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)