Key Considerations: Comparing Mutual Funds and ETFs
The Securities and Exchange Commission (SEC) approved a new rule in September 2019 under the Investment Company Act of 1940 (’40 Act) allowing Exchange-Traded Funds (ETFs) to go-to-market more quickly without having to apply [...]
Redefining Innovation: The Ongoing Creation of New Ideas That Generate Value for Clients
In our latest installment of #TALKtoUltimus, we interview Bill Hortz, Founder and Dean of the Institute for Innovation Development, and explore best practices for companies wanting to create a culture of innovation. Many investment [...]
Interval and Tender Offer Funds: Reaching Market Acceptance?
Market interest has increased rapidly in the last few years regarding two types of registered closed-end funds – interval funds and tender offer funds. These structures represent a fast-growing investment vehicle that is considered [...]
How to Demystify Client-Focused Organizations
Ultimus recently kicked off a new podcast series entitled, #TALKtoUltimus. The series is being promoted on social media, via our Blog posts and on a new Podcast page on the website. Below is an [...]
Evaluating Your Legal Fund Administration: Best Value Tips to Consider
The fund administration industry is a complex world, and regulatory burdens seem to grow with each passing year. This specialized work can be daunting, even for larger investment firms that have internal legal departments. [...]
Cyber Security Fundamentals: What Advisers Should Know
Due to a very well-received Cyber Security panel conversation held at a recent Ultimus client event in Cincinnati, Secure Cyber Defense CEO Shawn Waldman and Melvin Van Cleave, Vice President of Ultimus’ Technology Infrastructure, [...]
SEC Makes It Easier to Launch ETFs
NEW RULING ANNOUNCED FROM THE SEC: The Securities and Exchange Commission (SEC) voted unanimously on September 26 to modernize the regulatory framework for Exchange-Traded Funds (ETFs). The new ETF Rule will level the playing [...]
Launching a Registered Fund: Is it Right for You?
This is part one of a series about determining if you’re a fit to start a registered product and how to get it off the ground. You have a successful investment strategy idea. Perhaps you’re [...]
Five Steps to Effective Branding and Marketing for Smaller Asset Managers
At the May 2018 Ultimus Client Summit, Paul Leibowitz of Leibowitz Branding & Design presented on the topic of “Developing Your Story for PR and Marketing Momentum.” To assist asset managers with their branding [...]
Ultimus’ Top Blog Posts of 2018
In 2018 Ultimus published a variety of educational and insightful blog posts to help investment advisers manage various aspects of their firm. Written by subject matters experts at Ultimus, in addition to occasional business [...]