Registered Fund Distribution

Gemini’s fund distributor sister company, Northern Lights Distributors, LLC (NLD), Member FINRA/SIPC, is a broker-dealer specializing in servicing registered funds. Through NLD, Gemini provides:

  • 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.

Compliance Oversight & Guidance
  • National Securities Clearing Corporation (NSCC) membership
  • Facilitation of commission payments
  • 12b-1 processing
  • Quarterly board reporting
  • Advertising and marketing review to ensure compliance with FINRA and SEC requirements
  • Registered representative licensing
  • Facilitation of purchase and redemption order placement in-house or with third-party partners
Sales & Marketing Guidance
  • Cultivation of relationships with a variety of broker-dealers and their representatives to help you gain access to selling agreements and exposure to an audience seeking to champion your fund
  • Sales and marketing consulting
  • Introductions to service providers and partners including custodians, law firms, accounting firms, and Authorized Participants (AP)
  • Product placement guidance and advocacy
  • Participation in AP engagement and coordination of the AP agreement process

7651-GFS-4/25/2018
2064-NLD-4/27/2018