Vice Chairman | Cincinnati
As Vice Chairman, Bob is primarily responsible for providing the strategic leadership for the firm by establishing and maintaining the professional service culture of the firm. He has over 30 years of mutual fund industry experience.
Prior to co-founding Ultimus in August of 1999, he was President of another mutual fund service provider and registered transfer agent. During his 15 years there, Bob held various positions of increasing responsibilities including Controller, Treasurer, Chief Financial Officer and President.
Prior to that, Bob was the Assistant Controller and Tax Manager at Carlisle Enterprises, Inc. He began his career in the tax department of Arthur Andersen's Cincinnati office where he served individuals, partnerships and corporations for over 3 years.
Bob is a graduate of Christian Brothers University and is a Certified Public Accountant (Inactive), a Financial and Operations Principal, General Securities Representative, Investment Company/Variable Contracts Principal and Operations Professional.
Vice Chairman | Cincinnati
As Vice Chairman, Mark is responsible for the overall strategic direction of the firm and for maintaining the high-quality standards delivered to clients. He has 30 years of industry experience working directly with clients and boards.
Prior to co-founding Ultimus in August of 1999, he was Chief Accounting Officer and Chief Operating Officer of another mutual fund service provider and registered transfer agent. During his 12 years at that company, Mark held various positions of increasing responsibilities including Mutual Fund Controller, Treasurer, Chief Operations Officer, and Chief Accounting Officer.
Prior to that, Mark was a Senior Accountant in the Audit Division of Arthur Andersen's Cincinnati office, working primarily on financial services industry engagements, including two mutual fund complexes.
Mark is a 1984 graduate of the University of Cincinnati and is a Certified Public Accountant, Certified Financial Planner, General Securities Representative, and an Investment Company/Variable Contracts Principal and Operations Professional.
Chief Executive Officer | Cincinnati
As Chief Executive Officer, Gary is responsible for providing strategic leadership to the company, then oversees the implementation and progress of those plans. In his role, Gary works closely with the executive management team to ensure the operational delivery of Ultimus’ client centric services and solutions.
Prior to joining Ultimus, Gary was head of North American Operations at another large fund service provider where he was responsible for service delivery for all clients in the region. During his 16 years there, he had increasing responsibilities in several different leadership positions including areas such as alternative investment fund services, European fund services, and U.S. fund services. He is an experienced leader in the fund services industry responsible for growing businesses, leading teams, operating model design and implementation, product development, relationship management and regulator interaction. Prior to that, Gary was an Audit Manager at Ernst & Young responsible for the investment management practice in the Ohio Valley area.
Gary is a graduate of the University of Cincinnati and is a Certified Public Accountant (Inactive). He joined Ultimus in 2014 and has been in the financial services industry since 1990.
EVP & COO, Private Fund Services | Chicago
As Executive Vice President & COO, Evan oversees the day to day operations of the Private Fund Services group. He also works closely with the management team on strategic initiatives and provides technical accounting guidance to the fund accounting team.
Evan co-founded Woodfield Fund Administration, LLC in 2005. He was instrumental in growing Woodfield from a start-up firm with three employees to a widely recognized private fund administration firm.
Prior to co-founding Woodfield in 2005, Evan served as Chief Financial Officer of a registered investment advisor which managed four hedge fund of funds. Prior to that, he was an Audit Manager at Ernst & Young in Dallas, where he was responsible for the oversight of the annual audits of more that forty private fund clients.
Evan is a graduate of the University of St. Thomas and is a Certified Public Accountant in Illinois and California (Inactive). He has been in the financial services industry since 1994.
EVP, Director of Sales | Cincinnati
As Executive Vice President, Director of Sales, Gary is responsible for developing the sales and market strategy across the organization and managing the execution of that strategy across the various market segments for the entire suite of Ultimus solutions.
Prior to joining Ultimus, Gary was Senior Vice President and National Sales director at two other large fund service providers where he was responsible for developing and managing their business development efforts. With nearly 30 years of experience in the asset servicing industry, Gary has consistently developed and managed sales teams focused on delivering outsourced front, middle and back office solutions across both traditional and alternative asset management firms.
Gary is a graduate of Youngstown State University. He joined Ultimus in 2019 and has been in the financial services industry since 1990.
General Counsel, EVP and Director of Fund Administration and Compliance | Cincinnati
As General Counsel and EVP, Director of Fund Administration and Compliance at Ultimus Fund Solutions, David is responsible for the legal aspects for the company’s operations, strategic initiatives and corporate activities. He oversees the Fund Administration and Compliance teams including the overall delivery of legal services to the company’s clients, contractual matters, product development, and support to the company’s executive management team.
David has over 20 years of 1940 Act mutual fund legal experience. Prior to joining Ultimus Fund Solutions in 2018, David served as the head of the legal department at one of the industry’s largest service providers, leading a group of over 50 attorneys and paralegals that provided legal regulatory services to over 60 mutual fund complexes. David spent 15 years at this large service provider and prior to that role, he worked in the legal departments for Fidelity Investments and PNC Global Investment Servicing (US), Inc.
David has served on the NICSA Legal and Regulatory Committee and was a major contributor to an industry publication entitled “Building Investor Confidence: A Guide for Mutual Fund Boards of Directors.” He has also served on industry panels for BoardIQ, Independent Directors Council of the ICI, NICSA, State Street and Boston Financial Data Services.
David entered the financial services industry in 1997 after beginning his legal career as a trial attorney in Boston.
David holds a law degree from Ohio Northern University Pettit College of Law (1995). He also holds a Bachelor of Science in Political Science from East Tennessee State University (1993). He is a member of the Massachusetts and New York Bars.
Chief Administrative Officer | Cincinnati
As Chief Administrative Officer, Ian works across all business lines to ensure that integration and synergy goals and activities are completed on time while meeting key financial targets. He also has executive management business line responsibilities within the Transfer Agent.
Ian is a nationally recognized expert on mutual fund processing, shareholder servicing, efficiency and quality control. Prior to joining Ultimus, Ian lead the Transfer Agent department at U.S. Bank Global Fund Services where he played an integral role in strengthening client relationships, while also overseeing all critical processing partnerships. He was also Chairman of the Board for Trust Advised Portfolios.
Prior to joining Fund Services, Ian was vice president and group manager of Mutual Funds and Entitlement Services department for U.S. Bank, where he oversaw all aspects of mutual funds, asset file, pricing, income, proxies and corporate actions.
Ian received his Bachelor of Business Administration degree from the University of Wisconsin Oshkosh. He joined Ultimus in 2019 and has been in the mutual fund industry since 1992.
EVP, Director of Fund Servicing | Columbus
As Executive Vice President and Director of Fund Servicing, Bill is responsible for the day to day servicing of our clients. In this role, he is responsible for managing the teams that provide high quality fund accounting, transfer agent and client relationship management services.
Prior to joining Ultimus, Bill was Managing Director and Client Service Leader at another large fund service provider where he was responsible for the employees and clients serviced by the site. During his nearly thirty years in the Fund Administration industry, he also held positions including Division Leader, Executive Vice President of Operations, Head of Client Services and Head of Product and Business Development. Bill’s experience includes leading teams
Bill is a graduate of The Ohio State University and is a Certified Public Accountant (Inactive). He joined Ultimus in 2017 and has been in the industry since 1987.
Vice President, Chief Financial Officer | Cincinnati
Kurt joined Ultimus in 2016 and oversees the corporate accounting department. He is responsible for functions such as financial/strategic planning and analysis, corporate accounting, banking relationship management, corporate board reporting, new business deal analysis, and facilities management.
Prior to joining Ultimus, Kurt served as the CFO at Horan where he was responsible for managing the firm’s financial planning and analysis, accounting, information technology, facilities and securities compliance functions. Prior to that position, he held various positions of increasing responsibility in financial management including Senior Finance Manager at Fifth Third Bank, and Audit Manager at Ernst & Young.
Kurt is a Certified Public Accountant and has been in the financial services industry since 1996, bringing over 20 years of experience in accounting and finance. He received a BBA Degree in Accounting from the University of Notre Dame.
Vice President, Information Technology | Cincinnati
As the Vice President of Information Technology, Steve is responsible for all IT infrastructure, systems and network administration and the coordination of all vendor applications and services. Steve joined Ultimus in April of 2001.
He has been in the IT field for more than 30 years, almost exclusively in the mutual fund servicing industry. Prior to joining Ultimus, Steve held positions as Assistant Vice President for Application Development, Systems Manager of Application Development and Systems Manager of Advanced Technology.
Steve is a graduate of the University of Dayton. He has been in the industry since 1988.
VP, Head of Human Resources | Cincinnati
As Vice President and Head of Human Resources, Heather is responsible for all strategic and operational HR functions across all business lines. As a member of the executive management team, she works closely with the leadership group to align and strengthen the link between people and strategy.
Prior to joining Ultimus, Heather gained extensive experience working in various positions of increasing responsibility at rapid growth portfolio companies in the IT, Apparel and HR specialty industries. This broad spectrum of past employment brings the perspectives and exposure necessary to facilitate developing leaders and empowering employees.
Heather is a graduate of Miami University in Oxford, Ohio and holds her Senior Professional Human Resources certification. She is also a graduate of Leadership Cincinnati and is avidly involved in the community. In her personal time, Heather enjoys reading and spending time with her husband and three young children.
Vice President, Chief Technology Officer | Cincinnati
Jason is primarily responsible for overseeing internal application development, vendor software integrations and data management across the firm.
Prior to joining Ultimus, Jason was the head of a large service provider’s global securities and fund services application development and support team. There he managed a group of over 50 technology professionals supporting technology solutions for multiple global business lines including fund services, middle office, hedge and private equity fund services. Jason held numerous other roles of increasing responsibility in both fund accounting and information technology during his career at several large service providers in the financial services industry.
Jason received a B.S. in Finance from Bryant University in Providence, Rhode Island and his MBA from Boston University. He has extensive experience in fund servicing, both in operations and technology. Jason joined Ultimus in August 2015 and has been in the financial services industry since 1999.
Vice President, Director of Financial Administration | Cincinnati
Theresa joined Ultimus in September of 2000. As the Director of Financial Administration, she oversees all aspects of financial reporting, board reporting, conversions, and special projects.
Prior to joining Ultimus, Theresa spent six years working in positions of increasing responsibility for another servicing firm in their fund accounting area - first as a Fund Accounting Supervisor and then as a Fund Accounting Manager and finally as Vice President - Fund Accounting/Financial Reporting where she oversaw the daily operations and financial reporting for over 70 mutual funds. Prior to that, she was employed by the public accounting firm of Arthur Andersen, LLP in the Cincinnati office, and was involved with investment company audits during her nearly two years with the firm.
She is a graduate of Miami University in Oxford, Ohio, a Certified
Public Accountant and has worked in the financial services industry
Vice President, Mutual Fund Controller | Columbus
Greg’s primary responsibility is to oversee all aspects of the daily fund accounting operations for a group of Ultimus clients. Greg joined Ultimus as a result of the firm’s acquisition of Huntington Asset Services, Inc (HASI) in 2015. At HASI, he held a senior management fund accounting role in which he was responsible for the oversight of the fund accounting operations.
Prior to HASI, he held a senior manager fund accounting role at another large service provider where his responsibilities included the oversight of a centralized pricing and corporate actions team that supported both back-office and middle-office business lines, the creation and oversight of a centralized security master group. He also served as a member of a global market data council tasked with making the overall vendor process more cost effective and efficient. Greg started his career in various fund accounting roles of increasing responsibility with another mutual fund service provider.
Greg is a graduate of Wright State University. He has been in the mutual fund industry since 1997.
Vice President, Mutual Fund Controller | Cincinnati
As the Mutual Fund Controller, Jenny oversees all aspects of daily fund accounting operations and reporting for a group of Ultimus clients. She is also involved in the financial reporting and tax compliance for her client group. She has served in a variety of roles in the fund accounting department and currently serves as the Treasurer for Ultimus Managers Trust. Jenny joined Ultimus in April of 2000.
Prior to joining Ultimus, Jenny worked for public accounting firm Arthur Andersen where she participated in many investment company audits.
Jenny is a Certified Public Accountant (Inactive), and a graduate of Miami University. She has worked in the financial services industry since 1997.
Vice President, Mutual Fund Controller | Cincinnati
In the role of Mutual Fund Controller, Brian oversees all aspects of daily fund accounting operations and reporting for a group of Ultimus clients. He is also involved in the financial reporting and tax compliance for his client group. Brian joined Ultimus in February of 2005.
Prior to joining Ultimus, Brian spent eight years working in positions of increasing responsibility for two other servicing firms in their fund accounting and financial administration areas - first as a Fund Accountant, then spending time in training and system support areas, before returning to operations as a Fund Accounting Manager.
Brian graduated from Miami University in Oxford, Ohio and has a M.B.A from Xavier University in Cincinnati, Ohio. Brian has been in the industry since 1997.
Vice President, Director of Tax Services | Columbus
As Director of Tax Services, Leo is primarily responsible for the day-to-day operations of all tax related matters. Leo joined Ultimus as a result of the firm’s acquisition of Huntington Asset Services, Inc (HASI) in 2015. At HASI, Leo was responsible for tax administration and compliance where he managed the day-to-day operations of the tax area for the mutual fund clients.
Prior to HASI, Leo was responsible for financial administration and tax services at a large service provider where he focused on the review of tax provision packages and maintained a thorough knowledge of tax laws pertaining to investment products.
Leo is a graduate of Salem State University and also has a Master's Degree in Taxation from Bentley University. Leo has been in the financial services industry since 1989.
Vice President, Director of Client Strategies | Cincinnati
Dave joined Ultimus in 2013. As Director of Client Strategies, Dave's primary responsibilities include serving as president for two series trusts and as president or officer of stand-alone trusts, providing expert assistance to investment managers considering starting a fund, and serving as senior relationship manager for certain clients.
Dave has been in the financial services industry since 1981 and has almost twenty-five years of fund and asset management experience. Dave has been Chief Compliance Officer for mutual fund families, registered investment advisers, and an ETF trust. He also served as Chief Operations Officer for a mutual fund family, and previously had senior management responsibility for fund and adviser marketing, fund wholesaling, transfer agency, shareholder servicing and adviser compliance. Earlier in his career Dave was a corporate IT audit manager, and managed holding company-level credit quality reporting.
Dave co-founded and served as president of Advancing Fund Governance, a forum for fund trustees and senior officers. He is also a former trustee and secretary of the Greater Cincinnati Mutual Funds Association, and former trustee and board president of the Cincinnati Shakespeare Festival. Dave enjoys running, biking and critiquing cooking shows with his wife, daughter and adult sons, and reading history and biographies.
He is a graduate of Kenyon College in Gambier, Ohio.
VP, Relationship Management Director | Cincinnati
As Relationship Management Director, Todd manages strategic relationships with key Ultimus clients, coordinating the activities of Ultimus service teams and working in partnership with clients towards the achievement of shared business goals. In this role he also works closely with prospective clients during the sales and fund launch / conversion stage of new relationships to ensure new clients are on boarded successfully and smoothly.
Todd graduated from Miami University and spent 28 years as an officer in the U.S. Navy and Navy Reserve, retiring from military service in 2017. He has been in the industry in a variety of transfer agency operations and relationship management roles since 1998 and with Ultimus since 2014.
VP, Director of Client Services, Private Fund Services | Chicago
As Vice President and Director of Client Services, Andrew is responsible for overseeing the delivery of the private funds services to clients. In this position, he works closely with the executive team and the operational groups to ensure a client focused approach to private fund administration. He also collaborates with other industry professionals to provide a diverse network of solutions for Ultimus clients.
Prior to joining Ultimus, Andrew was Senior Vice President at Woodfield Fund Administration, where he was responsible for the development of new business, marketing, client relations and implementations. He also previously served as the head of Investor Services, overseeing the day to day operational functions for hedge funds, private equity, venture capital, real estate, and other clients.
Andrew is a graduate of the University of Iowa. He joined Ultimus in 2018 and has been in the financial services industry since 2007.
Vice President, Director of Middle Office Services | Cincinnati
Mike’s primary responsibility is to oversee all aspects of Middle Office Operations, including portfolio accounting, reconciliation, trade processing and performance reporting.
Prior to joining Ultimus, Mike most recently was the Head of Portfolio Accounting / IBOR operations at a large service provider, responsible for AUA of $30 billion, spread across 50 clients. Prior to that, as Director of Operations, he oversaw all operational functions of mutual funds, hedge funds and UCITS at Calamos Investments which included over 20 funds and approximately $40 billion in assets. Previous to Calamos he directed a fund accounting and financial reporting service team of over 30 staff members at another large service provider.
Mike is a graduate of The Ohio State University and is a Certified Public Accountant (Inactive). Mike joined Ultimus in April 2015 and has been in the industry since 1998.
Vice President, Director of Fund Compliance | Columbus
As Director of Fund Compliance, Martin is primarily responsible for the fund compliance services provided by Ultimus to its fund clients. He also serves as chief compliance officer for several mutual fund complexes.
Martin joined Ultimus as a result of the firm’s acquisition of Huntington Asset Services, Inc (HASI) in 2015. At HASI, Martin managed the legal and compliance administration departments and was responsible for the firm’s overall risk management activities. He also served as chief compliance officer for several proprietary funds.
Martin has 30 years of experience in the mutual fund industry, with emphasis on compliance, financial administration, product management and audit activities. Prior to HASI, Martin was director and head of fund accounting and fund administration services for another large service provider. During his tenure, he served as principal financial officer and AML compliance officer for numerous mutual fund complexes there. He contributed significantly to the development of the compliance department in the company’s Ireland office and senior management positions in its administration, regulatory services, and accounting services teams. Before that, Martin served as a senior manager specializing in financial services for KPMG Peat Marwick. Martin has been in the mutual fund industry since 1986.
Martin received his bachelor's degree in business administration from The Ohio State University and is also a Certified Public Accountant (inactive) in the State of Ohio.
Vice President, Chief Compliance Officer | Cincinnati
As the Chief Compliance Officer, Steve is responsible for the compliance oversight of Ultimus Fund Solutions, LLC and Ultimus Fund Distributors, LLC. He joined Ultimus in June of 2011.
Prior to joining Ultimus, Steve spent two years as the Chief Compliance Officer of an international equities market-making firm whose activities included debt capital markets in the United States, Argentina, and London. Prior to working at the market-making firm, he served as the Chief Compliance Officer of two independent broker-dealers where he was responsible for overseeing all broker dealer and investment advisory compliance duties of the firms that served over 2,500 advisers.
He has also worked as an industry consultant for nationally recognized law firm that specialized in securities litigation. Steve has nearly 25 years securities industry experience, beginning as a full-service, commission-only registered representative. He holds the following registrations: Registered Options Principal, General Securities Representative, General Securities Principal, Financial and Operations Principal, Registered Municipal Principal, Equity Trader, and the NASAA-Uniform Combined State Law license. Steve has been in the industry since 1992.
Vice President, Director of Distribution Strategies | Cincinnati
Kevin’s primary responsibility is to work with new and existing funds and clients, assisting investment managers with their distribution strategies. He also consults with clients to identify distribution channels and facilitate introductions to platform and channel partners.
Prior to joining Ultimus, Kevin, as National Sales Manager, Platform Sales for another mutual fund service provider, directed a team that created a successful distribution program and cultivated critical distribution relationships. As National Account Director, he established relationships with strategic partners and implemented successful product positioning strategies. Prior to that, Kevin was the Key Account Manager at a privately owned investment manager, where he established contact with broker/dealers and built a program focused on key partners.
Kevin is a licensed General Securities Representative and a Uniform Securities Agent. He joined Ultimus in 2013 and has been in the mutual fund industry since 1998. He is a graduate of Stonehill College.
Vice President, Director of Broker Services | Cincinnati
As the Director of Broker Services, Doug is responsible for overseeing all aspects of broker relationships including establishing broker agreements, processing broker initiated transactions and coordinating the payment of commissions through NSCC's Fund/SERV and Networking systems.
Prior to joining Ultimus, Doug was employed by two other fund servicers as a Systems Analyst in the Blue Sky department and in the Fund Accounting and Administration departments. He is a member of NSCC's Vendor Working Group and Cost Basis Reporting Service Group. Doug has been in the industry since 1990 and is an Investment Company/Variable Contracts Representative, Investment Company/Variable Contracts Principal and Operations Professional. Doug joined Ultimus in October of 2000.
Vice President, Director of Transfer Agent Systems | Cincinnati
As the Director of Transfer Agent Systems, Craig is responsible for leveraging technology through integration, enhancements and user testing across the entire spectrum of transfer agent software and support applications.
Prior to joining Ultimus, Craig was employed by a financial firm, where he was the Manager of Shareholder Services and Fund Accounting. Craig joined Ultimus in December of 2001 has been in the industry since 1993.
He is a graduate of the Purdue University, and is a General Securities
Representative, General Securities Principal and Operations
Professional. Craig is also a member of the Investment Company Institute
Vice President, Director of Transfer Agency Services | Cincinnati
As the Director of Transfer Agency Services, Jeff is responsible for overseeing all aspects of the Transfer Agency including Shareholder Services, Broker Dealer Services and Transfer Agent Operations. He joined Ultimus in August of 2008.
Prior to joining Ultimus, Jeff was employed by a global financial services firm where he was Vice President of their Transfer Agency. He has over 25 years of financial services experience including 19 years dedicated to mutual fund transfer agency. Jeff currently serves as Treasurer on the Board of Trustees for the Greater Cincinnati Mutual Fund Association, and is an active member of the ICI Transfer Agent Advisory Committee as well as co-chairman of the National Investment Company Service Association's Transfer Agent Committee.
He is a graduate of Walsh University and is an Investment
Company/Variable Contracts Representative, Investment Company/Variable
Contracts Principal and Operations Professional. He has been in the financial services industry since 1990.
Business Development Director | Columbus
In this role, Mick's primary responsibility is to promote Ultimus' high touch fund services and high-quality professionals to established and start up fund groups.
Prior to Ultimus, Mick held various business development roles at two other service providers, promoting mutual fund services. His experience includes working within the Transfer Agency, Financial Administration, and Relationship Management areas. With his knowledge of the ’40 Act space from shareholder work, to budgeting expense accruals, to participating in client board meetings, to launching new funds and navigating new regulatory and compliance requirements, he helps guide advisers through the complicated process of bringing new financial products to market.
Mick is a graduate of Ohio University. He joined Ultimus in July 2014 and has been in the industry since 1993.
VP, Business Development Director | Cincinnati
Adam’s primary responsibility at Ultimus is to promote our firm’s comprehensive suite of services to mutual funds and investment advisers.
Adam has been in client-facing roles, predominantly covering asset managers, for the entirety of his career. Prior to joining Ultimus, Adam worked as a relationship manager for a large financial services firm, focusing on the company’s asset manager and non-bank financial institution clients. Adam’s product experience includes fund administration, fund accounting, transfer agency, compliance, distribution, middle office, global custody, and securities lending.
Adam received both his B.S. and M.B.A. from the University of Alabama. Adam joined Ultimus in March 2015 and has been in the industry since 2009.
VP, Business Development Director, Private Fund Services | Cincinnati
As VP, Business Development Director, Karl’s principal responsibility at Ultimus is to promote the firm’s comprehensive suite of services to private equity, venture capital, real estate and endowment funds.
Prior to Ultimus, Karl held a business development role at a large fund administrator where he focused on delivering fund administration services to hedge, private equity, family office and endowment funds. Previously, he held business development and management roles in the independent valuations and financial technology and information sectors where he worked closely with private funds, global banks, asset managers, and institutional investors.
Karl joined Ultimus in 2018 and has worked in and with the financial services industry since 1989. He received his B.S. from the McIntire School of Commerce at the University of Virginia, and currently resides and works in Greenwich, CT.
Vice President, Director of Operations, Private Fund Services | Denver
As Vice President and Director of Operations, Donna oversees all aspects of fund accounting, reporting and investor services for Ultimus’ private fund clients. She works closely with senior management and clients to ensure delivery of high touch and best in class service from implementation to every day. Donna joined Ultimus in 2018.
Prior to joining Ultimus, Donna was a Vice President at Woodfield Fund Administration. She has 19 years of experience in financial services roles including over 12 years as a founding member or managing director and senior finance and compliance executive for two private equity firms. She has expertise in launching new private funds and in all aspects of Fund, General Partner and Management Company finance, accounting, compliance and operations management.
Donna earned a BS Finance and MS Finance from the University of Utah.