Insight Articles



Five Critical Questions to Help Identify the Ideal Distribution Partner

By Kevin Guerette, VP Director of Distribution Strategies, Ultimus Fund Solutions In the last 15 years, understanding the nuances of fund distribution…

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Collective Investment Trusts are Making a Comeback: Here's How to Seize the Opportunity

By Adam Kornegay, Business Development Director at Ultimus Fund Solutions As the impact of the fiduciary rule, fee compression, and numerous class action…

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How Will Small and Mid-Sized Advisors Survive the Pending Regulation Changes?

The investment required to comply with the new SEC Modernization and DOL Fiduciary Rules, the Form ADV Part 1 Amendments, and to continue to maintain a…

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Trust the Tale of the Tape: Comparing Series Trust to Standalone Trust and Making the Right Decision for Your Business

By Dave Carson, VP Director of Client Strategies The mutual fund business is booming. In fact, according to the ICI, at the end of 2016 mutual fund assets…

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Gaining Scale and Efficiency for Your SMA Strategy

Gaining Scale and Efficiency for Your SMA Strategy - How Launching a Mutual Fund Can Help Advisors Manage More Effectively By Dave Carson, VP Director…

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Real World Marketing: Real World Stories

Advice for Investment Advisers of Mutual FundsModerator: Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies at Ultimus…

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Getting the Most Out of Your Middle Office

How to evolve from manufacturing data to analyzing your data to make better investment and business decisionsBy Ultimus Fund Solutions While most investment…

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Building Your Compliance Muscle

Building Your Compliance Muscle - Why the SEC’s New Initiative Means RIAs Need to Get Into Better Regulatory ShapeBy Dave Carson, VP Director of Client…

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The Share Class Creation Conundrum

Tips and Considerations for Making the Right Distribution and Business DecisionsBy Kevin Guerette, VP Director of Distribution Strategies and Bo Howell,…

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Wholesale Changes - Key Considerations for Launching Funds and Building a Sales Structure in the New Distribution Dynamic

By Kevin Guerette, VP Director of Distribution Strategies at Ultimus Fund Solutions, and Keith Brown, Principal, Keith Brown Consulting An investment manager…

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Rebooting the SOX Discussion

Key Compliance Considerations as the SEC Renews Efforts to Stem Accounting Fraud By Bo Howel, VP Director of Fund Administration, Ultimus Fund Solutions The…

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The New Rules of Board Engagement

How to Take Your Governance Relationship to the Next Level By Bo Howell, VP Director of Fund Administration, Ultimus Fund Solutions It’s no secret that…

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Evolution of the Fund Industry, Insights for Success

By Bob Dorsey, Co-Founder and Managing Director of Ultimus Fund SolutionsUltimus recently celebrated its 15th anniversary and I recently celebrated my…

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Recognizing the Signs of Admin Failure

Why Sticking with the Status Quo Can Sometimes Be More Risky Than Converting By Bob Dorsey, Co-Founder and Managing Director, Ultimus Fund Solutions Fund…

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How to Balance Cost and Compliance in the New Regulatory Normal

By Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies of Ultimus Fund Solutions. A little over 10 years ago the SEC…

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The Truth About Track Record Portability

By Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies of Ultimus Fund Solutions. The number of private funds converting…

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Is Your Series Trust the Wrong Fit?

By Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies of Ultimus Fund Solutions. The wide acceptance of operational…

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The 5 Insider Insights Many Liquid Alts Managers Overlook

By Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies of Ultimus Fund Solutions.It seems like everyone is talking about…

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5 Reasons to Convert from a Private Fund to a Mutual Fund Today

By Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies of Ultimus Fund Solutions. In case you haven’t heard, the liquid…

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Key Considerations for Liquid Alt Funds in Choosing a Series Trust

Key Considerations for Liquid Alt Funds in Choosing a Series Trust By Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies…

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Complexity, Competition and the Increasing Importance of Operations

Complexity, Competition and the Increasing Importance of Operations By Todd Heim, Client Implementation Manager, Ultimus Fund Solutions In the wake of…

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Do Your Distribution Due Diligence

How to ask the right questions to help your fund gain traction and assets By Kevin Guerette, Director of Distribution Strategies, Ultimus Fund Solutions Managers…

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Critical Considerations To Help Every Manager Keep Up With Regulatory Scrutiny

Compliance is no longer an industry buzzword, it is a business imperative. By Dave Carson, Director of Client Strategies, Ultimus Fund Solutions; President,…

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