We pair deep public fund knowledge with a proprietary technology platform and a dedicated client service team, helping you seamlessly launch, operate, and scale ETFs.
Exchange-traded Funds
Comprehensive exchange-traded fund solutions
ETF solutions built for speed-to-market and scalability
Simplify ETF administration with services spanning the full product lifecycle. Our experienced professionals guide you through ETF product design and launch, introductions across the ETF ecosystem, regulatory navigation, and ongoing operations, supporting quick market entry and effective long-term operational management of your funds.
Fund services
As one of the largest independent providers of fund administration in the US, we deliver comprehensive service to ETF sponsors, pairing deep regulatory experience with a proprietary ETF technology platform and a dedicated client service team.
Fund accounting
Leverage straight-through and exception-based processing to power accurate, timely fund accounting and NAV calculation for your ETFs, supported by basket creation, fund valuation and surveillance, and a robust control environment your market makers, authorized participants (AP), and shareholders rely on.
Fund administration
Trust us with comprehensive ETF fund administration, including basket services, ETF data dissemination to required parties, exception alerting, and automated outputs, all delivered through our proprietary technology platform to keep your operations running with precision.
Statutory distribution
Leverage proven oversight with technology-driven support for statutory distribution, including FINRA advertising review, order approval, AP agreement execution, and registered representative oversight. Through the Ultimus Distribution Advantage (UDA) program, we offer consultative ETF distribution support.
Legal and board support
Get coordinated legal and board support tailored to ETF governance, including board agenda and materials support, regulatory filings, and ongoing oversight, so you stay ahead of every deadline. For an even more comprehensive solution, consider the power and governance support of our series trust platform.
Portfolio tax and compliance
Gain hands-on portfolio tax and compliance support across Regulated Investment Company (RIC) qualification, Section 855 and excise tax, year-end distributions, in-kind creation and redemption oversight, 1099 reporting, and Investment Company Act of 1940 (’40 Act) compliance testing, coordinated with your auditors and tax advisors.
CCO services
Leverage independent fund and trust CCO outsourcing and the regulatory administration your ETF board expects. Our dedicated team supports Rule 38a-1 compliance programs, Rule 6c-11 compliance support, and filings oversight across every cycle.
Specialized fund solutions
ETF launch support
Bring your ETF to market with confidence. From product design support through SEC filing, launch, and ongoing operations, you get experienced professionals who guide you through the full process. Our team makes introductions to the ETF ecosystem, including lead market maker and AP relationships, supporting quick market entry and effective long-term management.
Existing fund conversion
Convert an existing mutual fund, separately managed account (SMA), or other registered structure into an ETF with a partner who has done it before. Our implementation team handles data migration, historical reconciliation, board and regulatory coordination, and parallel-period validation, delivering a clean handoff with no disruption to your shareholders or fund operations.
Section 351 seed strategies for ETFs
Unlock the tax-efficient path to launching an ETF through a Section 351 exchange. As a leading ETF administrator, we bring extensive experience in SMA-to-ETF conversions and deep ETF industry knowledge to help you evaluate, structure, and execute a 351 seed strategy that aligns with your product roadmap.
Frequently asked questions
Can you support a new exchange-traded fund (ETF) launch?
Yes. We partner with you from product design support through SEC filing, launch, and ongoing operations, coordinating with your legal, audit, tax, and distribution contacts, and critical ETF ecosystem partners. You get the comprehensive fund administration infrastructure and support you need to bring a new ETF to market.
Can you support an ETF launching within a series trust?
Yes. A series trust offers a strategic, cost-effective path to launching ETFs by leveraging an established governance structure, shared operational costs, and a streamlined SEC approval process. You benefit from faster time to market, lower expenses, and operational efficiencies, making it an ideal solution if you are seeking scalability and flexibility in fund management.
What if I'm converting from an SMA or mutual fund to an ETF?
We have extensive experience in SMA-to-ETF and mutual fund-to-ETF conversions, including Section 351 seed strategies. Our implementation team handles data migration, historical reconciliation, board and regulatory coordination, parallel-period validation, and authorized participant onboarding, delivering a clean handoff with no disruption to your investors or operations.
How do you support ETF distribution?
Distribution remains critical for ETF success. Our specialists provide consultative guidance through regulatory complexities and evolving distribution dynamics, including target market analysis, sales and marketing strategy development, authorized participant relationships, and portfolio construction fit, delivered with a high-touch, solutions-driven approach.
Ultimus developed the UDA program to support distribution efforts. The program includes a dedicated website with intermediary details, partner directories, and a Resource Marketplace for reporting and prospecting data. It also includes monthly webinars and a collaborative conference approach through the Shared Events program.
How do you handle tax and distributions for ETFs?
We manage the full tax lifecycle, including RIC qualification testing, Section 855 and excise tax provisions, year-end distribution calculation and oversight, 1099 reporting, and shareholder tax communications. You get close coordination with your auditors and tax advisors throughout the year, leveraging the structural tax efficiency that makes ETFs distinct from other registered structures.