Deliver a modern and engaging shareholder experience across recordkeeping, transaction processing, and investor communications through one of the largest transfer agents registered with the SEC.
Transfer Agency
Transfer agent and shareholder servicing for registered funds
Power a modern shareholder experience for every investor
Investors expect real-time access, multi-channel service, and clear communication from every fund they own. To meet those expectations at scale, you need a transfer agent that combines modern technology, experienced shareholder servicing teams, and disciplined compliance. Ultimus brings all three together, with leading-edge platforms, FINRA-licensed call center professionals, and clean SOC 1 audits behind every shareholder interaction.
Serve investors with technology, transparency, and scale
Deliver real-time visibility to investors
Update shareholder accounts in real time and give portfolio managers same-day cash availability through modern interfaces, an interactive shareholder portal, and instant bank verification that strengthens both the investor experience and fraud prevention.
Connect every investor channel through one team
Reach investors across phone, web chat, email, and self-service portals through an omni-channel contact center staffed primarily by FINRA-licensed Series 6 or Series 7 and 63 representatives. Extensive call monitoring, client-specific scripting, and industry leading retention rates keep service quality consistent across every interaction.
Integrate seamlessly with NSCC and dealer networks
Connect to NSCC Fund/SERV and DTCC AIP, plus daily broker-dealer back-office coordination, so trades, transfers, and dealer communications flow without manual reconciliation. Application Programming Interfaces (APIs) share shareholder data with your enterprise systems in real time.
Maintain audit-ready compliance every cycle
Operate within disciplined monitoring of anti-money laundering, identity theft and fraud detection, trade surveillance, and unclaimed property reporting. A consistent record of clean SOC 1 audits gives your board and auditors a verifiable record of control quality.
Services and solutions
Shareholder recordkeeping and account servicing
Maintain shareholder accounts, process purchases, redemptions, and rollovers, and provide investor statements and trade confirmations across all fund structures.
Omni-channel contact center
Serve investors through inbound and outbound calls, web chat, and email with FINRA-licensed representatives and rigorous quality controls.
Tax and IRA administration
Administer year-end tax reporting and IRA purchases, transfers, withdrawals, and rollovers within established compliance and audit frameworks.
NSCC and dealer connectivity
Operate full connectivity to NSCC Fund/SERV and DTCC AIP, with daily coordination across broker-dealer back offices and registered representatives.
Compliance, AML, and trade monitoring
Run anti-money laundering, identity theft and fraud detection, trade surveillance, and unclaimed property reporting through disciplined workflows.
Reconciliation and reporting
Reconcile shareholder activity, remit funds, and report results with same-day cash management and a control framework built on clean SOC 1 audits.
Benefits of partnering with Ultimus
Scale through a national transfer agent platform
Operate alongside one of the largest transfer agents registered with the SEC, with the depth and stability of a national-scale platform.
Modernize the shareholder experience
Equip investors with real-time account updates, an interactive shareholder portal, and instant bank verification that strengthens both service and fraud prevention.
Engage experienced shareholder servicing teams
Connect with experienced shareholder servicing managers and primarily FINRA-licensed Series 6 or Series 7 and 63 representatives backed by rigorous quality controls.
Operate within disciplined compliance
Rely on consistently clean SOC 1 audits, anti-money laundering, identity theft and fraud detection, and trade surveillance built into every workflow.
Integrate with your enterprise systems
Share shareholder data in real time through APIs that connect to your enterprise systems, fund accounting platforms, custody, and broker-dealer back offices.
Technology
Gain real-time visibility and control over investor activity
Ultimus ConnectTM Investor and Advisor Portal provides a secure, real‑time environment for shareholder and advisor access across registered and non-registered funds. Designed to support high‑volume self‑service activity for multiple user types, the portal helps you execute transactions and account maintenance accurately while delivering immediate visibility into account information and activity.
Frequently asked questions
What services does Ultimus’s transfer agency provide?
Ultimus transfer agent services include shareholder recordkeeping, transaction processing, contact center and shareholder correspondence, NSCC and DTCC AIP connectivity, and investor statements. You also receive year-end tax reporting, IRA administration, and AML compliance, trade surveillance, and same-day cash management.
Which fund structures does Ultimus serve as transfer agent?
Ultimus serves mutual funds, interval and tender offer funds, closed-end funds, cash funds and pools, and fund sub-accounting structures. The platform also supports education savings 529 plans, local government investment pools, collective and common trust funds, dividend reinvestment plans, and intra-day or periodically priced investments.
How does the Ultimus shareholder contact center support investors?
The Ultimus contact center delivers omni-channel service across inbound and outbound calls, web chat, and email. Experienced managers and FINRA-licensed Series 6 or Series 7 and 63 representatives staff the operation, supported by extensive call monitoring and client-specific scripting that keep quality consistent.
How does Ultimus protect against fraud and money laundering?
Ultimus has robust anti-money laundering procedures, identity theft and fraud detection, and trade surveillance throughout every shareholder workflow. Instant bank verification on the shareholder portal adds an extra layer of fraud prevention at the account level.
Does Ultimus support NSCC and DTCC connectivity?
Yes. Ultimus operates complete connectivity to NSCC Fund/SERV and DTCC Alternative Investment Product services, with daily interaction across broker-dealer back offices and registered representatives. Trades, transfers, and dealer communications flow without manual reconciliation.
How does Ultimus integrate shareholder data with our other systems?
Ultimus provides Application Programming Interfaces (APIs) that share shareholder data with your fund accounting platforms, enterprise systems, and broker-dealer back offices in real time. Highly integrated workflow and imaging solutions automate routine business processes across the operation.