Mutual Fund Services

One size never fits all.

We tailor our comprehensive mutual fund services to meet the unique needs of midsize and smaller fund groups, offering plans which include both a series trust and a proprietary trust. Whether you're starting a new fund or have existing funds, we have solutions crafted to help you grow your business. You can depend on our industry expertise to establish or reorganize your funds and our proven methodology to convert your funds and shareholders to our services. We have handled dozens of conversions from many service providers and can provide a list of satisfied clients.



  • Distribution

    Gathering assets for your fund depends on providing access to your fund, building awareness of your fund and ensuring operational reporting support for your fund. With decades of professional experience, Ultimus offers comprehensive solutions to meet your fund distribution needs and your strategic business goals.

    With years of experience working with hundreds of broker/dealer back offices, we can help you navigate the process of getting your funds on their platforms. We also have attained preferred status with many of the major firms. Ultimus provides fund distribution services through its wholly owned subsidiaries which are registered broker-dealers and members of FINRA.


    The Ultimus Difference

    Our consultative Strategic Distribution Program provides guidance, tools and resources related to distribution channels, platforms and pricing to help grow your fund’s assets. We can facilitate the establishment of relationships with brokerage firms and other financial intermediaries, and provide product analysis and development. Learn more about our comprehensive Strategic Distribution Program on the Distribution fact sheet.

    Contact us to learn more about our distribution services.

  • Fund Organization (Series Trust and Proprietary Trust)

    Our professionals have decades of experience helping investment managers successfully launch mutual funds. If you want to start a registered mutual fund, we can provide expert counsel on the two primary forms of fund organization, a Series Trust or a Stand Alone Trust. Deciding which model is best for you and your fund is an important decision. Regardless of your selection, Ultimus will be there for you throughout the process.

    Learn more about Series Trust
    Learn more about Proprietary Trust


    The Ultimus Difference

    Our experts will develop a comprehensive timeline for establishing your fund; discuss your business plan and distribution strategies and offer experienced insight on what has been successful; analyze fee structures, asset share classes and expense caps to help you understand how your fund will compare to its peers; and produce a multi-year, pro-forma budget to help you evaluate your business plan.

    Fund Organization Case Study
    APEX Funds joined Ultimus Managers Trust series trust solution

    Contact us to learn more about fund organization services.

  • Legal Fund Administration

    We provide comprehensive legal fund administration services so that you can focus on your strengths—managing investments and attracting new assets. Our administrative team includes 1940 Act attorneys, paralegals and fund administration specialists who help you avoid unpredictable hourly billing.


    The Ultimus Difference

    Our Fund Administration team provides many value-added services at no extra cost along with the standard industry fund administration services listed in our fact sheet.

    Contact us to learn more about our value added fund administration services.

  • Fund Accounting & Financial Administration

    Accuracy and timeliness are crucial. Our accounting professionals work in an environment of strong internal controls to ensure high quality, comprehensive and reliable personal service. Our comprehensive fund accounting operational procedures and controls have contributed to consistently clean annual SOC1 audits.

    We use industry-leading technology. The SunGard Asset Arena fund accounting system is the primary engine for NAV calculation and portfolio record keeping. The Unity™ platform from Confluence Technologies is used to calculate the performance and after-tax returns of mutual funds, and to support the preparation of financial statements.


    The Ultimus Difference

    Our Fund Accounting & Financial Administration group is structured like a public accounting firm. Each client receives a dedicated team that includes a fund controller, a fund accounting manager, a fund accountant(s) and a financial reporting specialist. Each team is responsible for the daily end-to-end fund accounting process, including financial reporting and distribution calculations. As a result, team members understand the unique characteristics and daily processing requirements of their assigned funds. See our complete services listed in our fact sheet.

    Contact us to learn more about our specialized team approach.

  • Transfer Agent & Shareholder Servicing

    Our dedicated shareholder servicing teams and leading-edge technologies provide seamless management of investor relations and communications. Our clients see us as an extension of their business, representing them when dealing with their shareholders.

    We use Envison PowerAgent for real-time shareholder transaction accounting and shareholder servicing, Envision PAWorx for imaging and workflow processing, and Envision PAWeb for online shareholder account access.


    The Ultimus Difference

    We hire only seasoned professionals for our Shareholder Services area. Our transfer agency staff members have spent an average of 14 years in the industry. Our experience and attention to detailed operational procedures and controls consistently result in clean annual SOC1 audits. Our dedicated, fund-specific shareholder services teams ensure consistency and promote investor familiarity. With our low turnover, shareholders can speak with the same group of representatives, time after time. See a complete list of our services in our fact sheet.

    Contact us to learn more about our personalized approach to shareholder services.

  • Conversion

    If you are considering converting your existing mutual funds from your current service provider or your proprietary system, Ultimus takes responsibility for the entire conversion process and attends to all the details so you can concentrate on managing and growing your assets. As a result, the conversion process with Ultimus is remarkably efficient, effective, and seamless to you and your shareholders. In fact, our clients say that if they had known how easy the conversion to Ultimus was going to be, they would have made the switch much sooner.

    The Ultimus Difference

    The key difference about the conversion process at Ultimus is the fact that your Ultimus 'Conversion Team' becomes your 'Operations Team.’ This simple, yet important, distinction makes the process seamless to you, the investment adviser. Another fundamental difference is Ultimus utilizes business applications that are customizable and adaptable to meet your funds' needs. Learn more about our conversion process and timeline on our Fund Conversion fact sheet.

    Contact us to learn more about our conversion process.