Ultimus Fund Solutions, LLC
Gary Tenkman
CEO
225 Pictoria Drive, Suite 450
Cincinnati, OH 45246
513-587-3400
Year RC services began: 2000
Ultimus Fund Solutions is a leading provider of full-service fund administration, accounting, investor services and distribution solutions for servicing registered funds, private funds and public plans, including structures designed to support the unique needs of pensions, endowments and foundations. Trusted by institutional investors, investment consultants, registered investment advisers, state governments and private fund managers, we provide solutions for nearly every pooled investment structure. Additionally, Ultimus has been independently ranked by Global Custodian as the Mutual Fund Administrator of the Year for the last three years in a row.
With operations dating back to 1983, Ultimus has been serving the financial services industry for nearly four decades. Through our unwavering commitment to client needs, coupled with our knowledge of industry players, rules and regulations, Ultimus is now the largest independent provider, delivering all services from onshore U.S. locations.
Our goal is to support registered funds to meet the SEC’s regulatory compliance requirements, while helping our clients move forward. To facilitate clients’ balance of growth and compliance, Ultimus provides strategic compliance and technology solutions via a high-touch service to help reduce critical risks. Our tools offer efficiency and assurance, through streamlined operational processes, risk controls, and trusted governance. The company’s tailored and cost-effective solutions allow clients to focus on growing assets under management.
The Ultimus compliance team leverages existing industry partnerships, relationships with industry regulators, and industry leaders to assist and prepare clients and funds to keep up with ever changing and sometimes complex regulatory compliance requirements. Critical compliance services and streamlined workflows include:
• SEC Rule 38a-1 Corporate Compliance Officer support services
• Regulatory oversight and guidance of FINRA and SEC rules
• Prospectus drafting and SEC filings
• Fund compliance and specialized tax support
• Board, licensing, and exam support
• Dedicated advertising principals
• Legal underwriting
• Full printing, typesetting, and EDGAR filing services
• Intermediary support oversight
With Ultimus’ experience serving hundreds of clients, we are prepared to partner with you to manage all your compliance needs, offering sensible advice and planning throughout the process as regulations evolve.