Event Calendar

>>>Event Calendar
Event Calendar 2019-07-19T11:03:41-04:00
UDA Webinar
Oct 9 @ 2:00 pm – 3:00 pm
Cohen & Co. Focus 2020 Virtual Conference
Oct 14 – Oct 16 all-day
SunStar Strategic Small Funds Conference
Oct 20 @ 1:00 pm – 4:30 pm
Strategies to Engage Advisors & Attract Assets
  • Making Your Fund More Competitive
  • Building Your Brand with Social Media
  • Communicating with Advisors in a Virtual World
  • Going digital with PR
  • Creating Content-Rich Websites
  • Maximizing Trends in Platform Distribution
  • Understanding M&A and Current Valuations

Each session will be a concise 30-minute presentation including Q&A. See the full agenda.


Please sign in by 1:00 pm ET for brief opening comments.
The event features seven 30-minute presentations and concludes at 4:30 pm.

SunStar Strategic Virtual Mutual Fund Conference
Oct 20 @ 1:30 pm

Complimentary Event

Topics currently planned include:

  • Make Your Fund More Competitive
  • Build Your Brand with Social Media
  • Communicate with Advisors in a Virtual World
  • M&A and Current Valuations
  • State of the Fund Industry

Each session will be a concise 30-minute presentation followed by interactive conversation among the speaker and participants.

Valuation Methodologies & Challenges for Registered Investment Companies
Oct 21 @ 2:00 pm – 3:00 pm
Join our panel of experienced industry leaders as we discuss key valuation practices for Registered Investment Companies. From understanding proposed Rule 2a-5 to evaluating policies and procedures, as well as exploring how industry professionals are navigating the volatile markets, this webinar will help attendees gain understanding of valuation in today’s regulatory environment.
Learning Objectives:
  • Perspectives from compliance, accounting, and valuation experts
  • Valuation Overview, including Rule 2a-5, accounting guidance, and methodologies
  • Best Practices
  • Issues and Challenges, including market volatility, level-3 assets, and working with pricing vendors
Brian Privor, Chief Regulatory Officer, Ultimus Fund Solutions
Martin Dean, Senior Vice President, Ultimus Fund Solutions
Erik Olson, Managing Director, ACA
Lori Novak, Partner, Cohen & Co.
Paul Clark, Managing Director, Houlihan Capital


Interested in attending? Contact your Ultimus Relationship Manager or Business  Development Representative for information on registering. New to Ultimus? Contact marketing@ultimusfundsolutions.com for more information.

5th Annual Private Wealth Mountain States Forum @ Grand Hyatt Denver
Oct 22 all-day

The Private Wealth Mountain States Forum is designed to bring together more than 75 capital allocators and wealth managers from the area for a day of networking and knowledge share. Our agenda will cover asset allocation, alternative investing, growing and passing on personal wealth as well as regulatory compliance and the current state of the financial marketplace and global economy. As this event is completely closed door and invitation only, it has been designed to enable genuine peer-to-peer learning and networking for the local HNW community. Click here for more details.

Vendor Selection in the New Normal
Oct 28 @ 3:00 pm – 4:00 pm
Virtual Site Visit Due Diligence Best Practices

Wednesday, October 28, 2020  |  3:00 p.m. EST

Join leaders from Ultimus and a panel of experienced industry professionals, including trustee, operating officer and general counsel perspectives, for a look at best practices for vendor selection in our new normal. From navigating virtual site visits to enhancing due diligence processes, explore how industry professionals are maximizing the advantages and minimizing disadvantages of virtual vendor selection.

Learning Objectives:
  • Best practices for virtual site visits
  • Processes that can augment virtual interactions
  • Board considerations and fiduciary responsibilities
  • How to move from review to implementation
  • David James, Ultimus Fund Solutions, Moderator
  • Steve Yadegari, EVP Chief Operating Officer and General Counsel, Cramer Rosenthal McGlynn, LLC
  • John Detwiler, Managing Partner, ParkLexington Advisers, LLC
  • Andi Mullins, Independent Trustee, Angel Oak Funds Trust; Valued Advisers Trus
Open to members and non-members of NICSA.
Interested in attending? Contact your Ultimus Relationship Manager or Business  Development Representative for information on registering. New to Ultimus? Contact marketing@ultimusfundsolutions.com for more information.
UDA Webinar
Nov 13 @ 2:00 pm – 3:00 pm
ETF Active Management Solutions
Nov 17 @ 12:00 pm – 1:00 pm

Please join us for the second session of our series on exchange-traded funds. Our panel of experienced ETF professionals will provide insight and highlight solutions to common concerns investment managers may have in respect to product implementation, distribution, and more.


·    Alma Piscitello, EVP, Relationship Management, Ultimus Fund Solutions

·    Mo Sparks, Director, Exchange Traded Products, New York Stock Exchange

·    Simon Goulet, Co-founder, Blue Tractor


GTE Wealth Forum XIII @ The Ritz-Carlton, Fort Lauderdale, FL
Dec 6 @ 8:00 am – Dec 9 @ 5:00 pm

The GTE Wealth Forum is an invitation-only event which brings together senior investment decision makers from premier RIAs, Bank Trusts & Family Offices, with leading Fund Managers, for a series of pre-scheduled, pre-qualified, one-one-one, twenty-five-minute due diligence meetings.
The GTE Wealth Forum is designed to maximize your return on investment and make the best use of your time. You will join an executive level group in a luxury resort, for an intimate event designed to get you in front of the right prospects, develop relationships, and drive assets.

Product Trends: Planning to Diversify Investors for 2021
Dec 8 @ 2:00 pm – 3:00 pm

What will asset managers be planning for in 2021?

Join our panel of industry professionals as Dave Carson, SVP of Client Strategies with Ultimus, moderates a discussion to explore today’s market and the product trends. Panelists will propose ideas to broaden your product offerings to increase investor reach.

Learning Objectives:

  • Evaluating the benefits of offering strategies in multiple vehicles
  • Assessing the current market and product trends for the following products:
    • ETFs
    • Interval funds
    • Private funds
    • CITs
    • Robo advisory
  • Analyzing the advantages and disadvantages
  • Identifying top considerations for product development
    • Market segmentation
    • Consumption & distribution
    • Digital engagement strategies
  • Providing actionable steps for moving from consideration to implementation & launch

Featuring the following presenters:

Sandra Powers, CEO/CCO, Ark Global LLC, Author of The Road to AUM

John Hunt, Partner, Sullivan & Worcester LLP

Adam Kornegay, SVP Business Development, Ultimus Fund Solutions

Dave Carson, SVP Client Strategies, Ultimus Fund Solutions (Moderator)


Interested? Inquire with your Ultimus Relationship Manager for registration details.

Fund Services 2020: A Documentary
Dec 10 @ 10:00 am – 11:30 am

Global Custodian invites you to the world premiere of Fund Services 2020: A Documentary, at 10am ET on 10 December 2020

The format honors the award nominees, giving them a voice to tell their story – tracking the recent highs and lows of the funds space and how service providers have responded – while uniting and engaging the industry through an open forum discussion during the premiere. Questions can be submitted to a live panel which will extend the discussion after the film ends.

The story will focus on trends in the industry shown through Global Custodian’s 2020 survey results in the context of the COVID-19 crisis and market volatility in March and April, along with discussing the most successful innovations, the key to meeting customer demands and high client service levels. The results will deliver an in-depth look at the evolution of alternatives fund servicing over the next decade and what will make the difference in retaining and winning new business in years to come.

The premiere will run for 45 minutes, with the ensuing panel discussion with leading industry figures lasting an additional 45 minutes.

Register today for this exclusive event.


While our annual awards take a different format this year, we will still be announcing winners in the following categories:

  • Private Equity Fund Administration
  • Prime Brokerage
  • Hedge Fund Administration
  • Editors’ Choice Awards
  • Lifetime Achievement
  • Industry Legend Award
Distribution Advantage Webinar with YCharts
Dec 11 @ 2:00 pm – 3:00 pm

YCharts – The Premier Sales Tool Built for Distribution Teams

Guest Speaker: Dave Lubnik, VP of Business Development at YCharts

YCharts is a cloud-based investment research platform that uses industry data to provide investment managers the tools to make sound investment decisions for their funds. YCharts is an intuitive, web-based, affordable alternative to the incumbent solutions.

During this webinar we will discuss:

  • How to improve dynamic sales conversations with advisors
  • How to reduce friction from needing to rely on internal resources

According to a recent study at a large client, 100% of wholesalers believe YCharts is a valuable sales tool, and 95% believe it has helped them win business.

Register Today!

UDA Webinar
Dec 11 @ 2:00 pm – 3:00 pm
Implementing Semi-Transparent Solutions and Distribution Strategies
Jan 14 @ 12:00 pm – 1:00 pm

Please join us for the third and final session of our series on exchange-traded funds. Our panel of experienced ETF professionals will explain the steps and considerations needed to launch actively managed ETF’s into the market.

Discussion Topics:

  • Recap from Part 1 & 2
  • What you need to know to launch an ETF
  • Vident functionality and support for marketing efforts
  • Importance of distribution planning
  • Do’s and don’ts
  • Year-end planning ideas

Featured presenters:

Scott Szever, Director, Exchange Traded Products, New York Stock Exchange

Rafael Zayas, Head of Portfolio Management and Trading, Vident Investment Advisory LLC

Larie Lydick, VP  ETF and Mutual Fund Services, Ultimus Fund Solutions

Alma Piscitello, EVP, Relationship Management, Ultimus Fund Solutions (Moderator)


Interested in attending? Contact your Ultimus Relationship Management Representative for registration details.

Ultimus Webinar – ETFs
Mar 17 @ 2:00 pm – 3:00 pm
Enhancing Product Lines with Exchange-Traded Funds webinar

We invite you to attend our webinar where we will discuss the benefits and options for existing mutual fund advisors and advisors with an interest in bringing new ETFs to the marketplace.

Discussion Topics

  • Rule 6c-11 transformation
  • The rise of Semi and Non-transparent ETFs
  • Distribution considerations
  • Product innovations and considerations

Featuring our panel of ETF professionals:

  • Jim Simpson – Founder and President of ETP Resources, LLC
  • Keith Fletcher – Principal at JAHFT Solutions
  • Joe Bree – SVP Business Development, Ultimus
  • Kevin Wolf (Moderator) – EVP, Head of Fund Administration and Product, Ultimus

Click here to register

Learn more about ETFs here

UDA Webinar with AdvizorPro
Apr 9 @ 2:00 pm – 3:00 pm
Register Here

Please join us this Friday, April 9th at 2:00 p.m. for our upcoming webinar during which we will be talking with Michael Magnan and Joe Caprara with AdvizorPro.

AdvizorPro is a fintech company that provides firms with an up-to-date tech-powered Broker-Dealer & Registered Investment Advisor database. With AdvizorPro firms can create effective lead lists in seconds, research backgrounds and teams, and connect directly with advisers to help grow your pipeline.

During the webinar we will discuss:

  • The importance of fresh & accurate contact data to improve your advisor engagement
  • How to reach a more relevant audience by leveraging proprietary advisor profile data – including expertise & interests
  • Effective methods of successfully reaching advisor prospects in today’s environment
Democratization of Alternatives
Apr 28 @ 2:00 pm – 3:00 pm

Partnering with Nicsa, we hope you join us for our upcoming webinar.


Private market investments continue to attract attention from retail investors in the U.S. Hear from veteran industry leaders who will share their varied perspectives on expanding investor access to alternative investment strategies. Panel discussion topics will focus on the evolving investor appetites to access alternative products in a registered ’40 Act wrapper and commentary on recent trends including the regulatory environment, distributor receptivity and sustained growth of the marketplace.

Learning objectives:
  • Product structure options
  • Strategy trends
  • Regulatory considerations
  • Distributor receptivity

The SME Forum
May 3 @ 10:00 am – 11:00 am

Insights on How We Are Forever Changed Through Business Innovation


Bill Hortz, Founder & Dean of The Institute for Innovation Development will discuss and illustrate how business innovation is changing the dynamics of how we work and interact with one another. He will introduce in 2 member firms that are actively innovating the financial services industry through technology and business model innovation. Mark Spina, President & COO from FLX Distribution will discuss their work on restructuring the traditional investment products distribution ecosystem and Ian Martin, Chief Administrative Officer of Ultimus Fund Solutions will share the drive behind their innovative technology strategy on their uSUITE® technology platform for their fund administration clients.

Register Here


               Bill Hortz                            Mark Spina                              Ian Martin
UDA Webinar with Morgan Stanley
May 14 @ 2:00 pm – 3:00 pm

Register Here

As several of you may have heard, Morgan Stanley is working through details regarding their acquisition of E*Trade. Given the amount of communication being exchanged between Morgan and several of our clients we thought it made sense to push the webinar with Mars back a month and have a few colleagues from Morgan Stanley join us for the May webinar to walk us through some detail on their firm and answer questions regarding the acquisition.