Our approach to fund administration is built around you, combining high-touch service with scalable technology to deliver solutions optimized to your business needs.
Public Funds
High-touch fund services for registered investment vehicles
High-touch service delivered at scale
Simplify fund administration with services throughout the lifecycle of your registered funds. We guide you through strategy and product development, regulatory filings, fund setup and launch, distribution support, and ongoing compliance. In addition, we manage relationships with ancillary service providers such as custodians and auditors, delivering a true turnkey solution.
With Ultimus, you gain a skilled team that helps you minimize fund expenses. Our services can be aligned to your specific requirements, with component services bundled or stand-alone as needed.
Fund services
As one of the largest independent providers of fund administration services, we deliver comprehensive solutions to registered fund sponsors, pairing deep regulatory experience with scalable technology and dedicated client service teams.
Transfer agency
We provide comprehensive retail investor services and seamless recordkeeping for unitized investment structures through our contact center, digital investor and advisor portals, as well as integrated compliance and tax reporting services, delivered with the responsiveness that your shareholders and distribution partners expect.
Fund accounting
Leverage our straight-through, exception-based processing environment to power accurate, timely fund accounting and NAV calculation, supported by a robust control environment and the operational rigor your board and shareholders rely on.
Regulatory administration
Trust us with comprehensive series trust administration and adaptive solutions for the management of fund oversight programs, board meeting preparation and minute-taking, and the management of regulatory filings, so you stay ahead of every deadline with confidence and clarity. Our team also provides typesetting and Edgarization of regulatory filings through our affiliate BluGiant.
Tax administration
We provide hands-on tax support and consultation, including 855 and excise tax provisions, year-end distribution calculation and oversight, and 1099 reporting, all delivered in close coordination with your auditors and tax advisors.
Statutory distribution
Leverage proven oversight with technology-driven support for statutory distribution, including FINRA advertising review, order approval, AP agreement execution, and registered representative oversight. Through the Ultimus Distribution Advantage (UDA) program, we offer consultative ETF distribution support.
Financial administration
We coordinate and execute your regulatory and SEC reporting processes with strict controls, including financial statements, audit support, budgeting, and treasury services, all prepared to the standards expected of today's registered fund boards and sponsors.
Compliance and outsourced CCO
Free your team with independent compliance leadership and oversight through our outsourced CCO services, including program design, regulatory monitoring, board reporting, and ongoing testing aligned to federal securities law requirements and fund governance standards.
Strategic solutions
Efficient launch supported by a turnkey series trust
Bring your fund to market on an established platform with a seated board, governance framework, and selling-agreement relationships already in place. You gain shared operating infrastructure and reduced launch costs without compromising on independence or oversight.
Specialized fund solutions
Mutual funds
Operate, launch, and scale registered mutual funds with confidence. Whether you need help from a first launch within a series trust through ongoing support for an established complex spanning multiple strategies, we offer comprehensive administration and transfer agent support delivered by specialists who understand your expectations.
Local government investment pools (LGIPs)
Running an LGIP demands transparency, statutory discipline, and the ability to support engaged investor populations at scale. We offer fund accounting, financial administration, and participant servicing built to safeguard assets, satisfy auditors, and scale alongside participation, balances, and reporting obligations as your pool grows.
Collective investment trusts (CITs)
Running an LGIP demands transparency, statutory discipline, and the ability to support engaged investor populations at scale. We offer fund accounting, financial administration, and participant servicing built to safeguard assets, satisfy auditors, and scale alongside participation, balances, and reporting obligations as your pool grows.
Variable insurance trusts (VITs)
Funds inside variable insurance trusts sit at the intersection of registered fund governance and insurance carrier requirements. We offer coordinated administration, accounting, transfer agency, and compliance support aligned to that complexity—with the carrier and intermediary coordination these structures consistently demand.
Frequently asked questions
What makes you different from other registered fund administrators?
We pair scale with our deep Investment Company Act of 1940 (’40 Act) administration experience and a high-touch service model. Our independence keeps us aligned with your interests; our integrated technology gives your board and operating team a single source of truth; and our client service teams know your fund, your trust, and your shareholders, not just your ticket.
Can you support a new registered fund launch from scratch?
Yes. We partner with you from strategy and product development through SEC filing, launch, and ongoing operations, coordinating with your legal, audit, tax, and distribution partners and delivering the regulatory administration, fund accounting, transfer agency, and compliance infrastructure you need to bring a new fund to market with confidence.
Can you support a fund launching within a series trust?
Yes. You can launch within our turnkey series trust platform and gain access to an established board, governance framework, fund selling agreement relationships and shared operating infrastructure, accelerating your speed to market and reducing the cost and complexity of standing up a standalone trust.
What if I'm switching from another administrator?
We have deep experience managing registered fund conversions across mutual funds and other registered structures. Our implementation team handles data migration, historical reconciliation, board and regulatory coordination, and parallel-period validation, delivering a clean handoff with no disruption to your shareholders, intermediaries, or fund operations.
How do you support fund boards and CCOs?
You get a dedicated team that prepares board materials, supports Rule 38a-1 compliance programs, coordinates regulatory filings, and provides ongoing reporting tailored to the standards your board expects. We work hand in hand with your CCO and independent trustees to keep your fund in good standing across every cycle.
How do you handle tax and distributions for registered funds?
We manage the full tax lifecycle, including RIC qualification testing, 855 and excise tax provisions, year-end distribution calculation and oversight (including estimates), 1099 reporting, and shareholder tax communications. You get close coordination with your auditors and tax advisors throughout the year, not just at year-end.