Distribution Services

The convergence of traditional and alternative fund structures and an evolving regulatory distribution landscape is increasing costs and reliance upon service providers to offset them. Regulators are pushing alternative investment managers to evaluate registration requirements and review internal compliance policies and procedures.

We provide comprehensive Distribution Services that support alternative investment managers selling through broker-dealers. Outsourcing related support activities help you provide flexible compensation structures, support marketing campaigns, and dedicate more resources to direct selling. Our solution helps you with:

  • Uploading advertising pieces and tracking selling agreements on a real-time basis
  • Maintenance and supervision of FINRA registrations for licensed individuals
  • Submission, review, approval, and tracking sales literature
  • Coordination of continuing education requirements
  • Educating your staff on broker-dealer regulations and guidance
  • Developing marketing literature and digital assets

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