Fund Servicing Conversations: Benefits May Outweigh the Perceived Burden
Conquering or Overcoming FOCO Let’s be honest: When someone starts talking to an investment adviser about transitioning their back-office servicing relationship from one service provider to another, the first reaction of that firm’s decision [...]
How Adviser’s Websites Can Attract More Investors
In a digitally wired world, having a website that is attractive, dynamic and compelling is essential. After all, it is the hub of a firm’s online presence where as much as 80 percent of [...]
Navigating Marketplace Changes to an Adviser’s Advantage
An Update on Product Trends in the Mutual Fund Industry Investment advisers with longstanding mutual funds, as well as advisers looking to make their first foray into the ’40 Act Fund world, usually have [...]
How to Leverage Big Data and Service Providers’ Technology to Administer Your Mutual Fund’s Compliance Program
“The SEC staff is currently using these [big data] computing environments and is also planning to scale them up to accommodate future applications that will be on a massive scale…We have utilized both machine [...]
What Advisers Need to Know About Impact Investing: ESG/SRI
Even though the terminology ‘impact investing’ is relatively new in the last 10 years, the concept is not. There are many in the investment arena who are not familiar with details of what impact [...]
Q&A: Why Asset Managers Should Consider Inbound Marketing in Their Mutual Fund Strategy
Ultimus’ Director of Distribution Strategies, Kevin Guerette, sat down for a quick Q & A session with Stacy Havener, Founder and CEO of Havener Capital, a sales and marketing agency representing undiscovered mutual funds from some [...]
Finding and Developing Your Story
For investment advisers focused on managing a portfolio, the idea of developing public relations and marketing materials is not always top of mind, a high priority, or an easy undertaking. During Ultimus’ Client Summit [...]
Warning Signs You May Need a New Fund Administration Provider
Sticking with the Status Quo May Cost More Than Converting As an investment manager, is your mutual fund administrator a transaction processor fulfilling basic functions? Or is your service provider engaged and strategic, providing [...]
Robots in Fund Administration, Really.
An analysis of robotic technology benefits in fund administration for Investment Advisers - which also begs the question - is your service provider employing robots to stay ahead of the technology curve? The thought [...]
Examining the Pricing Vendor Due Diligence Process in the Mutual Fund Space
Rule 38a-1, under the Investment Company Act of 1940, commonly called the “Compliance Rule,” identifies the investment adviser, principal underwriter, administrator and transfer agent as the “significant” service providers to a mutual fund. The [...]