Exchange-Traded Funds

ETFs have become viable new channels for investment advisers to further distribute their investment strategies, and Ultimus provides a comprehensive service offering to help them launch and operate these popular investment vehicles. An ETF can be a lower-cost and appealing investment option for investors for several reasons:

  • Less complicated buy/sell process, as they are typically traded on an exchange, not with the fund company itself, like a mutual fund.
  • No 12b-1 fees or load fees (i.e. advertising, marketing, and distribution expenses that a mutual fund passes along to shareholders).
  • More tax efficient because their structure generally triggers fewer taxable events.

However, higher creation costs and lower expense ratios create a higher breakeven point for ETF managers. ETF transactions also do not include incentive fees for broker dealer platforms and broker dealer representatives like mutual funds. Ultimus offers advisers an economical solution to combat these higher costs with our series trust offerings, which allow advisers to share costs like those incurred from compliance or board services. Our dedicated ETF onboarding team and extensive partnerships throughout the ETF ecosystem also equip us to help you get your fund to market and to effectively manage it thereafter.

How Ultimus helps you launch and operate a successful ETF:

We educate you on all aspects of the ETF ecosystem, including the day-to-day operational processes, and guide you through every step of the onboarding process.


We have strong relationships throughout the ETF ecosystem and can make important introductions to Authorized Participants (APs), market makers, and listing exchanges. We also partner with experienced service providers to ensure that your ETF will be managed professionally by the right organizations providing the right services. Your dedicated Ultimus relationship manager will assist with ongoing communication and coordination with these parties.

Shared trusts

Our series trust model provides you the opportunity for lower operational costs for your ETFs.

A full-service package

Ultimus provides ETF fund accounting and administration, legal administration, relationship management, and tax and compliance services. Learn more.


Our experience working with AP agreements allows us to negotiate the process with trust counsel and AP legal teams so they are in place for your ETF launch and beyond. Also, raising assets for a new ETF requires a sound distribution strategy, which must include a plan for educating investors about the benefits of ETFs, how they differ from a mutual fund, and how they can be used in a portfolio. Through our ETF distribution services, Ultimus can assist you in developing this strategy for your fund.

Exemptive relief process support

Our shared trust outside counsel will work with you to file the ETF exemptive relief application, as well as the draft prospectus and all 15c material.

Listing exchanges

We work directly with ETF listing exchanges to provide your strategy information and holdings for analysis, as well as work with you as to determine if your fund meets generic listing standards or if a 19b4 filing is required.

Marketing Services

We offer professional marketing support for your new or existing fund, employing a 4-step approach which includes creating a core messaging strategy, establishing or redesigning your brand, complete fund and firm website creation, and creating marketing collateral such as fact sheets and pitch decks including the content, design, and compliance review. For ETF websites, we offer a technology solution that displays live fund data—it is a solution that is flexible, simple and customizable. For continuity, we also offer ongoing digital marketing and website maintenance services.


Ultimus’ approach to applying technology capabilities is flexible and enables agility for fund managers (i.e… the ability to choose specific ETF custodians, authorized participants, lead market makers, fund auditors, and exchanges), allowing for the delivery of streamlined and automated solutions.

uETF® Application – The uETF application is designed to streamline operations and add functionality to Ultimus’ ETF processing capability. uETF’s core functionality includes automating the ETF data inputs and Portfolio Composition File generation process while being fully integrated our core accounting platform, InvestOne, market data vendors, and custodians. Utilizing uETF increases efficiency, improves transparency, and reduces risk, while enabling Ultimus to scale effortlessly.

Contact us to discuss how Ultimus can service your existing ETF or help you launch a new fund.
Download the Brochure

Our Exchange Traded  Fund solutions provide you with a comprehensive suite of services that increase efficiency and introduce best practices. To learn more & download the fact sheet, please fill out the form below.

ETF Services Form
Full Name


Learn more about how to expand your reach and/or drive efficiencies with your SMA strategy in our recent webinar here.

Asset TV Masterclass with Mike Prendergast

Watch Asset TV’s Masterclass episode, ETFs into 2023, in which Michael Prendergast and other industry professionals discuss some of the key trends and product developments in the ETF marketplace such as ESG, ETF construction, and the landscape for ETFs in 2023. Watch the episode here.

Webinar - Understanding the ETF Ecosystem

Learn what it takes to launch and manage an ETF today. Understand the intricacies involved within the ETF ecosystem that help to support and optimize your fund operations.
Watch our webinar hosted by the NYSE here now.

Thinking about Launching an ETF?

Q&A with Tom Lydon & Dave Nadig of ETF Trends and ETF Database

Want to Know More?

Interested in learning more about our solutions? We want to hear from you.

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The Ultimus Group, LLC is an Equal Opportunity Employer. All rights reserved.

DISCLOSURE: Information contained on this website is based on public data, historical agreements and dialogue with intermediaries. Such information represents our current understanding of the described platforms and the costs associated with them. In many cases, such costs may be negotiable. All pricing and fee information is subject to change without notice.

Ultimus Fund Solution

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Ultimus Fund Solution