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
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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
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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: jrt[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.
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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.
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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