About Us

Fund Administration

We provide expert regulatory and financial administration support during the fund creation and for ongoing operations. Our professionals work as your back office “quarterback” to ensure fund compliance with federal securities laws and minimize costly reliance on outside counsel.

  • Monitor compliance with the 1940 Act requirements and Subchapter M
  • Monitor compliance with the policies and investment limitations as set forth in the prospectus and statement of additional information
  • Blue sky compliance- prepare and file with the appropriate state securities authorities
  • Prepare annual updates to the Prospectus and SAI
  • Prepare proxy statements (when needed) and spearhead process
  • Prepare annual and semi-annual reports and related SEC filings
  • Coordinate the printing, filing and mailing of publicly disseminated Prospectuses and shareholder reports
  • Coordinate filing Form N-PX (proxy voting)
  • Calculate required distributions (including excise tax distributions)
  • Monitor arrangements under shareholder services or similar plans
  • Manage fund expense forecasts and budgets
  • Monitor expenses and manage accruals
  • Initiate fund expense payments
  • Assist in overall operations of the Fund