Fund Compliance

Mutual Fund Distribution


We believe mutual fund distribution can be simple and cost effective. NLD serves as an engaged partner empowering investment advisors to focus their time on active fund distribution. NLD’s primary distribution services include: advertising review and filing with FINRA, providing access to hundreds of established selling agreements, processing 12b-1 payments and facilitating trading through the NSCC.

Treating each relationship uniquely, NLD works side by side with investment advisors to grow assets in their funds by offering sales and distribution support and assisting in defining and implementing marketing and distribution plans. Through our key accounts managers and sales & distribution managers, NLD connects funds with broker-dealers to help establish selling agreements and develop working relationships with their representatives.

Through our membership with the NSCC, we are able to obtain a clearing number for your fund, saving you the time consuming process of becoming an NSCC member.

NLD may also be able to arrange for certain representatives of the advisor who are wholesaling the fund(s) to obtain and maintain appropriate licensing in accordance with FINRA and state laws, including a Series 6 or 7 and 63.