About Us

Fund Formations

We manage fund formations to ensure a fund's regulatory, compliance, tax and operational requirements are fully satisfied. We manage the start-up process from beginning-to-end.

  • Draft and file registration statements with SEC
  • Prepare agreements and plans (i.e. Advisory Agreements, Rule 12b-1 Plan)
  • Coordinate 15(c) process with Board
  • Provide guidance on operational matters such fund name, fiscal year end
  • Prepare fund operating expense projections
  • Obtain cusip, ticker and IRS tax identification number
  • Register fund with industry tracking organizations (Lipper, ICI, Morningstar)