Gathering assets for your mutual fund or ETF depends on many factors, including building awareness and providing advisers the ability to access your fund. Ultimus’ decades of experience allow us to offer comprehensive solutions to meet your fund distribution needs and support your strategic business goals.

Ultimus offers distribution services through FINRA-member broker dealers*. Through these affiliates, we’ve built a vast network of selling agreements and can provide you extensive information about RIAs, wirehouses, independent broker/dealers, and clearing platforms, as well as help you understand the requirements to engage these channels and the costs associated with them.

Specifically, through our affiliates, Ultimus provides:

  • Underwriting of open-end funds, closed-end funds, and exchange traded funds (ETFs)
  • Limited purpose licensing of registered representatives
  • Advertising and marketing review
  • 12b-1 payment processing

Additionally, Ultimus’ mutual fund and ETF adviser clients are granted exclusive access to our Ultimus Distribution Advantage (UDA) Program, which provides detailed distribution planning information, tools, and support. The Distribution Advantage site offers details regarding the most relevant intermediaries in the financial services industry, such as data about their fees, minimum requirements, and underlying platforms and programs. You will also find other tools, such as a calendar of upcoming events and industry conferences and directory listings for marketers, website designers, third party marketers, and data providers, that can help you maximize your distribution program.

Ultimus’ specific distribution services include:

Compliance Oversight and Guidance
  • National Securities Clearing Corporation (NSCC) membership
  • Facilitation of commission payments
  • 12b-1 processing
  • Quarterly board reporting
  • Advertising and marketing review to ensure compliance with FINRA and SEC requirements
  • Registered representative licensing
  • Facilitation of purchase and redemption order placement in-house or with third-party partners
Sales and Marketing Guidance
  • Cultivation of relationships with a variety of broker-dealers and their representatives to help you navigate the selling agreement process and gain exposure to an audience seeking to champion your fund
  • Sales and marketing consulting
  • Guidance for product placement
  • Participation in AP engagement and coordination of the AP agreement process

Contact us to learn more about our distribution services.

*Ultimus offers distribution services through:
Ultimus Fund Distributors, LLC, Member FINRA
Northern Lights Distributors, LLC, Member FINRA/SIPC
Unified Financial Securities, LLC, Member FINRA

Ultimus Distribution Advantage

Ultimus clients are granted exclusive access to the Ultimus Distribution Advantage Program, which provides detailed distribution planning information, tools, and support.

Want to Know More?

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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

8778 UFS 2/18/2022

Ultimus Fund Solution