We believe mutual fund distribution can be simple and cost effective. Our primary
mutual fund distribution services include establishing selling agreements with broker/dealers
and banks interested in selling your fund, and performing advertising reviews of
fund literature in compliance with FINRA regulations. Allowing us to establish your
selling agreements and perform your advertising reviews means you can devote your
resources to growing the assets in your fund.
Selling agreements
We currently have many existing relationships, which reduces the time it takes to
establish new selling agreements. Through the selling agreement process we can:
- Arrange and maintain all dealer related selling agreements
- Facilitate payment of 12b-1 fees and commissions, and provide quarterly board reports
- Assist your fund in getting set up on various distribution platforms
Through our membership with the National Securities Clearing Corporation ("NSCC"),
we are able to obtain a clearing number for your fund, saving you the time consuming
process of becoming an NSCC member.
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