Underwriting of open end mutual funds and ETFs
Licensing of registered representatives
Advertising and marketing review
12b-1 payment processing
Our team of compliance specialists helps you navigate the regulatory environment through a high-touch, solutions-driven consultative approach.
By leveraging existing industry partnerships and a network of hundreds of established selling agreements, we help you uncover product placement opportunities with wirehouses, independent broker-dealers, regional broker-dealers, banks, and trust companies. To maximize your sales potential, we provide insight and guidance on your target market to assist in the development of a sales and marketing strategy that fits your current growth cycle.
Specific services include:
Click here to learn more about our distribution services.