Ultimus supports you across the full mutual fund lifecycle with institutional controls, subject matter experts, and service models designed to scale as your fund complex evolves.
Mutual Funds
Optimize your mutual fund platform
Administer your mutual fund with a dedicated client service team
Operating a mutual fund requires tight coordination across administration, fund accounting, transfer agency, compliance, and statutory distribution. Ultimus brings these functions together within a cohesive service-led operating model, helping you maintain regulatory alignment, data accuracy, and service continuity.
Leverage deep experience across complex mutual fund operations
Enhance the shareholder experience
Your shareholder experience depends on reliable transaction processing, recordkeeping, and communication. We support transfer agency and shareholder servicing workflows so you can meet investor expectations while staying aligned to regulatory requirements.
Ensure accurate daily NAVs and financial reporting
Daily operations depend on timely and accurate NAVs, reconciliations, and disciplined financial reporting. Ultimus supports you with fund accounting and financial reporting designed to maintain transparency, audit readiness, and operational integrity.
Maintain compliance and board-ready governance
Ongoing compliance oversight and trust governance are essential to mutual fund operations. We support you with comprehensive regulatory support and compliance services, including board meeting coordination and reporting designed to meet regulatory obligations and support informed oversight.
Launch funds with proven support
Launch your mutual fund within an established series trust to streamline operations and reduce time to market. Leverage proven governance, experienced trustees, and coordinated services to focus on strategy while minimizing costs and complexities.
Services and solutions
Transfer agency
Process shareholder transactions, maintain recordkeeping, and deliver investor communications with disciplined workflows that support a consistent experience across your mutual fund shareholder base.
Fund accounting
Calculate daily NAVs, post trades, accrue expenses, and reconcile positions and cash with controls designed to maintain accuracy, transparency, and audit readiness.
Financial administration
Prepare financial statements, expense budgeting, and board materials with disciplined processes that support audit readiness and regulatory compliance for your mutual fund.
Regulatory administration
Support SEC filings including N-CEN, N-PORT, N-CSR, and Form N-1A updates with disciplined workflows aligned to mutual fund regulatory requirements.
Tax services
Support regulated investment company (RIC) qualification testing, year-end distribution calculations, excise tax provisions, 1099 reporting, and coordination with your auditors and tax advisors.
Statutory distribution
Leverage proven, technology-driven oversight for statutory distribution, including FINRA advertising review, order approval, AP agreement execution, registered representative oversight, and guidance through the Ultimus Distribution Advantage (UDA) program.
Compliance and outsourced CCO
Deliver CCO support, Investment Company Act of 1940 (’40 Act) compliance testing, policy administration, and board-ready reporting that supports ongoing regulatory alignment and informed oversight.
Power your mutual fund management with integrated technology
Gain real-time control and transparency with Ultimus Connect Investor and Advisor Portal and Data and Reporting Hub. These secure, intuitive platforms simplify transactions, centralize account management, and deliver immediate access to detailed fund data with accuracy, efficiency, and confidence in every direction.
Benefits of working with Ultimus
Operate within a controlled regulatory environment
Maintain alignment with SEC requirements and industry standards across the way you administer, account for, and service your mutual funds.
Support reliable daily fund operations
Deliver accurate NAVs, reconciliations, and reporting through disciplined accounting and oversight that supports audit readiness.
Provide consistent shareholder experiences
Support transaction processing, communications, and servicing with reliability and care, so your investors receive a consistent experience.
Reduce operational risk and complexity
Coordinate administration, accounting, compliance, and servicing within a single operating framework to reduce friction and rework.
Support governance and board oversight
Provide documentation, reporting, and compliance support designed for board review and regulatory scrutiny.
Scale with flexibility over time
Adapt service levels and operating models as your fund lineup and operating needs evolve.
Frequently asked questions
What services do you need to operate a mutual fund?
To operate successfully, you typically need fund administration, accounting, transfer agency, compliance support, financial reporting, and governance coordination.
How does Ultimus support you when launching a new mutual fund?
Ultimus supports fund organization, SEC registration support, service provider coordination, and initial operating setup within an established trust structure.
How are daily NAVs and financial reporting supported?
Daily NAVs and reporting are supported through disciplined accounting processes, reconciliation, and controls designed to maintain accuracy and transparency.
How do you maintain compliance and governance over time?
Compliance services, CCO support, and board reporting help you meet ongoing obligations and maintain oversight-ready governance practices.
Can you scale operations as assets and fund complexity evolve?
Yes. Service models are designed to scale incrementally, so you can expand assets, strategies, and channels without rebuilding operational infrastructure.