5 Top Tips for Assessing Sales Reporting and Data Management Solutions

Nov 27, 2018 12:35:32 PM  |  Distribution

As an asset manager, you probably have spent countless hours researching and testing the tools needed to find the ideal sales reporting and data management solution for your business. Whether it be a formal product offering or home-grown process, the act of finding the right solution does not need to be as daunting as it may first appear.  Although such solutions can be inherently complex, establishing a framework for evaluating their various aspects can simplify the process and ultimately provide assurance that decision makers select the proper solution for the right reasons.

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Q&A: Why Asset Managers Should Consider Inbound Marketing in their Mutual Fund Strategy

Aug 7, 2018 2:00:00 PM  |  Distribution

Ultimus’ Director of Distribution Strategies, Kevin Guerette, sat down for a quick Q & A session with Stacy Havener, Founder and CEO of Havener Capital, a sales and marketing agency representing undiscovered mutual funds from some of the world’s leading asset managers, to discuss the importance of developing a sound inbound marketing strategy.

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Part 1 - Launching a Mutual Fund: Costs of Success

May 15, 2018 10:00:00 AM  |  '40 Act , Distribution

Typically, when an investment adviser thinks about launching a mutual fund, they commonly ask, “How much does it cost to launch a mutual fund?” The more prudent question to ask would be, “How much does it cost to launch a successful mutual fund?”

These days many funds are launched using the series trust structure, which can afford an adviser some efficiencies in organization and operational cost and reduced time to market. Those are certainly important considerations, and we will discuss those in more depth later in the next two successive blog postings. However, to help focus on long-term success, advisers should consider several other factors before they think about the organization and operational costs for a fund. What are those factors?

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Ultimus' Top Blog Posts of 2017

Jan 9, 2018 10:31:38 AM  |  Middle Office , '40 Act , Fund Structure , Distribution

In 2017 Ultimus launched a blog, publishing educational and insightful information every two weeks to help investment advisers manage various aspects of their firm. Written by internal subject matter experts at Ultimus, the blog posts cover current industry topics including mutual fund distribution, marketing, compliance, middle office and fund operations, industry trends and more. In case you missed the posts, we've gathered the six most popular ones in 2017 for you.

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Soaring Across the Big Blue Yonder Known as Blue Sky Laws

Dec 12, 2017 12:01:06 PM  |  '40 Act , Distribution , Regulatory

As an investment manager of mutual funds, have you ever dealt with the complexities of Blue Sky laws which are laws intended to protect investors from securities fraud? More specifically, have you dealt with not knowing how, when or where to register mutual fund shares? Add to that mix the complex federal securities laws and regulations, FINRA regulations, and other regulators, this can result in unnecessary headaches. The highly regulated mutual fund industry can make it difficult to maneuver through the individual state laws of Blue Sky. 

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New Services to Support Mutual Fund Distribution

Oct 31, 2017 10:30:00 AM  |  '40 Act , Distribution , Industry

[Kevin Guerette, Director of Distribution Strategies for Ultimus Fund Solutions, recently sat down with Bill Hortz, Dean of the Institute for Innovation Development. Having launched the Ultimus Distribution Advantage Program exclusively for clients earlier this year, Hortz asked Guerette to share details on the new support services and his perspective on the changing landscape in mutual fund distribution.]

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Mutual Fund Industry Evolution: Trends for Success

Oct 17, 2017 11:00:00 AM  |  '40 Act , Distribution , Industry , Regulatory

CEO and Managing Director, Bob Dorsey, recently spoke with Finance Monthly to provide expert insight for their September issue. In this publication, since he recently celebrated some industry anniversaries, he discusses how the mutual fund industry has evolved and changed in the new millennium. He also dives deeper into the increasing influence of technology, the importance of operations, thriving in the new regulatory normal, and the trends to help investment advisors and fund managers succeed in this new environment. If you would like to read the publication, please link to the full article here.

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Real World Adviser Marketing: Real World Stories

Sep 5, 2017 10:00:00 AM  |  '40 Act , Distribution

Advice for Investment Advisers of Mutual Funds
Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies at Ultimus Fund Solutions
Dan Sondhelm, CEO of Sondhelm Partners 
Jeremy Floyd, CEO of Finworx
Stacy Havener, Founder and CEO of Havener Capital Partners

In the most recent Ultimus Client Summit, mutual fund industry attendees seized opportunities to gain expert advice on topics that resonate with many within the industry. One topic in particular, Real World Marketing, hit home as expert panelists shared stories and advice regarding the environment of marketing for mutual funds.

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Five Critical Questions to Help Identify the Ideal Distribution Partner

Jul 25, 2017 8:47:43 AM  |  '40 Act , Distribution

In recent years, investment managers launching new mutual funds have realized the increasing amount of competition in the retail investment space. As more and more funds come to market, managers are turning to fund distribution to help diversify their shareholder base and grow assets. With many different channels and platforms, the options are endless when it comes to effective distribution and wholesaling.

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Gaining Scale and Efficiency in Your SMA Strategy

Apr 18, 2017 9:48:54 AM  |  '40 Act , Fund Structure , Distribution
How Launching a Mutual Fund Can Help Advisers Manage More Effectively - 

While the mutual fund asset pool continues to grow, fund managers are also seeing increases in money put into Separately Managed Accounts.  With gross assets – or Regulatory Assets Under Management – near $38 trillion, according to the Investment Adviser Association, SMAs have reached levels not seen since before the financial crisis. 

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