Fund and Investor Services

Operational efficiency, cost effectiveness, data security, and a shifting regulatory landscape are challenging asset managers of registered funds and ETFs to grow their business. Our solutions embody leading technology and service excellence and help promote greater control, enhanced transparency, and risk mitigation across the full range of investment servicing needs.

Contact Center

Your investors can direct inquiries to our highly-trained, experienced representatives. We also offer a high-quality customer experience through our website and interactive voice response account access.

Control and Reconciliation

Highly automated reconciliation and control technology ensures timely reporting of cash and share positions with special emphasis placed on risk management, fraud detection, and resolution of exception items.

Corporate Events

We specialize in delivering various shareholder communications such as corporate actions, payments to shareholders, regulatory mailings, fund marketing campaigns, demutualization, and IPOs.

Distribution Services

Our comprehensive Distribution Services deliver time and cost savings, allowing clients to focus on asset gathering. We act as the legal underwriter/distributor and provide 12b‑1 administration, sponsor staff licensing, broker-dealer agreements, marketing materials review and approval, and intermediary due diligence across virtually all traditional and alternative fund types. Learn more about Distribution Services from ALPS, a DST Company.

Event Center

Designing a custom plan of action to accommodate a firm’s unique event management needs, Event Center provides clients with experienced support in the areas of event management, staffing, and operations for a variety of events.

Fund Accounting

Our state-of-the-art technology platform and team of experts provide fund accounting for a comprehensive range of product structures and market segments. Learn more about Fund Accounting from ALPS, a DST Company.

Fund Administration

We offer robust customer management and financial operations and controls for your investment products. Learn more about Fund Administration from ALPS, a DST Company.

Institutional Processing

We provide support for all aspects of institutional trading activity using a variety of automated technology solutions. Our experienced staff deliver service excellence while focusing on risk mitigation and quality control.

Intermediary Compensation

Our solution incorporates a variety of commission and trailer fee services and leverages proprietary automated processes to increase efficiencies, improve accuracy, and mitigate risk.

Investor Reporting

Our capabilities provides secure access to investor records, fund data and professional reporting through a proprietary technology portal built to meet the needs of registered and private asset management firms. Learn more about Investor Reporting from ALPS, a DST Company.

Legal Administration

Leverage a highly specialized and experienced team for quarterly board meeting services, contract management, regulatory filings and more. Learn more about Legal Administration from ALPS, A DST Company.

Mail Services

State-of-the-art, end-to-end servicing for all of your mail processing and document control needs.

Marketing and Creative Services

Our experienced creative team delivers customized print and digital solutions that help you reach the right audience with the right message. Learn more about Marketing and Creative Services from ALPS, a DST Company.

NSCC Services

Our team specializes in operational, administrative, and client service functions needed to deliver dealer, trust, and third-party administrator back-office support. Our services include Fund/SERV and Networking oversight, trade resolution, new product and fund implementation, intermediary conversions, and dealer setup.

Series Trust Solutions

Our series trust solution, governed by an experienced board of trustees, allows you to bring new products to market in a faster, efficient, and cost-effective manner. Learn more about Series Trust Solution from ALPS, a DST Company.

Settlement Administration

We approach each settlement – from the early planning stages through the final communication with all parties – with a proactive and innovative focus on problem resolution.

Tax Administration

We calculate income and tax distributions to help you satisfy auditors’ needs and effectively communicate with investors. Learn more about Tax Administration from ALPS, a DST Company.

Transfer Agency Services

We help you to implement an integrated, end-to-end solution that offers transaction processing, same-day cash management, reconciliation and control, client service desktop, voice response capabilities, year-end tax reporting, distribution and marketing support services, and web-based shareholder and advisory portals.

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