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:
Contact us to learn more about our distribution services.