Abandoned Property Compliance and Processing
Transcription
Abandoned Property Compliance and Processing
Abandoned Property Compliance and Processing Boston Financial Data Services, Inc. Unclaimed Property Recovery and Reporting, 2000 Crown Colony Drive Quincy, MA 02169 888-772-2337 617-483-8795 Email: [email protected] Website: http://www.bostonfinancial.com LLC Contact: Steve Grande, Vice President, Sales For more than 40 years, Boston Financial has developed strong and reputable compliance solutions, including abandoned property services. We maintain a record of state escheatment rules, property types, dormancy periods, report due dates, reporting periods, and contact information for 54 jurisdictions: the 50 states, District of Columbia, Puerto Rico, Guam, and the Virgin Islands. We also follow the SEC requirements mandated by Rule 17Ad-17 to perform searches for lost shareholders. Our Unclaimed Property Administration service provides broad-ranging efforts to make contact so their assets are not inappropriately escheated. Georgeson 450 Seventh Avenue Suite 905 New York, NY 10123 212-971-3333 917-841-3479 Email: [email protected] Website: http://www.uprrinc.com Contact: Robert Irvine, President Unclaimed Property Recovery and Reporting, LLC (UPRR) is the nation’s leading provider of unclaimed property due diligence and compliance services. More than 2,500 corporations, mutual funds, insurance companies, banks, and brokerage firms rely on UPRR’s unparalleled expertise to help mitigate risk and ensure compliance. Through carefully developed and proven owner location methodologies, UPRR provides state-of-the-art technology to identify new addresses and registered representatives to assist investors, resulting in reduced expenses and significant retention of fund assets. In addition, UPRR has developed a state-of-the-art compliance system that meets the unclaimed property reporting requirements of all U.S. and Canadian jurisdictions. 480 Washington Boulevard Jersey City, NJ 07310 212-805-7188 Email: [email protected] Website: http://www.georgeson.com Contact: Brian Permenter, Senior Vice President Georgeson is the world’s foremost provider of strategic shareholder consulting services to corporations and shareholder groups working to influence corporate strategy. We offer unsurpassed advice and representation in mergers and acquisitions, proxy contests, and other extraordinary transactions. In global transactions, our capacity and network are unmatched. Georgeson also offers services to reunite asset holders with their property, mitigating the risk of their property being escheated. These services are offered via the Unclaimed Asset Program, which is offered by Georgeson, Inc., and the Mutual Fund CleanUp, Shareholder CleanUp, and PostMerger CleanUpTM services, which are offered by Georgeson Securities Corporation (member FINRA, SIPC). Our core proxy expertise is enhanced with and complemented by our strategic consulting services, as well as by the Georgeson inVU TM platform, a software tool that provides insight into investor ownership and voting profiles. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 1 Accounting and Audit Firms Muhammad Akram, CPA, PLLC BBD, LLP 201 Shannon Oaks Circle Suite 200 Cary, NC 27511 919-654-6900 443-370-3253 Email: [email protected] Website: http://www.aifundservices.com 1835 Market Street 26th Floor Philadelphia, PA 19103 215-567-7770 Email: [email protected] Website: http://www.bbdcpa.com Contact: Muhammad Akram, Owner Muhammad Akram PCAOB-registered firm provides audit, tax, accounting, CFO solutions, and advisory services to hedge funds, commodity trading advisors, commodity pool operators, funds of funds, venture capital funds, private equity, and registered investment advisors. The firm is recognized as a trusted service provider to the industry, and consults on a wide range of organizational, operational, and regulatory issues. PCAOBregistered CPA firm also advises on fund structure, compliance, and financial reporting, as well as tax issues from a federal, state, and local compliance perspective. Baker Tilly 205 North Michigan Avenue Chicago, IL 60601 312-729-8000 414-777-5415 Email: [email protected] Website: http://www.bakertilly.com Contact: Christine Fenske, Partner Building investor confidence, navigating and adapting to the ever-changing regulatory environment, and determining the value of complex financial instruments are just a few of the reasons why investment companies and fund managers need candid and insightful accounting, tax, and business advice. With Baker Tilly you receive services tailored to your tax, assurance, internal audit, and consulting needs, including: »»Financial statement audit »»Tax compliance »»Tax structuring »»SEC custody rule examinations »»Internal controls assessments »»Financial statement preparation 2 Contact: Michael F. Boyle, CPA, Managing Partner BBD provides audit and tax services for mutual funds and ETFs; hedge funds and investment partnerships; and registered investment advisors and broker/dealers across the United States. Our affiliate, BBD Cayman, provides audit services for offshore funds based in the Cayman Islands. Our professionals have dedicated their careers to the investment management industry and to delivering a valuable audit and tax experience. They ensure our clients are always served by a team with significant industry expertise and always receive the highest level of service. Stay current on the audit and tax issues important to your funds with our blog at investmentcompanynotebook.com. See our ad on page 3. Cohen Audit Fund Services 1350 Euclid Avenue Suite 800 Cleveland, OH 44115 216-774-1145 Email: [email protected] Website: http://www.cohenfund.com Contact: Peggy McCaffrey, CPA, President Cohen Fund Audit Services is a public accounting firm focused on audit, attest, and tax services exclusively for the investment industry. Our national client base includes mutual funds, hedge funds/private equity, investment advisors, and fund service providers. We have a customized, focused audit approach and deep tax expertise. But what makes us different is our culture built on energy, discipline, results, and—most importantly—personal commitment to our clients. Member PCAOB. See our ad on page 5. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION ACCOUNTING AND AUDIT FIRMS Ernst & Young 5 Times Square New York, NY 10036 617-585-0700 Email: ernst&[email protected] Website: http://www.ey.com/us/assetmanagement Contact: Thomas Flannery, Americas Co-Leader, Wealth and Asset Management 212-773-2240 Contact: Michael DiLecce, Americas Assurance Leader, Wealth and Asset Management Our combination of resources and competencies has established us as a market leader in asset management. Ernst & Young’s Global Wealth & Asset Management Practice provides audit, tax, advisory, and transaction services to pooled investment entities globally, including registered funds, hedge funds, private equity funds, and structured products in the areas of audit and business advisory services, regulatory and risk management, SOC 1s, and performance measurement services. We have significant experience servicing many types of portfolios such as: »»Open-end and closed-end mutual funds »»Multiple share classes »»Exchange-traded funds »»Master feeder structures »»Funds of funds »»Collective/common trust funds »»Business development companies »»Unit investment trusts »»Offshore funds »»Group trusts »»Business trusts The Rings Of A Tree Tell Us More Than Its Age Counting the rings of a tree will show its age, but the character of the ringsevenly spaced in good years or narrow from drought- reveals its experience. Experience matters. Insight is earned with time. At BBD, our most senior professionals, with more than 20 years of experience on average dedicated to the fund industry, are hands-on members of your service team. We understand the complex issues and challenges your funds face and leverage that deep perspective to create a valuable audit and tax experience for your funds. 1835 Market Street, 26th Floor | Philadelphia, PA 19103 Call: 215/567-7770 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Visit: bbdcpa.com 3 ACCOUNTING AND AUDIT FIRMS Kreischer Miller Sandler & Company, P.C. 100 Witmer Road Horsham, PA 19044 215-441-4600 Email: [email protected] Website: http://www.kmco.com 144 Gould Street Suite 204 Needham, MA 02494 781-455-1480 Email: [email protected] Website: http://sandlercpa.com/usa 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 215-441-4600 or visit www.kmiig.com. McGladrey LLP 80 City Square Boston, MA 02129 800-274-3978 617-912-9000 Email: [email protected] Website: http://www.mcgladrey.com Contact: Scott Mackey, Partner With more than 50 years of experience serving the financial services community in key financial hubs, McGladrey professionals help organizations navigate complex reporting, governance, and regulatory issues to achieve their business objectives. Based on the knowledge that comes from serving alternative investment companies, investment advisers, investment partnerships/hedge funds, private equity funds, mutual funds, broker-dealers, and futures commission merchants, we understand the complex operational, financial reporting, and compliance issues facing the industry. We provide industry insight, advice, and solutions to financial services organizations across the country and around the world. That’s what you can expect from McGladrey. Experience the Power of Being Understood SM . 4 Contact: Donald Sandler, CPA, MST Sandler & Company, P.C. and our affiliated firm Sandler & Company (Cayman) have extensive experience in the investment fund industry. We presently service approximately 40 U.S. and offshore investment companies that invest in a wide array of financial instruments, including traditional marketable equity securities, real estate investments, debt securities, distressed securities, futures contracts, and other private investment funds. We offer a full range of accounting, audit, tax, and consulting services for investment companies located throughout the country and offshore. Accounting and audit services include advice on operational procedures, year-end audits, and preparation of tax returns and related K-1 and investor tax reporting schedules. Tait Weller 1818 Market Street Suite 2400 Philadelphia, PA 19103 215-979-8800 Fax: 215-979-8811 Email: [email protected] Website: http://www.taitweller.com Contact: James F. Mahoney, Director of Investment Management Industry Group Tait Weller provides accounting, auditing, and tax services to investment advisers, broker/dealers, and mutual funds of all sizes—from start-up organizations to industry leaders. The firm specializes in assisting organizations creating new mutual funds. Such services include evaluating transfer agents, custodians, and pricing/accounting agents; breakeven operating expense analysis; and strategic business planning. See our ad on page 7. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION WE WANT ALL OF YOUR FUNDS to benefit from our focused audit approach, timely communication, and collaborative audit experience. Our staff is 100% dedicated to the financial services industry, and our strong tax focus provides our clients with practical and effective solutions. www.cohenfund.com 216.649.1700 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 5 Advertising Review Compliance BNY Mellon Northern Lights Distributors, LLC 225 Liberty Street New York, NY 10281-1008 800-579-1459 Email: [email protected] Website: http://www.bnymellon.com 17605 Wright Street Omaha, NE 68130 402-896-7127 Email: [email protected] Website: http://www.nldistributors.com Contact: Marina Lewin, Global Head of Sales Contact: Brian Nielsen, CEO BNY Mellon’s Advertising Review solution can provide an opportunity to increase the efficiency of a firm’s advertising compliance process by providing a secure, online capability for the review and annotation of advertising and marketing pieces. Our SEC Rule 17a-4 electronic archiving capabilities reduce the need for paper files, and our web-enabled service simplifies the entire regulatory compliance review process for advertising, making it fast and easy, from first review to final sign-off. Northern Lights Distributors, LLC (NLD) helps you navigate the distribution universe. We serve as an advocate for our clients’ products by collaborating with financial intermediaries and partners. We are a broker-dealer specializing in providing comprehensive, adviser-driven fund distribution solutions. NLD works side-by-side with investment advisers to grow fund assets by offering key accounts services and assisting in defining and implementing marketing and distribution plans, including website design, development, and hosting. Our fund distribution services include inside sales support, online administration of selling agreements and advertising review, FINRA advertising filings, 12b-1 payment processing, and facilitation of NSCC trading. See our ad on page 9. Foreside Financial Group Three Canal Plaza Suite 100 Portland, ME 04101 207-553-7110 Fax: 207-553-7151 Email: [email protected] Website: http://www.foreside.com Contact: David M. Whitaker, 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. »»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 6 U.S. Bancorp Fund Services, LLC 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: [email protected] Website: http://www.usbfs.com Contact: Bob Kern, Director of Business Development Our wholly-owned mutual fund distributor, Quasar Distributors, LLC , is a 50-state registered broker-dealer, a member of FINRA, and the industry’s largest third party mutual fund distributor. Quasar reviews thousands of communications pieces, including public marketing and advertising collateral, each year. Using Quasar’s proprietary software, QuasarACCESS™, clients benefit from seamless processing and complete transparency throughout the review process. As part of Quasar’s commitment to our clients, when FINRA provides guidance for disclosure protocol and any advertising limits, we provide this information to all clients. This allows all our clients to benefit from Quasar’s footprint, navigate regulatory pitfalls, and proactively develop compliant materials that mitigate any comments from FINRA. All of US serving you. See our ad on the inside front cover. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION TAIT-013_InvestCompanyServiceDirectory_Ad_051513.pdf 1 5/15/13 10:39 AM CERTIFIED PUBLIC ACCOUNTANTS Specializing in the Funds Industry Tait Weller is a leading full-service CPA firm specializing in pro-active Audit & Assurance, Tax, and Management & Technology Advisory services to national and global investment companies and the associated industry. Our independence and industry focus allow us to be nimble and responsive - the alternative to the ‘Big4’. From partner-level involvement and multi-year team assignments, to our all-inclusive fee structure, we are uniquely pro-active. If you haven’t found the expertise and results you need, find Tait Weller. Find us at www.taitweller.com or contact James F. Mahoney, Partner and Director of Investment Management Industry Group, at 215.979.8800 Philadelphia, PA THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION New York, NY Iselin, NJ 7 Alternative Investment Product Services ALPS, a DST Company Atlantic Fund Services 1290 Broadway Suite 1100 Denver, CO 80203 303-623-2577 303-623-7850 Email: [email protected] Website: http://www.alpsinc.com 3 Canal Plaza Portland, ME 04101 207-347-2016 Email: [email protected] Website: http://www.atlanticfundservices.com 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 ALPS was named the #1 Global Service Provider and received Roll of Honor status in three categories. See our ad on the inside back cover. 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. BNP Paribas 51 West 52nd Street Floor 36 New York, NY 10019 212-471-8041 Email: [email protected] 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. 8 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 9 ALTERNATIVE INVESTMENT PRODUCT SERVICES BNY Mellon Brown Brothers Harriman & Co. 225 Liberty Street New York, NY 10281-1008 800-579-1459 Email: [email protected] Website: http://www.bnymellon.com 50 Post Office Square Boston, MA 02110 617-772-1263 Email: [email protected] Website: https://www.bbh.com/wps/portal/expertise/ investorservices/specializedservices/alternativefunds Contact: Marina Lewin, Global Head of Sales BNY Mellon Alternative Investment Services is a leading service provider for alternative assets, including single manager hedge funds, funds of hedge funds, private equity, and real estate funds. Our client support and innovative technology allow for more efficient fund accounting and administration, as well as greater transparency. We also offer an array of custody, cash management, foreign exchange, collateral management, trust, and middle-office services that provide meaningful support to allow our clients to focus on advanced investment strategies designed to maximize client returns. Contact: Chris McChesney, Senior Vice President Currently servicing more than $190 billion of alternatives assets (as of June 30, 2014), Brown Brothers Harriman (BBH) ranks among the top global service providers of alternative funds. BBH offers a comprehensive set of depository, custody, accounting, and administration services across all major alternative strategies, including real assets, private equity, and hedge funds. BBH differentiates on the basis of a selective focus on leading alternative asset gatherers, deep subject matter expertise in alternative fund servicing, and a globally integrated service model. See our ad on page 9. WEALTH MANAGEMENT SERVICES Advancing the growth of the Mutual Funds, Alternative Investment and Insurance markets NSCC’s Wealth Management Services and Insurance & Retirement Services businesses provide centralized, automated processing and information services for the mutual funds, insurance and alternative investment industries. Seamless, end-to-end communications are enabled between funds, asset managers and insurance companies and their distribution partners to deliver reductions in risk and cost along with operational efficiencies. Investment Product Services also help clients meet a variety of regulatory compliance requirements. For more than 40 years DTCC, through its subsidiaries, has provided post-trade processing services that mitigate risk, reduce costs, increase transparency and promote greater market efficiency. Today, we process trillions of dollars of securities transactions each day and more than $1.6 quadrillion annually – serving as the centralized clearinghouse for the U.S. capital markets and operating the first and only global trade repository for derivatives. As changes in market structure and new regulations transform the industry, DTCC is proactively engaged to meet the complex operational challenges of an ever-evolving marketplace. To find out how we can help your business, call us today at 212.855.8877, or visit us at www.dtcc.com 10554_ IPS Ad_ICI Directory.indd 1 10 8/5/14 2:58 PM THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION ALTERNATIVE INVESTMENT PRODUCT SERVICES Depository Trust & Clearing Corporation, The (DTCC) 55 Water Street New York, NY 10041 212-855-5662 Email: [email protected] Website: http://www.dtcc.com/wms Contact: James Kiernan, Vice President, Relationship Management DTCC’s Wealth Management Services (WMS) delivers a broad range of innovative transactional and information services to the mutual fund, alternative investment products, and insurance industries. Our solutions automate, standardize, and centralize processes, driving business relationships between asset managers and insurance carriers and their distributors and creating efficiencies while reducing cost, risk, and errors. Fund industry services include DTCC’s Fund/SERV®, Networking, Mutual Fund Profile Service, Defined Contribution Clearance & Settlement, ACATS-Fund/SERV, Transfer of Retirement Assets, DTCC Payment aXis® and Global Update. Our Alternative Investment Products (AIP) service is a leader in processing alternative investment transactions, and we support the full lifecycle for the streamlined processing of annuities and other insurance products. WMS is offered through DTCC’s subsidiary, National Securities Clearing Corporation. See our ad on page 10. DST 1055 Broadway Kansas City, MO 64105 646-417-3120 Email: [email protected] Website: http://www.dstsystems.com/ alternatives Contact: Robyn Holloway, Vice President, Sales Asset management companies are integrating retail alternative investments into traditional investment strategies as they seek improved returns and diversification. DST supports a full range of retail alternative products, including: »»Open-end funds »»Closed-end interval funds »»Listed and non-listed REITs »»Business development corporations »»Managed futures Our service models can be tailored to fit specific operational needs. We can help: »»Fund Accounting »»Fund Administration »»Shareholder Servicing »»Compliance »»Customer Communications »»Distribution Support »»Start-Up Consulting 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. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 11 ALTERNATIVE INVESTMENT PRODUCT SERVICES Gemini Hedge Fund Services, LLC MUFG Union Bank, N.A. 80 Arkay Drive Hauppauge, NY 11788 888-499-1153 Email: [email protected] Website: http://www.geminihedge.com 350 California Street 11th Floor San Francisco, CA 94104 415-705-5014 Fax: 415-705-5052 Email: [email protected] Website: http://www.unionbank.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. J.P. Morgan 1 Chase Manhattan Plaza Floor 5 New York, NY 10005-1401 212-522-0778 Email: [email protected] Website: http://www.jpmorgan/investorservices Contact: Stephanie Miller, Managing Director J.P. Morgan’s Alternative Investment Services (AIS) business leverages the firm’s full breadth of capabilities to provide industryleading services to single manager and fund of hedge funds. Services include accounting, investor relations, middle office and fund of hedge fund custody, as well as a wide range of ancillary services. AIS employs a “follow the sun” administration model whereby we are able to utilize our offices and knowledgeable staff around the globe to provide clients with round-the-clock support, while achieving greater efficiency and timeliness of our deliverables. Contact: Bob Dearth, Vice President With a century of trust and custody experience, we understand that knowledge and experience are valuable assets. Our consultative approach to relationship management seeks to deliver value at all levels through a dedicated client service team and service model that allows us to deliver robust solutions. Our multi-currency accounting and reporting platform provides state-of-the-industry access to portfolio data, an emphasis on straight-through processing, and automated secured file sharing. Our system is designed to help you comply with U.S. Treasury and SEC rules that are applicable to you, and to encourage the use of SWIFT protocols. See our ad on page 15. SEI 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: [email protected] Website: http://www.seic.com/ims Contact: John Alshefski, Senior Vice President and Managing Director, Investment Manager Services SEI is one of the largest independent outsourcing providers for alternative investments around the world. SEI offers comprehensive alternative investment administration, accounting, investor servicing, and key middle-office functions, including collateral management, valuation validation, compliance monitoring, risk management, and trade support to virtually all domiciles. In addition, SEI’s sophisticated web-based reporting capabilities, customized compliance support, and formalized thought leadership series help investment managers stay ahead of the changing environment and focus on servicing their clients. Our expertise and innovative technologies enable us to support the specific needs of hedge funds, funds-of-funds, private equity funds, managed account structures, and registered investment products. 12 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION ALTERNATIVE INVESTMENT PRODUCT SERVICES Ultimus Fund Solutions, LLC UMB Fund Services 225 Pictoria Drive Suite 450 Cincinnati, OH 45246 513-587-3400 Email: [email protected] Website: http://www.ultimusfundsolutions.com 2225 Washington Boulevard Suite 300 Ogden, UT 84401 801-737-4000 Email: [email protected] Website: http://www.umbfs.com Contact: Bob Dorsey, Managing Director Contact: Tony Fischer, President 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. UMB Fund Services is ready to serve your needs. 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. 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. 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. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 13 ALTERNATIVE INVESTMENT PRODUCT SERVICES U.S. Bancorp Fund Services, LLC 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: [email protected] Website: http://www.usbfs.com Contact: Bob Kern, Director of Business Development Whether you use our complete package of Alternative Investment Solutions or just one, you’ll get the latest in fund technology and the attention of our industry experts while you focus on future growth. With a foundation rooted in compliance and financial strength, we’ve built a global platform of experienced professionals to customize and deliver solutions for specialized needs, stretching from London and Dublin to the United States and the Cayman Islands. Our services include: »»Custody services »»Distribution support »»Fund administration »»Onshore and offshore investor services »»Middle-office »»Registered office and corporate secretarial services »»Portfolio and fund accounting »»Tax support »»Technology »»Treasury services See our ad on the inside front cover. 14 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 15 Anti–Money Laundering Services ACA Compliance Group Foreside Financial Group 589 Eighth Avenue 22nd Floor New York, NY 10018 212-868-5940 Email: [email protected] Website: http://www.acacompliancegroup.com Three Canal Plaza Suite 100 Portland, ME 04101 207-553-7110 Fax: 207-553-7151 Email: [email protected] Website: http://www.foreside.com Contact: Dee Stafford, Vice President ACA’s independent Anti–Money Laundering program reviews are designed with your firm’s operations in mind. Through its consultants’ former regulatory and industry experiences, ACA’s AML reviews are designed to offer the AML Compliance Officer an understanding of the applicable regulatory mandates, industry best practices, and how broker-dealers, transfer agents, and mutual fund companies are fulfilling their AML independent testing obligations. Our reviews are designed to consider the nature and extent of the operations and activities by taking a risk-based approach in determining the vulnerability of the current business for money laundering and terrorist activities. For more information, contact Dee Stafford at 561-988-3310. 16 Contact: David M. Whitaker, 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. »»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 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Asset Allocation and Wrap Systems Software DST 333 West 11th Street Kansas City, MO 64105 888-DST-INFO Email: [email protected] Website: http://www.dstsystems.com Contact: Larry Kiefer, Business Development Officer Investment managers are responsible for a number of processes when developing and managing mutual fund wrap accounts, including trading, position balancing, corporate actions processing, and performance reporting. DST performs the functions of the many different systems in the market today and helps investment companies support mutual fund wrap accounts with OpenPFA. The solution provides: »»Automated workflow and straight-through processing »»Advisor- and client-facing websites »»Integration with mutual fund statement production »»DTCC interface for omnibus trading »»Advisor-controlled wrap modeling »»Investment management and advisor fee processing »»World-class data center support With features designed to fit individual wrap account needs, advisors, managers, and investors benefit from: »»Reduced fixed-costs »»Decreased training time to operate »»Real-time information from various access points »»Increased close-rate through easy-to-manipulate proposal generation tools THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 17 Automated Publishing Solutions Fluent Technologies Synthesis Technology Corporation 331 Montvale Avenue Suite 300 Woburn, MA 01801 781-939-0900 x111 Fax: 781-939-0800 Email: [email protected] Website: http://www.fluenttech.com 820 West Jackson Boulevard Suite 200 Chicago, IL 60607 312-948-4949 Fax: 312-756-1710 Email: [email protected] Website: http://www.snth.com Contact: Michael Zimmer, President Contact: John Toepfer, President Fluent®, an industry leader in data management and reporting solutions for world-class money managers for almost two decades, offers a secure platform that produces timely and accurate investor communication tools, including: Since 1998, Synthesis has been a market leader in providing document automation, information management, and sales enablement solutions for major financial services firms. »»Fact Sheets »»Investment Reviews »»Fund Commentaries »»Strategy Reviews »»Client Reporting »»Portfolio Analytics Fluent’s proprietary approach ensures that compliance-approved materials are generated uniformly across the key product areas of your firm. Our customer service focus is designed to meet our clients’ highest expectations. Fluent’s solutions greatly enhance the value of your communications and brand, while offering substantial cost savings, greater productivity, and reduced operational risks. Our mission is to help our clients solve complex content management and publishing problems for print and digital distribution. Our software solutions allow firms to produce a large volume and variety of data-driven marketing, sales, and client communication material very quickly and accurately. We automate the production of fund factsheets, pitchbooks, commentaries, product guides, retirement kits, client notices, websites, emails, prospectuses, RFPs, and custom charts and graphs. Many major financial services organizations have selected Synthesis products to support their strategic communications needs based on our depth of experience, our professional services reputation, and the flexibility of our technology. Toppan Vite New York Inc. 747 Third Avenue 7th Floor New York, NY 10017 212-596-7768 Email: [email protected] Website: http://www.toppanvite.com/us Contact: Jeffrey Riback, President Toppan Vite is a full-service financial printer that handles all mission-critical content for investment company reporting and compliance. We’re part of a global company, Toppan, with more than $18 billion in annual sales. We have U.S. and global capabilities and have standout people with decades of investment company experience in the U.S. financial printing industry. Our HIVE™ Content Control solution provides automated publishing and document distribution capabilities that improve speed to market, reduce cost, increase efficiencies, ensure regulatory compliance, and help you maintain content and brand integrity. Toppan Vite is here to do things better, make life hassle-free, and change your experience of financial printing. 18 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Back-Office Services and Systems BBH Infomediary Confluence 50 Post Office Square Boston, MA 02110 617-772-2142 Email: [email protected] Website: https://www.bbh.com/wps/portal/expertise/ investmentservices/productscapabilities/outsourcing/ infomediary 600 River Avenue Pittsburgh, PA 15212 412-697-4306 Email: [email protected] Website: http://confluence.com/en-us/solutions/?overview-5 Contact: Chris McCabe, Senior Vice President Since its inception in 2001, Brown Brothers Harriman (BBH) Infomediary® has streamlined clients’ operations with its highly customizable communications platform. BBH Infomediary provides data translation, enrichment, transformation, and transmission services to 275+ of the world’s largest asset managers, insurance companies, transfer agents, distributors, banks, alternatives, real estate securities managers, and retirement systems. BBH Infomediary addresses post-trade messaging needs by insulating clients from the support and infrastructure costs of the SWIFT network and by managing their counterparty connections. Infomediary offers modular products to help clients more efficiently manage the operations associated with reconciliations, settlements, FX, and corporate actions. Brown Brothers Harriman & Co. 50 Post Office Square Boston, MA 02110 617-772-1673 Email: [email protected] Website: https://www.bbh.com/wps/portal/home Contact: Michael A. Saunders, Managing Director Brown Brothers Harriman (BBH) is a recognized leader in providing superior technology to our asset manager and financial institution clients. BBH Technology Services provides Infrastructure/Software as a Service (IaaS/SaaS) solutions to firms that value the control and independence of their in-house operations and view it as a differentiator to their client base. Our solutions allow clients to leverage BBH’s operating platforms for their own use, while benefiting from our continued product investment, subject matter expertise, and proven reliability. For more information on our global and U.S. custody, fund accounting, and transfer agency platform solutions, please visit www.bbh.com. Contact: Joan Tesla, Vice President of Marketing Communications As a global leader in data-driven solutions for efficiency and control, the asset management industry relies on Confluence to solve the industry’s toughest data management, automation, and regulatory challenges. Innovative and scalable, the Confluence unified platform enables asset managers and administrators to consolidate and leverage data across business operations. The platform features solutions to support asset managers and a wide array of fund types—including ’40 Act mutual funds, ETFs, hedge funds, Canadian mutual funds, and UCITS funds. Headquartered in Pittsburgh, PA, Confluence serves the international fund industry with key locations in Dublin, London, Luxembourg, and San Francisco. DST 333 West 11th Street Kansas City, MO 64105 888-DST-INFO 617-483-8810 Email: [email protected] Website: http://www.dstsystems.com Contact: Mike Tobin, Vice President of Sales With our solutions, fund companies and brokerage firms can efficiently service their investors and distribution networks, as well as address changes in the regulatory and compliance environment. Our solutions can stand alone or work together for efficient, integrated service across your enterprise. DST’s back-office solutions include: »»Recordkeeping platform and outsourcing services for mutual fund shareholders, retirement plan participants/sponsors, and alternative investment products »»Subaccounting recordkeeping platform and outsourcing services »»Brokerage firm books and records »»Business processes »»Internet access for investors and financial intermediaries »»Sales force and distribution analytics 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. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 19 BACK-OFFICE SERVICES AND SYSTEMS Envision Financial Systems, Inc. Multifonds 18101 Von Karman Avenue Suite 1420 Irvine, CA 92612 714-247-0030, x114 949-579-9195 Email: [email protected] Website: http://www.enfs.com 100 High Street 15th Floor Boston, MA 02110 646-660-5775 Email: [email protected] Website: http://www.multifonds.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. Linedata 260 Franklin Street Boston, MA 02210 617-912-4700 Email: [email protected] Website: http://www.linedata.com Linedata Back Office provides a comprehensive fund accounting and administration, transfer agency, and reporting software platform. With clients ranging from niche players to the world’s largest asset managers and fund administrators, Linedata offers proven, innovative solutions covering multi-jurisdictional, multiasset-class investing with outstanding support and services. »»Linedata Mfact is an established fund accounting solution with 20+ years of proven market experience. Contact: Lior Yogev, Manager, North America Multifonds is the award-winning investment software providing portfolio accounting, fund accounting, and investor servicing and transfer agency on a single platform. Today more than $5 trillion in assets for both traditional and alternative funds are processed on Multifonds in more than 30 jurisdictions for the world’s leading global custodians, third-party administrators, insurance companies, and asset managers. Multifonds is a member of the FinTech 100 of top global financial services software vendors, and is the winner of top industry awards from Waters Technology, Custody Risk, and Global Custodian. Northern Trust 50 South LaSalle Street Chicago, IL 60603 312-444-5655 Email: [email protected] Website: http://www.northerntrust.com/fundservices Contact: Michael Blake, Senior Vice President As a leading provider of asset servicing, fund administration, investment management, and advisory services, Northern Trust brings knowledge and expertise to the provision of component and full investment operations outsourcing services. A tenet of our business is to ensure that from middle-office through custody, Northern Trust can serve as a strategic extension of our clients’ business. This includes providing a global platform on and through which clients can execute and advance their business strategies. Our platform enables clients to focus on distribution and market expansion while enhancing cost controls and reducing future capital expenditures. »»Linedata Mshare is a leading transfer agency and shareholder recordkeeping system. »»Linedata Reporting is an intuitive and robust reporting solution. Linedata’s Back Office platform supports more than 165 clients in 24 jurisdictions. 20 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION BACK-OFFICE SERVICES AND SYSTEMS Riva Financial Systems State Street St. Georges Tower, Hope Street Douglas Isle of Man, United Kingdom IM1 1AR +44 (0) 1624 850 140 Email: [email protected] Website: http://www.rivafs.com One Lincoln Street Boston, MA 02111 617-664-6676 Fax: 617-664-7733 Email: [email protected] Website: http://www.statestreet.com Contact: Ghassan Hakim, CEO Contact: Peter L. Thurmond, Senior Vice President Riva Financial Systems® offers a highly comprehensive investor servicing and TA solution that supports traditional and alternative fund structures on a single platform with a low cost of ownership. State Street’s leadership position in financial services and strong focus on technology enables the development of advanced applications and value-added products in anticipation of client requirements. We were first in developing an integrated global architecture, Global Horizon®. From a service agent perspective, we are uniquely positioned to deliver all your servicing needs from a dedicated service team with in-depth knowledge of all regulatory, accounting, and custody requirements. More than 40 percent of the mutual fund industry clients have turned to us because of our industry commitment, our global presence, and our continually improving technology. Built using the latest technologies, Riva TA® is a next-generation best-of-breed application that comprises a range of functionally rich features exclusively designed to enable TA operations to be more efficient, flexible, and responsive to both client needs and market forces. Key features include a browser-deployed user interface, an online web portal, real-time reporting, a fully integrated robust financial management module, and an integrated document imaging, indexing, and workflow tool. SEI 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: [email protected] Website: http://www.seic.com/ims Contact: John Alshefski, Senior Vice President and Managing Director, Investment Manager Services With a history of innovation, a commitment to superior client service, and a flexible approach to delivering comprehensive solutions, SEI is one of the largest outsourcing providers to investment managers. Our wide-ranging industry expertise and capabilities enable us to create a fully integrated, end-to-end operating solution that is customized to fit your products, your existing systems, and the client experience you want to deliver. By outsourcing to SEI, you gain greater scale and efficiencies while minimizing business and operational risks. SEI’s approach to delivering total outsourced solutions allows you to concentrate on your core competencies and growing your business. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Ultimus Fund Solutions, LLC 225 Pictoria Drive Suite 450 Cincinnati, OH 45246 513-587-3400 Email: [email protected] Website: http://www.ultimusfundsolutions.com Contact: Bob Dorsey, Managing Director 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. 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. 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. 21 BACK-OFFICE SERVICES AND SYSTEMS UMB Fund Services U.S. Bancorp Fund Services, LLC 235 West Galena Street Milwaukee, WI 53212 888-844-3350 Email: [email protected] Website: http://www.umbfs.com 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: [email protected] Website: http://www.usbfs.com Contact: Tony Fischer, President UMB Fund Services offers flexible services and solutions to meet your needs. For decades we have serviced some of the nation’s top investment advisors and financial services companies. Our complete line-up of services includes: »»Fund accounting and administration »»Investor services and transfer agency »»Distribution* »»Custody* »»Alternative investment services »»Registered hedge fund services »»Collective and series trusts Our cutting-edge combination of product depth and technology solutions delivers a high-touch, responsive customer experience. We treat your business as if it were our own. *Services provided by affiliates of UMB Fund Services Contact: Bob Kern, Director of Business Development With more than 45 years of experience, we know the foundation for strong relationships is built on open communication, trust, and accountability. From open- and closed-end funds to multiple series to exchange-traded funds and alternative investment solutions, we help clients focus on investment management and portfolio performance. Each offering integrates our investment knowledge and specialized technology to minimize compliance and operations risks. Our services include: »»Custody Services »»Distribution Services »»Fund Accounting »»Fund Administration & Compliance »»Risk Management & Compliance »»Transfer Agent »»Alternative Investment Solutions »»ETF Services All of US serving you. See our ad on the inside front cover. 22 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Bank/Broker Subaccounting-Mutual Funds BNY Mellon 225 Liberty Street New York, NY 10281-1008 800-579-1459 Email: [email protected] Website: http://www.bnymellon.com Contact: Marina Lewin, Global Head of Sales Our industry-leading subaccounting platform enables brokerdealers and other financial institutions to aggregate trades and provide subaccounting recordkeeping for mutual fund positions. Our services can be applied across management companies for both the proprietary and non-proprietary funds of our clients. As the first and largest third-party provider of subaccounting services in the United States, we provide a complete solution for subaccounting recordkeeping for: »»Mutual Fund (Front-End Load, Back-End Load, Level Load, No Load, and Institutional) »»Mutual fund supermarkets »»Wrap accounts »»529 Plans »»Health savings accounts »»Omnibus processing »»Offshore fund servicing »»Direct at fund »»Books and Records (NTO) See our ad on page 9. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Depository Trust & Clearing Corporation, The (DTCC) 55 Water Street New York, NY 10041 212-855-5662 Fax: 212-855-1188 Email: [email protected] Website: http://www.dtcc.com/wms Contact: James Kiernan, Vice President, Relationship Management DTCC’s Wealth Management Services (WMS) delivers a broad range of innovative transactional and information services to the mutual fund, alternative investment products, and insurance industries. Our solutions automate, standardize, and centralize processes, driving business relationships between asset managers and insurance carriers and their distributors and creating efficiencies while reducing cost, risk, and errors. Fund industry services include DTCC’s Fund/SERV®, Networking, Mutual Fund Profile Service, Defined Contribution Clearance & Settlement, ACATS-Fund/SERV, Transfer of Retirement Assets, DTCC Payment aXis® and Global Update. Our Alternative Investment Products (AIP) service is a leader in processing alternative investment transactions, and we support the full lifecycle for the streamlined processing of annuities and other insurance products. WMS is offered through DTCC’s subsidiary, National Securities Clearing Corporation. See our ad on page 10. 23 BANK/BROKER SUBACCOUNTING-MUTUAL FUNDS DST Envision Financial Systems, Inc. 920 Second Avenue South Suite 700 Minneapolis, MN 55402 860-290-7025 Email: [email protected] Website: http://www.dstmarketservices.com 18101 Von Karman Avenue Suite 1420 Irvine, CA 92612 714-247-0030, x11 949-579-9195 Email: [email protected] Website: http://www.enfs.com Contact: David Burke, Senior Sales Director DST specializes in delivering mutual fund subaccounting processing services to financial intermediaries to help improve productivity, increase process efficiency, and reduce operational risk. We combine broker-dealer operations experience and a deep understanding of subaccounting workflow processes, and leverage our industry-leading transfer agency recordkeeping platform to deliver a complete subaccounting solution. We offer a single source for mutual fund subaccounting technology, business process outsourcing, and mutual fund operations consulting for broker-dealers, with full operational processing services that include asset reconciliation, corporate actions processing, fund setup, fund billing, and transfer processing. We also offer subaccounting solutions tailored for smaller brokerdealers that are often unable to take advantage of traditional subaccounting services, to help level the playing field and provide them an opportunity to take advantage of omnibus subaccounting. Subaccounting services delivered by DST Market Services, LLC . Member FINRA and SIPC. 24 Contact: Brian Jones, Executive Vice President Envision is the premier provider of real-time mutual fund subaccounting technology and outsource solutions to the brokerage, investment advisory, and bank trust markets. We support implementation models ranging from technology only to full back-office outsourcing. Our technology suite includes a subaccounting recordkeeping system with integrated cost basis, asset allocation modeling and rebalancing, workflow, and imaging, as well as Internet inquiry, trading, and e-delivery solutions. Our services include check and application processing, account and trade reconciliation, and corporate actions and NAV processing. Envision’s products enable firms with subaccounting needs to optimize productivity and increase customer satisfaction by allowing them to control and customize their business processes. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Bank Financial Services Fifth Third Bank State Street 38 Fountain Square Plaza MD1090CD Cincinnati, OH 45263 513-534-6721 Email: [email protected] Website: https://www.53.com/site Credit Services Copley Place Tower PO Box 5303 Boston, MA 02206 Email: [email protected] Website: http://www.statestreet.com Contact: Ryan Henrich, Vice President Contact: Charles Garrity, Senior Vice President Fifth Third is a diversified financial services company providing Global Custody, Investment/Banking Services, and Lines of Credit to mutual funds nationally that value commitment, financial integrity, quality service, and technology. Investment company services provided include Portfolio Accounting Interfaces, Global/Domestic Custody, Foreign Exchange, Cash Management, Securities Lending, real-time Internet access, Institutional Brokerage Services (including Commission Recapture and Transition Management), Lockbox, ACH, Draft Processing, EFT and Shareholder Credit, and debit or ATM cards. State Street is a leading provider of credit services to the investment management industry. Through a team of dedicated finance professionals we provide credit to more than 4,200 funds, collective investment vehicles, investment advisors, and other financial intermediaries. Credit is available for ’40-Act funds, private equity funds, funds of hedge funds, and offshore funds to facilitate trade settlement, finance investor redemptions, provide bridge financing, or leverage fund assets. We have the resources to structure and arrange credit facilities of any size, acting alone or as an agent for a syndicate of lenders. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 25 Banks and Mutual Funds Depository Trust & Clearing Corporation, The (DTCC) 55 Water Street New York, NY 10041 212-855-5662 Email: [email protected] Website: http://www.dtcc.com/wms SEI 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: [email protected] Website: http://www.seic.com/ims Contact: James Kiernan, Vice President, Relationship Management Contact: John Alshefski, Senior Vice President and Managing Director, Investment Manager Services DTCC’s Wealth Management Services (WMS) delivers a broad range of innovative transactional and information services to the mutual fund, alternative investment products, and insurance industries. Our solutions automate, standardize, and centralize processes, driving business relationships between asset managers and insurance carriers and their distributors and creating efficiencies while reducing cost, risk, and errors. SEI’s comprehensive services include fund accounting, administration, distribution, shareholder services, and compliance, in addition to other value-added services to help banks effectively manage their funds. Our wide-ranging industry expertise and capabilities enable us to create an end-to-end operating solution that is customized to fit your products, your existing systems, and the client experience you want to deliver. Fund industry services include DTCC’s Fund/SERV®, Networking, Mutual Fund Profile Service, Defined Contribution Clearance & Settlement, ACATS-Fund/SERV, Transfer of Retirement Assets, DTCC Payment aXis® and Global Update. Our Alternative Investment Products (AIP) service is a leader in processing alternative investment transactions, and we support the full lifecycle for the streamlined processing of annuities and other insurance products. Our integrated operational environment incorporates workflow, automation, and controls to increase transparency and mitigate risk. We help you meet your clients’ needs by providing industry insights and knowledge, transforming your data into meaningful and actionable information and creating effective distribution strategies for growth. WMS is offered through DTCC’s subsidiary, National Securities Clearing Corporation. See our ad on page 10. 26 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Benchmarking and Quality Measurement National Quality Review Summer Exchange Building 101 Arch Street Suite 50 Boston, MA 02110 617-426-0616 Fax: 617-338-1022 Email: [email protected] Website: http://www.nqrinc.com Contact: Catherine Coyne, Vice President, Sales and Marketing Fund families are faced with extraordinary challenges in building, organizing, and managing intermediary oversight programs, often with limited resources. NQR’s Omnibus Portal effectively and efficiently compiles critical information from multiple internal and external sources into one easy-to-use, interactive interface, facilitating the oversight efforts for fund companies. Let NQR help you access audit control gap analysis and benchmarking, review FINRA disciplinary history, view customized dashboards/reporting, and better manage client action items. Visit http://nqrinc.com/ index.php/omnibus-portal-oversight. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 27 Blue Sky Compliance—Software NRS 88 Black Falcon Avenue Suite 305 Boston, MA 02210 617-345-4020 847-933-8071 Fax: 847-933-8101 Email: [email protected] Website: http://www.nrs-inc.com/Technology-Solutions/ Blue-Sky-Solution-1 Contact: Helene Heman, National Account Manager NRS Blue Sky Solutions are designed to streamline your Blue Sky filing and compliance monitoring process. Our Administration Services provide an all-inclusive outsourced solution for managing your day-to-day Blue Sky compliance responsibilities. The Blue Sky Solution System™, which is the backbone of our outsourced operation, provides a user-friendly interface, accuracy, high productivity rates, and low staffing requirements. Whether you choose to do it yourself or allow us to manage your Blue Sky compliance program, the leading provider of compliance-related consulting, technology, and education solutions for investment advisers, broker-dealers, investment companies, and hedge funds is on your side. See our ad on page 31. 28 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Blue Sky Services BNY Mellon Boston Financial Data Services, Inc. 225 Liberty Street New York, NY 10281-1008 800-579-1459 Email: [email protected] Website: http://www.bnymellon.com 2000 Crown Colony Drive Quincy, MA 02169 888-772-2337 617-483-8795 Email: [email protected] Website: http://www.bostonfinancial.com Contact: Marina Lewin, Global Head of Sales BNY Mellon’s ClearSky SM service provides a robust solution for your Blue Sky compliance needs. We work collaboratively with clients to create tailored solutions to meet their unique needs. Through the secured website, BlueOnline, clients have access to real-time permit and financial information from the BlueWin system, the mutual fund industry’s most widely used Blue Sky software. As of June 30, 2014, BNY Mellon manages more than 397,000 state permits for more than 120 prominent investment and asset management companies. More than 70 percent of our filings are electronically filed, using our BlueExpress system, helping to reduce the time and risk inherent in mailing filings. See our ad on page 9. Contact: Steve Grande, Vice President, Sales Backed by a culture of compliance and our experience as a premier transfer agent, Boston Financial’s Blue Sky services support the growth of your business while optimizing your overall compliance program. Our proven controls, robust platform, and knowledge of state regulations and Blue Sky laws provide you the best balance of advanced technology, expertise, and service excellence. Our all-inclusive solution includes: »»State Blue Sky Filings »»Initial »»Annual »»Amendment »»Renewals »»Fund Changes »»Daily Sales Monitoring »»Exemption Processing »»Customized Reporting »»Sales Feed Consolidation »»Customized Billing Cycles and Automated Payment THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 29 BLUE SKY SERVICES NRS U.S. Bancorp Fund Services, LLC 88 Black Falcon Avenue Suite 305 Boston, MA 02210 617-345-4020 847-933-8071 Fax: 847-933-8101 Email: [email protected] Website: http://www.nrs-inc.com/bluesky 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: [email protected] Website: http://www.usbfs.com Contact: Helene Heman, National Account Manager NRS Blue Sky Solutions are designed to streamline your Blue Sky filing and compliance monitoring process. Our Administration Services provide an all-inclusive outsourced solution for managing your day-to-day Blue Sky compliance responsibilities. The Blue Sky Solution System™, which is the backbone of our outsourced operation, provides a user-friendly interface, accuracy, high productivity rates, and low staffing requirements. Whether you choose to do it yourself or allow us to manage your Blue Sky compliance program, the leading provider of compliance-related consulting, technology, and education solutions for investment advisers, broker-dealers, investment companies, and hedge funds is on your side. See our ad on page 31. UMB Fund Services Contact: Bob Kern, Director of Business Development We maintain a highly tenured and dedicated staff of state Blue Sky compliance administrators who work directly with each state’s securities commission office to perform all state securities compliance. We utilize the National Regulatory System Blue Sky compliance software to provide comprehensive state registration services. Our integrated daily Blue Sky compliance services provide clients with: »»Improved efficiency and exemption tracking »»Cost economies through a full-service model and lower state Blue Sky costs »»Risk mitigation »»Integration with transfer agent system All of US serving you. See our ad on the inside front cover. 235 West Galena Street Milwaukee, WI 53212 888-844-3350 Email: [email protected] Website: http://www.umbfs.com Contact: Tony Fischer, President UMB Fund Services offers flexible solutions to surround your needs. We facilitate continuous, uninterrupted sales activities by helping to make sure your funds stay in compliance with state Blue Sky regulations. »»We monitor sales daily, make sure offering amounts are kept in the correct range, and ensure every permit is renewed or amended on time. »»We interface directly with your transfer agent and with broker-dealer supermarkets to download Blue Sky sales each night. »»We conduct an ongoing analysis of your permits in every state to ensure that they are renewed and amended in a timely manner. 30 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 31 Blue Sky Software NRS 88 Black Falcon Avenue Suite 305 Boston, MA 02210 617-345-4020 847-933-8071 Fax: 847-933-8101 Email: [email protected] Website: http://www.nrs-inc.com/bluesky Contact: Helene Heman, National Account Manager NRS Blue Sky Solutions are designed to streamline your Blue Sky filing and compliance monitoring process. Our Administration Services provide an all-inclusive outsourced solution for managing your day-to-day Blue Sky compliance responsibilities. The Blue Sky Solution System™, which is the backbone of our outsourced operation, provides a user-friendly interface, accuracy, high productivity rates, and low staffing requirements. Whether you choose to do it yourself or allow us to manage your Blue Sky compliance program, the leading provider of compliance-related consulting, technology, and education solutions for investment advisers, broker-dealers, investment companies, and hedge funds is on your side. See our ad on page 31. 32 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Broker-Dealer Services ACA Compliance Group DST 589 Eighth Avenue 22nd Floor New York, NY 10018 212-868-5940 Email: [email protected] Website: http://www.acacompliancegroup.com 920 Second Avenue South Suite 700 Minneapolis, MN 55402 612-238-1518 Email: [email protected] Website: http://www.dstmarketservices.com Contact: Dee Stafford, Vice President Contact: Craig Gordon, Head of Clearing ACA provides mutual fund distributors with a review of the distributor’s policies and procedures related to the unique distribution business to evaluate compliance with applicable FINRA and SEC regulations. The review objective can fulfill the CCO’s obligation under FINRA Rules as well as provide the distributor a cost-effective review to be provided to its mutual fund clients for the fund’s 38a-1 review process. The review provides a focus on intermediary relationships, 22c-2 processing, shelf space arrangements, 12b-1 sales load payments, and revenue sharing, just to name a few. For more information, contact Dee Stafford at 561-988-3310. DST is leveraging its technology and processing infrastructure, deep industry expertise and leadership, and carefully selected world-class strategic service providers to introduce its full-service clearing, custody, and execution services for independent brokerdealers. Since 1969, DST’s robust and scalable infrastructure has been the foundation for safeguarding valuable client information and records, as well as exclusive comprehensive fund data. DST’s vast breadth of solutions intersects nearly every aspect of the financial services industry. ALPS, a DST Company 1290 Broadway Suite 1100 Denver, CO 80203 303-623-2577 Fax: 303-623-7850 Email: [email protected] Website: http://www.alpsinc.com Increased regulations, complex investment vehicles, and rapidly evolving technology have changed the landscape of the clearing business. Now, more than ever, broker-dealers need a clearing firm with core competencies in technology and processing efficiencies that will help them grow their business and mitigate risk. DST’s long history and reputation in technology, processing, and data management gives us a strategic advantage to deliver clearing services. Clearing services delivered by DST Market Services, LLC . Member FINRA and SIPC. 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. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 33 BROKER-DEALER SERVICES DST Northern Lights Distributors, LLC 1055 Broadway 10th Floor Kansas City, MO 64105 816-435-3773 Fax: 816-435-3777 Email: [email protected] Website: http://dstsystems.com 17605 Wright Street Omaha, NE 68130 402-896-7127 Email: [email protected] Website: http://www.nldistributors.com Contact: Bruce Olberding, Vice President Spend less time managing information and more time focused on how to grow your business. DST provides 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. We cater to two segments of the third-party distributed marketplace. Home Office Services focus on the needs of the broker-dealer and trust company home office. Advisor Services concentrate on the independent financial advisor and RIA marketplace. 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. Foreside Financial Group Three Canal Plaza Suite 100 Portland, ME 04101 207-553-7110 207-553-7100 Fax: 207-553-7151 Email: [email protected] Website: http://www.foreside.com Contact: David M. Whitaker, 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. Contact: Brian Nielsen, CEO Northern Lights Distributors, LLC (NLD) helps you navigate the distribution universe. We serve as an advocate for our clients’ products by collaborating with financial intermediaries and partners. We are a broker-dealer specializing in providing comprehensive, adviser-driven fund distribution solutions. NLD works side-by-side with investment advisers to grow fund assets by offering key accounts services and assisting in defining and implementing marketing and distribution plans, including website design, development, and hosting. Our fund distribution services include inside sales support, online administration of selling agreements and advertising review, FINRA advertising filings, 12b-1 payment processing, and facilitation of NSCC trading. RR Donnelley 99 High Street Boston, MA 02110 617-556-8309 617-556-8369 Email: [email protected] Website: http://www.rrdgim.com Contact: John Hagerty, Vice President, Content Delivery As a leader of XBRL filing and tagging, we offer the experience and reliability needed to assist you with your upcoming XBRL submissions. Our full-service XBRL-tagging solution requires no manual tagging or purchase/installation of software. Our unparalleled range of capabilities, industry-centric solutions, and innovative technologies fulfills any need, no matter the scope. Work with RR Donnelley and rest assured your risk/return and supplements will be tagged quickly and accurately in XBRL, and with minimal impact on your current processes. »»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 34 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION BROKER-DEALER SERVICES U.S. Bancorp Fund Services, LLC 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: [email protected] Website: http://www.usbfs.com Contact: Bob Kern, Director of Business Development As a complement to our full spectrum of fund services, U.S. Bancorp maintains a wholly-owned mutual fund distributor, Quasar Distributors, LLC . Quasar is a 50-state registered brokerdealer, a member of FINRA, and the industry’s largest third-party mutual fund distributor. Quasar works with a large number of broker/dealers and industry intermediaries to establish and maintain dealer, selling, and service agreements, including 22c-2 and 12b-1. Our experienced distribution team provides multiple levels of support to our clients, including: »»Regulatory marketing compliance »»Primary and collateral sales/marketing materials development »»Registered representative licensing and support »»Web site support All of US serving you. See our ad on the inside front cover. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 35 Business Intelligence (BI) Analytics DST 1055 Broadway Kansas City, MO 64105 913-908-2682 Email: [email protected] Website: http://dstsystems.com Contact: Jeff Larison, Vice President DST delivers sophisticated analytical products and services to assist in generating incremental value from their data assets. We leverage the services and experience of our multi-award-winning Customer Engagement Agency, providing clients with the ability to: »»Sharpen their insights into their customers and prospects »»Understand how and why these individuals behave, as well as how it impacts their business »»Influence their behavior through the delivery of systems and customer engagement programs to provide a desired outcome Additionally, we comprise a Data Science and Development arm responsible for providing our clients access to cutting-edge skills and technologies. 36 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION CCO and SOX Certifying Officers Foreside Financial Group Vigilant Compliance, LLC Three Canal Plaza Suite 100 Portland, ME 04101 207-553-7110 Fax: 207-553-7151 Email: [email protected] Website: http://www.foreside.com Brandywine Two 5 Christy Drive Suite 208 Chadds Ford, PA 19317 610-558-1750 Email: [email protected] Website: http://www.vigilantllc.com Contact: David M. Whitaker, President Contact: Salvatore Faia, JD, CPA, CFE, 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. 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: »»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 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION »»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 38a-1 Reviews and Reports »»Compliance Policy Updates and Reviews »»Consulting for Funds and Advisers »»Fund Management Services See our ad on page 39. 37 Check and Statement Printers BNY Mellon 225 Liberty Street New York, NY 10281-1008 800-579-1459 Email: [email protected] Website: http://www.bnymellon.com Contact: Marina Lewin, Global Head of Sales BNY Mellon, in association with Xerox®, offers check and remittance printing and processing capabilities designed to enhance security and accuracy. This cost-effective, one-stop solution offers wide-ranging choices and includes multi-currency checks and checks with remittance documents, to meet the needs of asset managers, pension providers, banks, and insurance firms. Our custom statement services provide a complete, modular statement design and production solution that facilitates quick design and production to your specifications. The result is costeffective creation of new statement types and revisions to existing ones. See our ad on page 9. 38 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 39 Clearing, Settlement, and Information Services Depository Trust & Clearing Corporation, The (DTCC) DST 55 Water Street New York, NY 10041 212-855-5662 Email: [email protected] Website: http://www.dtcc.com/wms 920 Second Avenue South Suite 700 Minneapolis, MN 55402 612-238-1518 Email: [email protected] Website: http://www.dstmarketservices.com Contact: James Kiernan, Vice President, Relationship Management Contact: Craig Gordon, Head of Clearing DTCC’s Wealth Management Services (WMS) delivers a broad range of innovative transactional and information services to the mutual fund, alternative investment products, and insurance industries. Our solutions automate, standardize, and centralize processes, driving business relationships between asset managers and insurance carriers and their distributors and creating efficiencies while reducing cost, risk, and errors. DST is leveraging its technology and processing infrastructure, deep industry expertise and leadership, and carefully selected world-class strategic service providers to introduce its full-service clearing, custody, and execution services for independent brokerdealers. Since 1969, DST’s robust and scalable infrastructure has been the foundation for safeguarding valuable client information and records, as well as exclusive comprehensive fund data. DST’s vast breadth of solutions intersects nearly every aspect of the financial services industry. Fund industry services include DTCC’s Fund/SERV®, Networking, Mutual Fund Profile Service, Defined Contribution Clearance & Settlement, ACATS-Fund/SERV, Transfer of Retirement Assets, DTCC Payment aXis® and Global Update. Our Alternative Investment Products (AIP) service is a leader in processing alternative investment transactions, and we support the full lifecycle for the streamlined processing of annuities and other insurance products. WMS is offered through DTCC’s subsidiary, National Securities Clearing Corporation. Increased regulations, complex investment vehicles, and rapidly evolving technology have changed the landscape of the clearing business. Now, more than ever, broker-dealers need a clearing firm with core competencies in technology and processing efficiencies that will help them grow their business and mitigate risk. DST’s long history and reputation in technology, processing, and data management gives us a strategic advantage to deliver clearing services. Clearing services delivered by DST Market Services, LLC . Member FINRA and SIPC. See our ad on page 10. 40 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Client Experience Corporate Insight 420 Lexington Avenue Suite 2655 New York, NY 10170 212-832-2002 Fax: 212-832-3327 Email: [email protected] Website: http://www.CorporateInsight.com Contact: Robert Burlin, Director, Business Development Corporate Insight provides competitive intelligence and user experience research to leading financial institutions. We track technological developments in financial services, identifying best practices for the digital experience. Our consulting team offers usability testing (UX) led by certified UX professionals. They examine the digital experience (web/mobile) and are often tasked with providing expert evaluations that support the digital design and development process, offering feedback on wireframes and functional prototypes, and providing recommendations based on usability heuristics and industry best practices. We help clients stay on top of industry trends and improve their competitive position. Check our website: CorporateInsight.com. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 41