGAL COUNSEL
Ropes & Gray LLP
Rose Law Firm
800 Boylston Street
Prudential Center
Boston, MA 02199
617-951-7000
Website: http://www.ropesgray.com
Philips Point
777 South Flagler Drive
Suite 800, West Tower
West Palm Beach, FL 33401
917-459-3879
212-472-8886
Contact: John Loder, Partner
New York, NY 10036
212-596-9000
Contact: Bryan Chegwidden, Partner
Three Embarcadero Center
San Francisco, CA 94111
415-315-6300
Contact: Gregory Davis, Partner
One Metro Center
700 12th Street, NW
Suite 900
202-508-4650
Contact: Molly Moore, Counsel
Ropes & Gray LLP is a leading national law firm with one of the
largest and most diversified investment management practices
of any U.S. firm. The principal focus of our practice is the
representation of investment companies and investment advisors.
We represent more than 1,000 mutual funds, and investment
firms ranging from start-up ventures to those with hundreds of
billions under management. More than 100 of our lawyers focus
on serving clients in the investment management industry. Our
mutual fund practice regularly appears at the top of industry
rankings—a direct reflection of our commitment to professional
excellence and client service.
Contact: S. Jane Rose, Principal
We offer a small law firm approach to your business, regulatory,
and compliance needs. Our focus is the investment management
industry, including investment companies and their independent
directors, investment advisers, broker-dealers, and fund
administrators. Our client base is global and our services are
customized to meet your objectives.
We have more than 30 years of industry, SEC regulatory, and
offshore fund experience.
Our goal is to provide you with timely, practical, and cost-effective
advice.
Schulte Roth & Zabel LLP
919 Third Avenue
New York, NY 10022
212-756-2533
Contact: Kenneth S. Gerstein, Partner
Schulte Roth & Zabel provides creative and effective legal advice
to mutual funds, closed-end investment companies, business
development companies, and domestic and offshore private
investment funds. We also represent independent directors
of funds, as well as investment advisers, banks, and brokers
that manage and distribute funds. With attorneys in New York;
Washington, DC; and London, we help clients structure innovative
products, including registered hedge funds. We also represent
clients on regulatory and compliance matters, investment adviser
acquisitions, and litigation. Our practice draws on the skills of
attorneys in the related areas of securities, commodities, banking,
tax, derivatives, and ERISA.
148
For investment management matters, you need a law firm that
understands your business, your goals, your opportunities and
challenges. A law firm with the experience and depth to handle
complex issues with confidence.
START CLOSER TO THE RIGHT ANSWER®—
with Pepper Hamilton
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llp.
fundformationandoperation-traditionalandalternativestrategies
federalandstateregulationofinvestmentcompaniesandadvisors
compliance,enforcement,andspecialinvestigations
directorandofficerliability
Attorneys at Law
litigationanddisputeresolution
JohnM.Ford|215.981.4009|[email protected]
financialandsecuritiestransactions
TollFree:1.866.PEPPER2|www.pepperlaw.com
mergers,acquisitionsandreorganizations
Berwyn | Boston | Detroit | Harrisburg | Los Angeles | New York | Orange County
Philadelphia | Pittsburgh | Princeton | Silicon Valley | Washington | Wilmington
Schulte Roth & Zabel LLP represents mutual funds and closed-end
investment companies. We also represent fund advisers, distributors and
independent directors. Our clients include funds sponsored by major financial
institutions and independent fund groups, including load and no-load mutual
funds, registered hedge funds and business development companies.
An important focus of our practice is structuring innovative funds that pursue
alternative investment strategies. We assist clients in addressing questions arising
under the Investment Company Act of 1940, organizing and registering new
funds and preparing exemptive applications and no-action requests. In addition,
we advise clients in connection with SEC examinations and compliance-related
issues, and assist them on a wide range of matters relating to investment advisory,
brokerage, securities custody and transfer agent services.
Contact:
Kenneth S. Gerstein
+1 212.756.2533
[email protected]
New York | Washington DC | London | www.srz.com
The contents of these materials may constitute attorney advertising under the regulations of various jurisdictions.
149
LEGAL COUNSEL
Seward & Kissel LLP
Sidley Austin LLP
901 K Street, NW
202-737-8833
Website: http://www.sewkis.com
787 Seventh Avenue
New York, NY 10019
212-839-5300
212-839-5534
Fax: 212-839-5599
Website: http://www.sidley.com
Contact: Kathleen K. Clarke
901 K Street, NW
202-737-8833
Contact: Paul M. Miller
One Battery Park Plaza
New York, NY 10004
212-574-1247
Contact: Patricia A. Poglinco
One Battery Park Plaza
New York, NY 10004
212-574-1261
Contact: John E. Tavss
We provide a full range of regulatory, corporate, ERISA, tax,
capital markets, transactional, and litigation services for a large
number and wide variety of investment companies, including
registered open-end and closed-end funds, exchange-traded
funds, hedge funds, private equity funds, and offshore funds.
We work with clients in the areas of formation and registration,
compliance with federal and state regulation, domestic and
international investing, mergers and acquisitions, compliance
audits, investigations, and enforcement action. We act as counsel
to the independent directors of registered investment companies
and advise public and private investment advisers, underwriters,
custodians, transfer agents, administrators, and other service
providers to registered and unregistered investment companies.
150
Contact: John A. MacKinnon, Partner
Sidley has a premier, global practice that advises on matters
relating to registered investment companies, as well as to hedge
funds, commodity pools, private equity funds, and offshore
funds. In addition to traditional registered investment company
structures, the firm has an active practice in leveraged funds,
principal-protected funds, fund of funds, master-feeder and
multiple class structures, and investment company mergers and
acquisitions. We represent a number of fund boards and have
actively participated in the SEC’s fund governance initiatives.
Sidley also advises clients across the spectrum of the most
complex enforcement and regulatory issues.
Simpson Thacher & Bartlett LLP
New York, NY 10017-3954
212-455-3575
Website: http://www.simpsonthacher.com
Contact: Sarah E. Cogan, Partner
Simpson Thacher & Bartlett LLP has a dynamic, longstanding
practice representing U.S. and foreign investment advisers, U.S.
registered open-end and closed-end funds, alternative investment
vehicles such as private equity funds, real estate funds, venture
capital funds, hedge funds, distressed debt funds, and fund-offunds, and investment and commercial banks in their investment
management-related activities. Our practice encompasses all
aspects of the investment management business, including
corporate finance, banking, mergers and acquisitions, and new
product development. The investment management group is
supported by specialists in banking regulation, tax, ERISA, real
estate, and commodity regulation and operates from our New
York, Houston, Los Angeles, Palo Alto, Washington DC, Beijing,
Hong Kong, London, São Paulo, Seoul, and Tokyo offices.
LEGAL COUNSEL
Stradley Ronon Stevens & Young, LLP
Stroock & Stroock & Lavan LLP
2005 Market Street
Suite 2600
215-564-8115
215-564-8000
Website: http://www.stradley.com
180 Maiden Lane
New York, NY 10038
212-806-6049
Fax: 212-806-6006
Website: http://www.stroock.com
Contact: Bruce Leto, Partner
Counseling clients since 1928, Stradley Ronon maintains one
of the premier investment management practices in the United
States, representing investment company clients with more than
1,000 separate funds and assets under management exceeding $2
trillion. Our Investment Management Group represents retail and
institutional investment companies marketing shares through every
distribution channel, as well as investment advisers, hedge fund
sponsors, managers, administrators, and underwriters/distributors.
It also serves as independent legal counsel to investment company
independent directors/trustees, and as special counsel to other law
firms with regard to complex issues arising under the Investment
Company Act of 1940. www.stradley.com.
Contact: Stuart H. Coleman, Co–Managing Partner
With our representation of nearly 800 investment companies—or
their independent board members—with nearly $1 trillion in assets
under management (approximately 7 percent of U.S. investment
company assets), and some of the nation’s best-known investment
advisers and industry service providers, our investment
management practice is one of the most active in the country.
Over the last 50 years, our services have included assistance with
the formation and management of hundreds of mutual funds
(including variable insurance and annuity products), closed-end
funds, exchange-traded funds, hedge funds, private equity funds
and other pooled investment vehicles, as well as non-traditional
structures such as business development companies, managerof-managers funds, registered funds of hedge funds, and other
alternative investment products. Our diverse client base provides us with the operational insight
to provide sound, practical, and efficient legal services to all of
our clients, and our experience has put us at the center of new
products and regulatory developments affecting our clients. The
breadth of our practice also has permitted us to develop skill
in important related disciplines, including tax, ERISA, complex
derivatives, commodities regulation, mergers and acquisitions,
capital markets, and litigation. In addition to our extensive regular representation of registered
funds and their advisers, we have significant expertise in the
provision of services to parties subject to various regulatory
investigations and settlements, including those instituted by the
SEC, or potential litigations with investors.
151
LEGAL COUNSEL
Sutherland Asbill & Brennan LLP
Vedder Price P.C.
700 Sixth Street, NW
Suite 700
202-383-0100
Website: http://www.sutherland.com
222 North LaSalle Street
Chicago, IL 60601
312-609-7500
Fax: 312-609-5005
Website: http://www.vedderprice.com/
investment-services-client-services
Contact: Steven B. Boehm, Partner
Sutherland Asbill & Brennan LLP has a comprehensive investment
management practice. Our clients include open- and closed-end
funds, business development companies (BDCs), unit investment
trusts (UITs), exchange-traded funds (ETFs), 529 plans, and
funds underlying insurance products. We also represent private
investment funds and clients that distribute investment funds,
including broker-dealers, banks, and insurance companies, and
investment advisers who manage these funds. Sutherland advises
clients on all aspects of capital formation, corporate governance,
compliance, tax, ERISA, and litigation matters. Founded in 1924,
the firm has offices in Washington, DC; New York; Atlanta;
London; Geneva; Houston; Austin; and Sacramento.
Contact: David A. Sturms, Shareholder and Chair, Investment
Services Group
Vedder Price provides a full range of services to a diverse financial
services clientele. Our investment services group, one of the
largest in the country, is experienced in all aspects of investment
company, investment adviser, broker-dealer, bank, ERISA, and
tax matters. Clients include open-end and closed-end funds and
ETFs (from start-ups to multibillion-dollar fund families), and
their sponsors and independent directors; private investment
companies; and other pooled-investment vehicles. We work
closely with clients to provide efficient, timely, and responsive
counsel on a myriad of issues, ranging from new product design to
the M&A needs of investment companies and their sponsors.
Thompson Hine LLP
312 Walnut Street
14th Floor
Cincinnati, OH 45202-4089
513-352-6546
Website: http://www.thompsonhine.com
Contact: Donald S. Mendelsohn, Partner
Thompson Hine investment management lawyers provide
outstanding legal services and a wealth of experience to a wide
range of clients, including investment companies and advisers,
broker-dealers, domestic and offshore hedge funds, fund service
providers, and independent directors and trustees. We offer
innovative solutions for entering the industry, developing new
products and services, expanding business through strategic
planning and acquisition, keeping abreast of regulatory and
industry developments, and interacting with regulators. A topranked national business law firm, Thompson Hine has offices in
Atlanta, Cincinnati, Cleveland, Columbus, Dayton, New York, and
Washington, DC.
152
LEGAL COUNSEL
Willkie Farr & Gallagher LLP
787 Seventh Avenue
New York, NY 10019-6099
212-728-8000
212-728-8297
Fax: 212-728-8111
Website: http://www.willkie.com
Contact: Margery Neale, Co-Chair, Asset Management Group
1875 K Street, NW
202-303-1000
202-303-1201
Fax: 202-303-2000
Contact: Barry Barbash, Co-Chair, Asset Management
We provide creative, timely, and cost-effective representation
to registered investment companies—both open-end and
closed-end—as well as to business development companies,
exchange-traded funds (ETFs), hedge funds, private equity
funds, and offshore funds and their managers. We also advise
insurance companies and their affiliates concerning variable life
insurance and annuities and other insurance products subject
to regulation under the securities laws. We routinely work with
clients in the areas of new product design, federal and state
regulation, governance matters, portfolio investing, distribution,
mergers and acquisitions, private placements, compliance audits,
investigations, enforcement actions and litigation, and the day-today business of asset management.
Our firm offers the full array of services investment management
firms require, including tax, ERISA, commodities, trading and
market regulation, banking, bankruptcy, derivatives, and asset
securitization.
153

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