Transfer Agent & Shareholder Servicing

Our dedicated transfer agent and shareholder servicing teams employ leading-edge technology, a comprehensive offering of supplemental services, and a flexible, open architecture format to provide seamless management of investor relations and communications. Our clients see us as an extension of their business, representing them when dealing with their shareholders.

We hire only seasoned professionals, and our experience and attention to detailed operational procedures and controls consistently result in clean annual SOC1 audits. Our fund-specific shareholder services teams ensure consistency and promote investor familiarity. Thanks to our low turnover, shareholders speak with the same group of representatives, time after time.

Account Services

Ultimus’ transfer agent is responsible for document imaging, processing incoming and outgoing checks, wires and ACH payments, shareholder correspondence, and AML monitoring. We also enter new account information; process purchases, liquidations, exchanges, and transfers; and perform maintenance updates to shareholder accounts.

Customer Service

Ultimus handles all shareholder inquiries promptly, courteously, and securely. Our call center technology solution allows for multiple call routing, which allows complex calls to be routed directly to senior customer service agents, who also provide peer-to-peer training and call monitoring, allowing for continuous improvement of our agents and enhanced customer experiences.

Call center services include:

  • Customizable call routing and queueing
  • Self-servicing menus
  • Call back queueing
  • Compliance and audit trails
  • Quality assurance, recording, and training functionality
  • Translation services in order to communicate with non-English speaking callers

Callers can reach live call center agents without the need for multiple layers of touch-tone input, which creates seamless client/agent engagement. Our skilled team removes the intricate, difficult, and time-consuming tasks of shareholder transaction processing and shareholder servicing from your list of internal responsibilities.

Dealer Services

Ultimus’ dealer services team interacts daily with you, your distributor, broker-dealer back offices, registered reps, and RIAs to provide:

  • Support for on-demand custom reporting requests from the fund adviser, intermediaries, auditors, and technology partners
  • Sales reporting at the territory, dealer, office, and representative levels. Ultimus partners with Celera Systems to provide detailed sales reporting via SalesStation and CRM access via Salesforce.
  • 12b-1 and commission payments
  • Blue Sky reporting and monitoring
  • Notifications of important fund events, including mergers and name changes
  • Commission information to back offices and registered reps

We also provide complete connectivity and capabilities with all National Securities Clearing Corporation (NSCC) systems and Depository Trust and Clearing Corporation’s (DTCC) Alternative Investment Product (AIP) platform.


Ultimus uses the Envision Financial Systems PowerAgent system for shareholder recordkeeping, which is a real-time, fully-featured open-architecture system that is fully customizable to fit the needs of any fund type. We streamline our recordkeeping system with PAWorx, which is a customizable imaging and workflow system that captures and moves documents and data electronically through our workflow processes. It allows us to annotate imaging, monitor service level agreements, and track and monitor the flow of shareholder financial and non­financial correspondence.

We also use a proprietary, configurable, real-time internet shareholder portal to give direct shareholders the ability to view their account details and make transactions 24 hours a day, seven days a week.

Additionally, Ultimus’ staff of developers and business analysts create timely custom reporting, as well as develop and support new products to help funds be at the forefront of the industry and maintain consistency of branding and customer engagement.

Specific technology solutions Ultimus provides:

  • Daily confirmation statement, as well as periodic account statement printing and mailing
  • Printing and mailing of IRS tax forms
  • Electronic interaction with the IRS including using the IRS FIRE system and the IRS TIN matching service
  • eDelivery of statements, confirmations, tax forms, and regulatory mailings
  • Full, secure online portal for shareholders, broker-dealers, and intermediaries
  • A reporting suite allowing for your on-demand report requests
  • Delivery of data in any format to fund advisers and intermediary technology partners
  • LexisNexis to monitor customer identification, money laundering, suspicious trading, and OFAC compliance activities

Contact us to learn more about our personalized approach to shareholder services.

Want to Know More?

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

Institutional Strength | Boutique Service

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