Executive and Director Trustee Search
Executive and Director Trustee Search Management Practice, Inc. Wilbanks Partners LLC 216 West Hill Road Suite 200 Stamford, CT 06902 203-973-0535 Fax: 866-749-6826 Email: mpayne@mfgovern.com Website: http://www.mfgovern.com One Stamford Plaza Ninth Floor 263 Tresser Boulevard Stamford, CT 06901 203-303-7766 Email: george@wilbankspartners.com Website: http://www.wilbankspartners.com Contact: C. Meyrick Payne, Senior Partner Contact: George Wilbanks, Managing Partner MPI has worked with fund boards for more than 40 years and has specialized knowledge of the fund director position. Wilbanks Partners provides executive recruiting and organizational management consulting services to every segment of the asset and wealth management business. In a market dominated by uncertainty, recruitment and retention of executive leadership require a special combination of deep market knowledge and the independence, wisdom, and experience to put this knowledge to work. George Wilbanks brings a 30-year career in the investment business, first in venture capital and mutual funds and subsequently building the AWM practice at Russell Reynolds Associates. He has worked on nearly 1,000 searches with experience in virtually every facet of the investment and wealth advisory business. We offer: »»Nationwide search for the “T-shaped” director: broad, wise, and collegiate on top with functional skill or interest to complement existing board »»Assistance with diversity disclosure required by the SEC in certain public documents »»Fees typically lower than national executive search firms »»Step-by-Step Process: »»Needs assessment »»Selection criteria »»Initial screening and assistance with credit, legal, and background checking of candidates »»Documentation of the process and correspondence with candidates »»New director education/onboarding MJE Advisors 17 Hanover Road Suite 240 Florham Park, NJ 07932 973-765-9400 Fax: 973-765-0881 Email: barry@mjeadvisors.com Website: http://www.mjeadvisors.com/contact-us Contact: Barry Emen, President MJE Advisors is a leading provider of executive search for the investment management industry with more than 40 years of combined experience among our professional team. We work closely with our clients to develop customized recruiting solutions and help them acquire the key human capital needed to grow their business. We are a privately owned firm with relationships throughout North America and the United Kingdom covering all major sub-sectors of the investment management industry. We leverage our collective expertise to identify and deliver only the highest quality professionals who help support the growth and success of our clients. 92 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Sutherland teams with investment management clients to make business goals a reality n Mutual Funds n Insurance Products n Closed-End Funds n Broker-Dealers n Exchange-Traded Funds n Investment Advisers n Hedge Funds n Boards of Directors For more information on Sutherland’s investment management practice, contact: Eric Arnold 202.383.0741 eric.arnold@sutherland.com Michael Koffler 212.389.5014 michael.koffler@sutherland.com Fred Bellamy 202.383.0126 fred.bellamy@sutherland.com Susan Krawczyk 202.383.0197 susan.krawczyk@sutherland.com Tom Bisset 202.383.0118 thomas.bisset@sutherland.com Steve Roth 202.383.0158 steve.roth@sutherland.com Steve Boehm 202.383.0176 steven.boehm@sutherland.com Holly Smith 202.383.0245 holly.smith@sutherland.com Jamie Cain 202.383.0180 james.cain@sutherland.com John Walsh 202.383.0818 john.walsh@sutherland.com Cliff Kirsch 212.389.5052 clifford.kirsch@sutherland.com Mary Jane Wilson-Bilik 202.383.0660 mj.wilson-bilik@sutherland.com SUTHERLAND ASBILL & BRENNAN LLP THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION www.sutherland.com 93 Financial Planning DST 1055 Broadway 10th Floor Kansas City, MO 64105 816-435-3773 Fax: 816-435-3777 Email: bgolberding@dstsystems.com Website: http://www.dstsystems.com Contact: Bruce Olberding, Vice President Spend less time managing information and more time focused on how to grow your business. Our Distribution Support Solutions focus on providing asset management companies, broker-dealers, and financial advisors convenient, cost-effective access to critical information, superior levels of service, and automation to address regulatory, customer service, and business strategy needs. DST Vision® is an interactive website enabling advisers to respond to client inquiries, prepare for portfolio reviews, or monitor activity across a book-of-business. Vision is the preferred financial intermediary site providing no-cost access to fund, shareowner account, and dealer information to more than 100,000 active users each month. Its real-time, critical information and tools help advisors spend less time managing information and more time focused on the needs of their clients. Vision® Professional is a premium solution that enables advisors to retrieve presentation-ready, automated, and consolidated historical, quarter-end shareholder reporting reports with supplemental product and holdings analytics. The solution also adds brokerage positions to the holding available for aggregation with the other financial products already in Vision. Our Financial Advisor Network® Mail (FAN Mail®) provides advisors and broker-dealer back-offices the transactional and position information necessary to populate proprietary databases and software applications. Our Internet Dealer Commissions solution is an automated, 24/7 file delivery system for commission and 12b-1 data. 94 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Financial Printing BNY Mellon Command Financial Press 25 Liberty Street New York, NY 10281-1008 800-579-1459 Email: assetservicingmarketing@bnymellon.com Website: http://www.bnymellon.com 345 Hudson Street Fourth Floor New York, NY 10014 212-274-0070 Fax: 212-334-8783 Email: bbezpa@commandfinancial.com Website: http://www.commandfinancial.com Contact: Marina Lewin, Global Head of Sales BNY Mellon offers cost-effective investor communications solutions to meet your financial printing needs. Our relationship with Xerox® brings to our clients Xerox’s technology and services, including enhanced capabilities to deliver a complete digital communications solution and innovation in personalized multimarket-channel business communications to support your business, including: »»Data processing with aggregation, manipulation, and composition »»Printing variable data in black and white, highlight color, and full digital color »»Intelligent/selective insertion »»Mail preparation and postal optimization »»Electronic archival and presentment »»Digital imaging »»Inventory procurement, management, and storage See our ad on page 9. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Contact: Bruce Bezpa, Vice President, Marketing Command Financial, one of the country’s largest financial printers, offers the latest in fully integrated, technology-based solutions and personalized service related to data, document, and distribution elements of document lifecycle management. We continue to redefine financial printing by providing a full range of financial printing services, including state-of-the-art typesetting, highly experienced customer service, in-house proofreading, EDGAR, XBRL, language translation, virtual data rooms, and extensive in-house press capacity. Our press and production capacity—one of the largest in the country—includes digital print, print-on-demand, web, and sheet-fed capabilities; perfect binding; and traditional and electronic fulfillment. We also offer industryleading content management through our Command Automated Publishing System, CAPS. The prospectus and shareholder report modules of CAPS are content management and automated document assembly tools that utilize an intuitive user interface and a database-driven virtual library, allowing clients to manage and repurpose information. Our Integration module bridges the capabilities of our Prospectus and Shareholder report modules to provide a comprehensive solution for content and management. Our Summary Prospectus functionality significantly enhances the management of summary prospectus content, and our new Multi-Change Processing features provides enhanced functionality designed to address KIIDs and Collective Funds. 95 FINANCIAL PRINTING Merrill Corporation RR Donnelley 225 Varick Street New York, NY 10014 212-229-6602 Fax: 212-367-5989 Email: roy.gross@merrillcorp.com Website: http://www.merrillcorp.com 99 High Street Boston, MA 02110 617-556-8309 Fax: 617-556-8369 Email: john.hagerty@rrd.com Website: http://www.rrdgim.com Contact: Roy Gross, President, Marketing and Communication Solutions Contact: John Hagerty, Vice President, Content Delivery How do you optimize your printing budget? Merrill prints regulatory, compliance, and marketing documents of all sizes and quantities. We are a leader in digital print and electronic content management, reducing obsolescence costs. Our print solutions are seamlessly integrated with our Composition, EDGAR, XBRL, PublishingCenter, and Print and Distribute services. We’ve also developed ComplianceCenter, an intelligent printdatabase information and scenario analysis tool that delivers personalized and portfolio-specific documents to shareholders, eliminating unnecessary printing and postage costs. Do you have a document project on your plate, and you don’t know where to start? As the world’s largest provider of print and related services, we are ready to meet your needs. Our highly experienced 1940-Act service team partners with you at every stage of your project to ensure quality, keep costs in check, and build your brand. Our unparalleled range of capabilities, industry-centric solutions, and innovative technologies ensure that your project will run smoothly, at the lowest production and postage costs. That’s why we are an industry leader in investor communications. Whether you’re seeking a fully integrated suite of services or a single solution, Merrill delivers solutions tailored to precisely match the way you do business. Radius Financial Compliance Group 33 Riverside Drive Pembroke, MA 02359 781-878-8028 x217 Email: mtuttavilla@radiusfcg.com Website: http://www.radiusfcg.com Contact: Maureen Tuttavilla, President At Radius, financial compliance documents are our business. With an average of 20 years of industry experience, members of our financial compliance group have the expert knowledge necessary to ensure your project is completed meticulously and expeditiously every step of the way. We provide 24/7 coverage, and prices to keep you well within budget, with no surprise costs and no nonsense. We work to earn the business of our clients with each project. Let us show you how important your business is to us. »»Financial Typesetting »»Financial Document Proofreading »»EDGAR and SEC Filings »»XBRL »»Document Hosting »»Print (web, offset, print-on-demand) »»Mail 96 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 529 College Savings Plan Support and Servicing Boston Financial Data Services, Inc. DST 2000 Crown Colony Drive Quincy, MA 02169 888-772-2337 617-483-8795 Email: sgrande@bostonfinancial.com Website: http://www.bostonfinancial.com 333 West 11th Street Kansas City, MO 64105 888-DST-INFO 617-483-8810 Email: mjtobin@dstsystems.com Website: http://www.dstsystems.com Contact: Steve Grande, Vice President, Sales Contact: Mike Tobin, Vice President of Sales Boston Financial has been servicing college savings plans since 1998, currently supporting 26 programs representing 2.9 million accounts. We thoroughly understand the operational and regulatory aspects of the business, handle a large variety of plan designs and features, and are positioned to meet each state’s needs as they evolve program rules and functionality. DST’s mutual fund shareholder recordkeeping platform supports processing and recordkeeping for 529 college savings plans. Plan providers can use a broad range of functionality and service models, including: Boston Financial was one of the first providers to support both direct and advisor-sold programs and to offer states integrated solutions for supporting contribution monitoring, aggregation tracking, and tax-reporting. We continue to develop innovative tools and technologies to promote investor satisfaction and simplify the savings process. »»Shareholder web access to account set-up, transaction processing, and plan information »»Financial intermediary web access »»Interactive voice response »»Program and plan manager complete aggregation across asset managers, recordkeepers, and distributors »»Support of any standard share class, including B class shares, and rolls to A class when shares are fully aged »»Processing of 529 purchases through payroll transmission »»Systematic investment changes based on beneficiary’s age or years to enrollment »»Systematic tracking of regulatory requirements limiting 529 investment strategy changes »»Systematic adjustments of principal »»Customer communication services »»Sales reporting »»Business process solutions »»1099-Q tax reporting »»Flexible service offerings THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 97 529 COLLEGE SAVINGS PLAN SUPPORT AND SERVICING Envision Financial Systems, Inc. Gemini Fund Services, LLC 18101 Von Karman Avenue Suite 1420 Irvine, CA 92612 714-247-0030, x114 949-579-9195 Email: brian.jones@enfs.com Website: http://www.enfs.com 80 Arkay Drive Suite 110 Hauppauge, NY 11788 855-891-0092 Email: eddie.lund@geminifund.com Website: http://www.geminifund.com Contact: Brian Jones, Executive Vice President Envision is the leading provider of real-time shareholder recordkeeping and servicing solutions. Our product suite includes a shareholder recordkeeping system with integrated cost basis, workflow, and imaging, as well as Internet inquiry, trading, and e-delivery solutions. Envision also offers a separate trade monitoring application that works with any recordkeeping platform. Using real-time open industry standard technology, configurable business rules, and a customer-centric interface, our clients have significantly increased efficiency and service quality. Envision’s products enable investment companies and service providers to optimize productivity and increase customer satisfaction by allowing them to control and customize their business processes. Envision provides reliability for today’s challenges and flexibility for tomorrow’s opportunities. 98 Contact: Eddie Lund, Vice President Business Development Gemini Fund Services, LLC provides comprehensive, pooled investment solutions as an engaged partner to independent advisors. Gemini serves as a resource to advisors bringing their own, unique investment vehicles to market, including mutual funds, exchange-traded funds, funds on insurance platforms, and more. As a full-service firm, Gemini provides the administration, accounting, and transfer agent/shareholder services that advisors need in order to launch and market successful products. With more than 30 years of experience, Gemini brings industry knowledge and insight to help advisors achieve the vision of their product and deliver the most extensive range of solutions to clients. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Fund Accounting Atlantic Fund Services Barrington Partners 3 Canal Plaza Suite 600 Portland, ME 04101 207-347-2016 Email: jessica.chase@atlanticfundservices.com Website: http://www.atlanticfundservices.com 77 Franklin Street Suite 802 Boston, MA 02110 617-482-3300 617-482-3325 Email: hgarber@barringtonp.com Website: http://www.barringtonp.com Contact: Jessica Chase, Senior Vice President, Business Development Atlantic provides comprehensive solutions for converting, launching, and operating mutual funds, registered and unregistered hedge funds, and other pooled investment vehicles. We offer: »»Consultative product design, conversion, and fund start-up management »»Expert fund administration and compliance support, including best practices and cost management strategies »»Advanced fund accounting that supports accurate and timely NAV calculations and reporting »»Leading transfer agency services that provide clients, intermediaries, and shareholders with focused expertise and real-time data Since our founding as Forum Financial Group in 1986, we have provided innovative fund services and solutions that emphasize quality, responsiveness, and compliance. Contact: Hubbard Garber, Partner Barrington Partners »»Benchmark Surveys »»Intermediary Oversight 2014 and 2015 »»Intermediary Fees 2014 »»Audit Fee Survey 2015 »»Global Fund Accounting Costs 2015 »»Consulting/Best Practices »»Cost, Process, Technology, Strategy Analysis »»Fund Fee Analysis and Service Provider Due Diligence »»Product/Class Strategy Analysis »»Middle- and Back-Office Assessment »»Securities Lending and/or FX »»Specialty 15(c) »»Investment Banking »»Investment Advisory, Administration, and Software companies »»Fairness Opinions »»Lift-Outs of Portfolio Management Teams »»Systems Research »»Separate Account, Mutual Fund, and Hedge Fund Technology, globally THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 99 FUND ACCOUNTING BNY Mellon Gemini Fund Services, LLC 225 Liberty Street New York, NY 10281-1008 800-579-1459 Email: assetservicingmarketing@bnymellon.com Website: http://www.bnymellon.com 80 Arkay Drive Suite 110 Hauppauge, NY 11788 855-891-0092 Email: eddie.lund@geminifund.com Website: http://www.geminifund.com Contact: Marina Lewin, Global Head of Sales BNY Mellon offers a single worldwide source for fund accounting and administration services. Our experience encompasses virtually any security and product structure, including multi-manager, multiple-class, multi-currency funds, master/feeder, hedge fund, variable annuity, and fund of funds, enabling us to service virtually any client innovation regardless of domain. These services are delivered by industry professionals via one global platform that provides real-time access to data worldwide in a consistent fashion, regardless of a fund’s domicile, size, or asset mix. See our ad on page 9. Brown Brothers Harriman & Co. 50 Post Office Square Boston, MA 02110 617-772-1673 Email: michael.saunders@bbh.co Website: https://www.bbh.com/wps/portal/expertise/ investmentservices/productscapabilities/ investmentaccountingadministration/infomediary Contact: Michael A. Saunders, Managing Director Brown Brothers Harriman (BBH) provides multi-currency investment accounting, portfolio valuation, fund administration, and reporting services to some of the largest and most sophisticated asset gatherers in the world. Exceeding $1.5 trillion in global accounting and administration assets (as of June 30, 2014), we provide accounting, valuation, financial reporting, compliance, performance, and tax services to a variety of entities that include collective investment vehicles, insurance companies, pensions, and trusts, all managed through a single technology platform. BBH consistently receives ‘top rated’ accolades in Global Custodian’s annual Mutual Fund Administration Survey. For more information about BBH’s differentiated approach, please visit www.bbh.com. Contact: Eddie Lund, Vice President Business Development Gemini Fund Services, LLC provides comprehensive, pooled investment solutions as an engaged partner to independent advisors. Gemini serves as a resource to advisors bringing their own, unique investment vehicles to market, including mutual funds, exchange-traded funds, funds on insurance platforms, and more. As a full-service firm, Gemini provides the administration, accounting, and transfer agent/shareholder services that advisors need in order to launch and market successful products. With more than 30 years of experience, Gemini brings industry knowledge and insight to help advisors achieve the vision of their product and deliver the most extensive range of solutions to clients. Huntington Asset Services, Inc. 37 West Broad Street HP0600 Columbus, OH 43215 614-480-3943 Email: jeffrey.young@huntington.com Website: http://www.huntingtonassetservices.com Contact: Jeffrey Young, Senior Vice President, Business Development Huntington provides organization, conversion, and ongoing support for mutual funds, collective trust funds, and other pooled investment vehicles using industry-leading systems. Spanning financial, tax, legal, and compliance administration, our attorneys, paralegals, and operations teams: »»Pay fund expenses »»Monitor portfolio compliance »»Prepare budgets »»Prepare regulatory filings (prospectuses, supplements, financials, tax returns) »»Analyze securities transactions »»Produce and distribute board materials »»Provide appropriate fund officers Servicing funds for more than 50 years, our solutions include: »»Administration »»Legal and Compliance »»Fund Accounting »»Transfer Agency »»Distribution 100 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION FUND ACCOUNTING Interactive Data Pricing and Reference Data LLC J.P. Morgan 100 Church Street New York, NY 10019 212-771-6565 Fax: 212-497-3100 Email: info@interactivedata.com Website: http://www.interactivedata.com 383 Madison Avenue 11th Floor New York, NY 10179 212-834-4526 Fax: 212-622-3514 Email: john.durso@jpmorgan.com Website: http://www.jpmorgan.com/investorservices Contact: Liz Abela, Vice President, Interactive Data Interactive Data is a proven industry leader, providing major financial institutions and corporations worldwide with timely, high-quality independent evaluated prices to support their mission-critical operations. The company delivers daily evaluations representing approximately 100 countries and 30 different currencies for 2.8 million financial instruments. Thousands of financial institutions worldwide, ranging from central banks to large investment banks to hedge funds, subscribe to Interactive Data’s daily evaluated pricing. Interactive Data has more than 2,500 employees in offices worldwide. Pricing, evaluations, and reference data are provided in the United States through Interactive Data Pricing and Reference Data LLC and internationally through Interactive Data (Europe) Ltd. and Interactive Data (Australia) Pty Ltd. Contact: John Durso, Managing Director J.P. Morgan is a leading provider of accounting and administration services worldwide, servicing 18,500 accounts representing $7.2 trillion assets. Our global accounting system is designed to support a variety of investment vehicles in the marketplace, including mutual funds, commingled vehicles, multi-manager funds, ETFs, fund of funds, and multi-currency funds. We leverage our worldwide expertise for the benefit of our clients and utilize a single global accounting system to deliver consistent reporting across regions, broad product knowledge, and pass-the-book capabilities for funds requiring service in multiple locations. J.P. Morgan continues to reinvest in our products and services to deliver innovative products to our clients. Northern Trust Jackson Fund Services 225 West Wacker Drive Suite 1200 Chicago, IL 60606 312-338-5801 Fax: 312-730-9757 Email: mark.nerud@jackson.com Contact: Mark D. Nerud, President and CEO Jackson Fund Services (JFS), a division of Jackson National Asset Management, LLC and a subsidiary of Jackson National Life Insurance Company, offers a full range of mutual fund and variable annuity sub-account services, including: »»Fund Accounting »»Fund Administration »»Regulatory Administration and Compliance »»Transfer Agent and Shareholder Services JFS services 179 funds with approximately $171.1 billion in assets covering virtually all asset classes. Because of our unique size and structure, we have the resources to meet your growing needs while also providing the customized solutions, individual attention, and access to key personnel that you would expect from a business partner. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 50 South LaSalle Street Chicago, IL 60603 312-444-5655 Fax: 312-557-1846 Email: mb147@ntrs.com Website: http://northerntrust.com/fundservices Contact: Michael Blake, Senior Vice President Northern Trust is a top-tier provider of Global Fund Services, including fund accounting, fund administration, transfer agency, custody, and financial reporting services to our global fund clients. With offices located in Chicago, Dublin, Limerick, London, and Luxembourg, Northern Trust services a wide variety of fund structures and investment objectives, including registered mutual funds, collective investment funds, trust funds, offshore funds, partnerships, and hedge funds. We deliver our fund services via a single global platform. Our capabilities are built on the experience and expertise of our established Global Fund Services division, which offers global clients a strong competitive advantage. 101 FUND ACCOUNTING Nottingham State Street 116 South Franklin Street Rocky Mount, NC 27804 800-525-3863 252-972-9922, x206 Fax: 252-442-4226 Email: inforequest@ncfunds.com Website: http://www.ncfunds.com One Lincoln Street Boston, MA 02111 617-664-6676 Fax: 617-664-7733 Email: peter.thurmond@statestreet.com Website: http://www.statestreet.com Contact: Kate Honey, Executive Vice President Nottingham is a full-service fund administration firm providing turnkey organizational and operational services for mutual funds, hedge funds, and fund-of-funds. We also offer unitized accounting and customized reporting solutions to foundations, endowments, and government budgets and investment pools. Our comprehensive fund services include: »»Structure consultation and organization »»Legal administration »»Fund accounting »»Distribution »»Shareholder servicing »»Transfer agency services Contact: Peter L. Thurmond, Senior Vice President State Street’s fully integrated multicurrency Global Horizon® accounting, custody, and financial reporting system offers full accrual, trade date, and tax lot accounting, with multiple methods for costing sales. Fund assets and records are serviced in a single system environment, providing real-time processing in local time zones and consistent reporting whether you trade in one or multiple countries and currencies. Trade information can be entered electronically from your current system. Global Horizon® monitors and reports transactions, holdings, and income in both local and user-selected base currencies. With the largest pool of pricing professionals in the world, we have extensive pricing ability and expertise. Ultimus Fund Solutions, LLC Nottingham’s hands-on, personable services are best suited for new or existing funds seeking a highly responsive administration partner that shepherds the organization process and provides superior day-to-day service to both advisors and shareholders. 225 Pictoria Drive Suite 450 Cincinnati, OH 45246 513-587-3400 Email: bdorsey@ultimusfundsolutions.com Website: http://www.ultimusfundsolutions.com SEI Contact: Bob Dorsey, Managing Director 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: ManagerServices@seic.com Website: http://www.seic.com/IMS Ultimus provides comprehensive mutual fund services to new and existing, open- and closed-end fund groups. We operate as a professional services firm staffed with attorneys, accountants, paralegals, operations specialists, and shareholder service representatives. Contact: John Alshefski, Senior Vice President and Managing Director Our team of Passionate Professionals provides services, including fund organization and compliance, fund administration and distribution, fund accounting and pricing, transfer agent, and shareholder services, along with middle-office services, to produce Remarkable Results for our fund clients. SEI provides industry-leading outsourcing services for investment managers worldwide. SEI’s solution offers an integrated, openarchitecture operating platform that brings together innovative components tailored for your specific accounting requirements. Our clients have relied on SEI during the shifting regulatory landscape to deliver best practices, innovative technology, and customized reporting in a highly automated environment. Since 1999, our senior management team of seasoned veterans, combined with industry-leading technology and operational best practices, delivers customized, Smart Solutions suited to each fund’s business requirements. Our sophisticated services enable investment managers of all sizes and points in their lifecycles to streamline their business, minimize distractions, and sharpen business strategies by remaining focused on their competitive advantages and core competencies. SEI is committed to growing with our clients and delivering worldclass solutions. 102 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION FUND ACCOUNTING UMB Fund Services U.S. Bancorp Fund Services, LLC 235 West Galena Street Milwaukee, WI 53212 888-844-3350 Email: umbfs@umb.com Website: http://www.umbfs.com 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: bob.kern@usbank.com Website: http://www.usbfs.com Contact: Tony Fischer, President We take ownership of the day-to-day operational details for a wide variety of fund structures, including mutual funds, common and collective trusts, registered and unregistered hedge funds— from calculating NAVs and cash availability, to preparing financial statements for shareholders and regulators, to transmitting NAVs to the media and reporting agencies, to reviewing corporate actions and preparing detailed financial reports for the advisor. Our fund accountants use up-to-date, integrated technology to deliver accurate, consistent, and timely information. Our highly skilled staff and exceptional service are tailored to overcome the challenges of an ever-changing regulatory environment of complex rules and product offerings. Contact: Bob Kern, Director of Business Development Our knowledgeable highly tenured Fund Accounting group is enhanced by our dedication to implementing Lean Six Sigma principles through tools and methods to increase efficiency. Our services include: »»Timely calculation and dissemination of daily NAVs »»Production of a daily general ledger and a trial balance »»A high level of controls and review over all accounting and pricing procedures »»Reconcilement of daily cash activity with custodian »»Accounting for all portfolio trade activity via a variety of trading formats »»Accounting for income, expense, and shareholder activities, including multi-class »»Corporate actions processing »»Multi-vendor access to security valuations »»Coordination with the transfer agent and outstanding share positions All of US serving you. See our ad on the inside front cover. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 103 Fund Compliance and Administrative Services AST Fund Solutions, LLC Atlantic Fund Services 1200 Wall Street West 3rd Floor Lyndhurst, NJ 07071 201-806-7300 Fax: 201-460-0050 Email: info@astfundsolutions.com Website: http://www.astfundsolutions.com 3 Canal Plaza Portland, ME 04101 207-347-2016 Email: jessica.chase@atlanticfundservices.com Website: http://www.atlanticfundservices.com Contact: Paul Torre, Executive Vice President AST Fund Solutions, LLC is the premier provider of proxy solicitation and shareholder communication services for the mutual fund, business development company (BDC), and master limited partnership (MLP) industries in North America. Our team of experts offers a comprehensive suite of services for open-end and closed-end funds, BDCs, and MLPs. Services include: »»Mutual fund, closed-end, BDC, and MLP proxy solicitation services »»Regulatory mailing services »»Strategic advisory services for closed-end funds, BDCs, and MLPs »»CEFinsight.com™ »»Closed-end fund, BDC, and MLP transfer agent solutions »»Closed-end fund, BDC, and MLP administration services Contact: Jessica Chase, Senior Vice President, Business Development Atlantic provides comprehensive solutions for converting, launching, and operating mutual funds, registered and unregistered hedge funds, and other pooled investment vehicles. We offer: »»Consultative product design, conversion, and fund start-up management »»Expert fund administration and compliance support, including best practices and cost management strategies »»Advanced fund accounting that supports accurate and timely NAV calculations and reporting »»Leading transfer agency services that provide clients, intermediaries, and shareholders with focused expertise and real-time data Since our founding as Forum Financial Group in 1986, we have provided innovative fund services and solutions that emphasize quality, responsiveness, and compliance. American Stock Transfer & Trust Company (AST) and its affiliates are leading providers of registry services to financial markets around the world. For more information, call 201-806-7300, email newbusiness@amstock.com, or visit www.amstock.com. See our ad on page 45. 104 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION FUND COMPLIANCE AND ADMINISTRATIVE SERVICES BNY Mellon DST 225 Liberty Street New York, NY 10281-1008 800-579-1459 Email: assetservicingmarketing@bnymellon.com Website: http://www.bnymellon.com 1055 Broadway Kansas City, MO 64105 646-417-3120 Email: rlholloway@dstsystems.com Website: http://www.dstsystems.com Contact: Marina Lewin, Global Head of Sales Contact: Robyn Holloway, Vice President, Sales BNY Mellon offers a comprehensive range of 1940 Act administrative services, further enhancing our position as one of the leading service providers to the mutual fund industry. Dedicated industry professionals help guide clients through the maze of rules and regulations governing mutual funds. Using leading-edge technologies, we provide financial, compliance, and management reporting services. Let us demonstrate BNY Mellon’s unique ability to offer comprehensive and customized administrative services to support your success in the highly regulated mutual fund environment. Asset management companies are integrating alternative investments into traditional investment strategies as they seek improved returns and diversification. See our ad on page 9. Brown Brothers Harriman & Co. 50 Post Office Square Boston, MA 02110 617-772-1673 Email: michael.saunders@bbh.com Website: https://www.bbh.com/wps/portal/expertise/ investorservices/productscapabilities/ investmentaccountingadministration Contact: Michael A. Saunders, Managing Director Brown Brothers Harriman (BBH), with more than $1.5 trillion in global accounting and administration assets (as of June 30, 2014), provides a comprehensive suite of compliance and administrative funds services. We offer numerous modules, including fund accounting, financial reporting, assistant treasurer’s support, tax support, performance measurement and analytics, and legal, regulatory, and corporate secretarial support, as well as an automated compliance monitoring system. With more than 35 years of experience in fund administration services, BBH has proven its flexible and modular approach to managing its clients’ complex products. For more information about BBH’s differentiated approach, please visit www.bbh.com. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION DST supports a full range of alternative products, including: »»Closed-end interval funds »»Listed and non-listed REITs »»Business development corporations »»Managed futures »»Retail alternative products Our service models can be tailored to fit specific operational needs. We can help: »»Manage operational costs »»Simplify infrastructure demands »»Support interfaces to engage broker-dealers »»Enhance the overall value of your alternative investment brand Companies in the financial services market have long depended on DST’s industry experience, technological expertise, and service excellence to help them simplify how they respond to changing business conditions and customer requirements. This remains true in a world that is quickly embracing new forms of alternative investment products. 105 FUND COMPLIANCE AND ADMINISTRATIVE SERVICES Envision Financial Systems, Inc. Jackson Fund Services 18101 Von Karman Avenue Suite 1420 Irvine, CA 92612 714-247-0030, x114 949-579-9195 Email: brian.jones@enfs.com Website: http://www.enfs.com 225 West Wacker Drive Suite 1200 Chicago, IL 60606 312-338-5801 Email: mark.nerud@jackson.com Contact: Brian Jones, Executive Vice President Envision provides independent compliance solutions for SEC Rule 22c-2. Clarity Compliance is a web-based trade monitoring service that analyzes omnibus and sub-account trading activity for Rule 22c-2 compliance with fund trading policies. Clarity uses configurable parameter-driven business rules to allow customers to optimize trade monitoring efficiencies. With Clarity Compliance, you are able to use targeted analytical tools to assist in making policy decisions, monitoring trading activity for patterns, frequency, and materiality. The Clarity team manages all aspects of the data acquisition process for NSCC and non-NSCC intermediaries, ensuring 100 percent of your data is received and analyzed. Contact: Mark D. Nerud, President and CEO Jackson Fund Services (JFS), a division of Jackson National Asset Management, LLC and a subsidiary of Jackson National Life Insurance Company, offers a full range of mutual fund and variable annuity sub-account services, including: »»Fund Accounting »»Fund Administration »»Regulatory Administration and Compliance »»Transfer Agent and Shareholder Services JFS services 179 funds with approximately $171.1 billion in assets covering virtually all asset classes. Because of our unique size and structure, we have the resources to meet your growing needs while also providing the customized solutions, individual attention, and access to key personnel that you would expect from a business partner. Gemini Fund Services, LLC 80 Arkay Drive Suite 110 Hauppauge, NY 11788 855-891-0092 Email: eddie.lund@geminifund.com Website: http://www.geminifund.com Contact: Eddie Lund, Vice President Business Development Gemini Fund Services, LLC provides comprehensive, pooled investment solutions as an engaged partner to independent advisors. Gemini serves as a resource to advisors bringing their own, unique investment vehicles to market, including mutual funds, exchange-traded funds, funds on insurance platforms, and more. As a full-service firm, Gemini provides the administration, accounting, and transfer agent/shareholder services that advisors need in order to launch and market successful products. With more than 30 years of experience, Gemini brings industry knowledge and insight to help advisors achieve the vision of their product and deliver the most extensive range of solutions to clients. 106 J.P. Morgan 383 Madison Avenue 11th Floor New York, NY 10179 212-834-4526 212-622-3514 Email: john.durso@jpmorgan.com Website: http://www.jpmorgan.com/investorservices Contact: John Durso, Managing Director J.P. Morgan offers complete compliance and administration solutions, supporting a wide array of investment vehicles and fund structures. The breadth of our product offering is supported by cutting-edge technologies integrated onto one common operating platform. Our tools are flexible to be customized to meet unique client requirements and support all industry requirements. J.P. Morgan is one of the largest providers of compliance services, with more than 8,500 accounts worldwide, representing more than 275 clients. We deliver a comprehensive suite of products to investment managers, corporate and public pensions, endowments and foundations, corporations, insurers, and central banks. J.P. Morgan continues to reinvest in our products and services to deliver innovative products to our clients. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION FUND COMPLIANCE AND ADMINISTRATIVE SERVICES SEI Ultimus Fund Solutions, LLC 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: ManagerServices@seic.com Website: http://www.seic.com/ims 225 Pictoria Drive Suite 450 Cincinnati, OH 45246 513-587-3400 Email: bdorsey@ultimusfundsolutions.com Website: http://www.ultimusfundsolutions.com Contact: John Alshefski, Senior Vice President and Managing Director SEI offers a comprehensive range of administrative services, including financial reporting, fund expense budgeting/forecasting, board material preparation, regulatory filings, and tax services. SEI applies operating services, technologies, and business/ regulatory knowledge to each client’s business objectives. Our services have been designed to take into account the SarbanesOxley Act requirements. In addition to our compliance support services, SEI offers clients access to our ComplianceAdvantage Program, which provides CCOs with timely interpretation of new and pending regulations; identification of emerging industry best practices; tailored, clientspecific guidance and consultation; and monitoring tools to assist them with all aspects of their own compliance programs. State Street One Lincoln Street Boston, MA 02111 617-664-6676 617-664-7733 Email: peter.thurmond@statestreet.com Website: http://www.statestreet.com Contact: Bob Dorsey, Managing Director Ultimus provides comprehensive mutual fund services to new and existing, open- and closed-end fund groups. We operate as a professional services firm staffed with attorneys, accountants, paralegals, operations specialists, and shareholder service representatives. Our team of Passionate Professionals provides services, including fund organization and compliance, fund administration and distribution, fund accounting and pricing, transfer agent, and shareholder services, along with middle-office services, to produce Remarkable Results for our fund clients. Since 1999, our senior management team of seasoned veterans, combined with industry-leading technology and operational best practices, delivers customized Smart Solutions suited to each fund’s business requirements. UMB Fund Services 235 West Galena Street Milwaukee, WI 53212 888-844-3350 Email: umbfs@umb.com Website: http://www.umbfs.com Contact: Peter L. Thurmond, Senior Vice President Contact: Tony Fischer, President As the leading mutual fund service provider, we understand that it is more important than ever to manage risk and receive maximum value for your fund’s shareholders. State Street has developed a comprehensive compliance program, Compliance 38, designed to address the needs of the mutual fund client’s CCO. In addition, State Street’s administration services include treasurer’s office support, financial and tax reporting, compliance monitoring, Blue Sky compliance, Board reporting and legal corporate governance services, and the preparation of SEC filings. Our experienced administration team comprising tax, legal, treasury, and securities law professionals will design a flexible and tailored servicing approach to take you anywhere in the world and into whatever new product structure your business needs. We take a strong, multi-layered approach to addressing your fund compliance and administrative service needs. Our in-house attorneys, Blue Sky specialists, CCO support, and tax professionals have extensive ’40 Act, SEC filing, and FINRA compliance experience. Rigorous quality-control standards help ensure accuracy and timeliness. Services include: »»Dedicated compliance manager to support your CCO »»SEC, IRS, and portfolio compliance monitoring »»Budgeting and expense analyses »»Annual and SEC audit coordination »»Distribution calculation and tax return preparation assistance »»Board meeting coordination, including preparing materials, reports, minutes »»Rule 38a-1 compliance support services »»Filing all required financial and regulatory reports »»Blue Sky compliance monitoring THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 107 FUND COMPLIANCE AND ADMINISTRATIVE SERVICES U.S. Bancorp Fund Services, LLC Vigilant Compliance, LLC 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: bob.kern@usbank.com Website: http://www.usbfs.com Brandywine Two 5 Christy Drive Suite 208 Chadds Ford, PA 19317 610-558-1750 Email: sfaia@vigilantllc.com Website: http://www.vigilantllc.com Contact: Bob Kern, Director of Business Development Contact: Salvatore Faia, JD, CPA, CFE, President We utilize a consultative approach to guide the effective launch and management of our clients’ fund products. Our technology systems are integrated with our data warehouse, enabling administrators to provide a consistent, high-quality view of client investment data. We perform comprehensive administration services, compliance reviews, and testing based on our clients’ guidelines and requirements mandated by the SEC, the Internal Revenue Service, and Fund prospectus. Our services include: Vigilant Compliance is a full-service compliance firm. Compliance is your license to do business. Vigilant connects you to the information you need to know, so you can turn your mind to more important matters. Offering compliance services, including: »»Fund board services »»Financial reporting »»Fund budgets and expenses »»Fund compliance services »»Legal administration »»Blue Sky compliance monitoring All of US serving you. See our ad on the inside front cover. 108 »»CCO for Funds »»CCO for Advisers »»CCO for Private Equity Advisers »»CCO for Private Equity Funds »»SEC Audit Trial Runs »»SEC Rule 206(4)-7 Reviews and Reports »»SEC Rule 38 a-1 Reviews and Reports »»Compliance Policy Updates and Reviews »»Consulting for Funds and Advisers »»Fund Management Services See our ad on page 39. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Fund Legal Administration and Regulatory Compliance ALPS, a DST Company Atlantic Fund Services 1290 Broadway Suite 1100 Denver, CO 80203 303-623-2577 Fax: 303-623-7850 Email: lisa.mougin@alpsinc.com Website: http://www.alpsinc.com 3 Canal Plaza Portland, ME 04101 207-347-2016 Email: jessica.chase@atlanticfundservices.com Website: http://www.atlanticfundservices.com Contact: Lisa B. Mougin, Senior Vice President, Director of Sales and Client Relationship Management Clients experience a seamless extension of their workforce with ALPS. Our service packages include compliance, creative solutions, distribution, fund accounting, administration, legal, marketing, shareholder servicing, tax, and transfer agency services to openend, closed-end, exchange-traded, and alternative investment funds. We also offer a ‘series trust’ option for launching new open-end funds, as well as exchange-traded funds and closed-end interval funds. ALPS’ dedication to the success of our clients was reflected in the results of the 2012, 2013, and 2014 Global Custodian Mutual Fund Administration surveys, where our results show that we are the #1 Global Service Provider and received Roll of Honor status in three categories. See our ad on the inside back cover. Contact: Jessica Chase, Senior Vice President, Business Development Atlantic provides comprehensive solutions for converting, launching, and operating mutual funds, registered and unregistered hedge funds, and other pooled investment vehicles. We offer: »»Consultative product design, conversion, and fund start-up management »»Expert fund administration and compliance support, including best practices and cost management strategies »»Advanced fund accounting that supports accurate and timely NAV calculations and reporting »»Leading transfer agency services that provide clients, intermediaries, and shareholders with focused expertise and real-time data Since our founding as Forum Financial Group in 1986, we have provided innovative fund services and solutions that emphasize quality, responsiveness, and compliance. Brown Brothers Harriman & Co. 50 Post Office Square Boston, MA 02110 617-772-1673 Email: michael.saunders@bbh.com Website: https://www.bbh.com/wps/portal/expertise/ investorservices/productscapabilities/ investmentaccountingadministration Contact: Michael A. Saunders, Managing Director Brown Brothers Harriman (BBH) offers extensive regulatory compliance and legal administrative expertise as part of its comprehensive suite of global investment administration services. These services include corporate secretarial services, up-to-date information of regulatory changes, direct access to BBH’s team of experienced regulatory staff, and electronic board books. BBH’s compliance reporting system receives automated monitoring reports, has a highly developed audit trail and data integrity controls, and provides extensive reporting facilities. For more information about BBH’s differentiated approach, please visit www.bbh.com. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 109 FUND LEGAL ADMINISTRATION AND REGULATORY COMPLIANCE Gemini Fund Services, LLC J.P. Morgan 80 Arkay Drive Suite 110 Hauppauge, NY 11788 855-891-0092 Email: eddie.lund@geminifund.com Website: http://www.geminifund.com 383 Madison Avenue 11th Floor New York, NY 10179 212-834-4526 Fax: 212-622-3514 Email: john.durso@jpmorgan.com Website: http://www.jpmorgan.com/investorservices Contact: Eddie Lund, Vice President, Business Development Gemini Fund Services, LLC provides comprehensive, pooled investment solutions as an engaged partner to independent advisors. Gemini serves as a resource to advisors bringing their own, unique investment vehicles to market, including mutual funds, exchange-traded funds, funds on insurance platforms, and more. As a full-service firm, Gemini provides the administration, accounting, and transfer agent/shareholder services that advisors need in order to launch and market successful products. With more than 30 years of experience, Gemini brings industry knowledge and insight to help advisors achieve the vision of their product and deliver the most extensive range of solutions to clients. Jackson Fund Services 225 West Wacker Drive Suite 1200 Chicago, IL 60606 312-338-5801 Fax: 312-730-9757 Email: mark.nerud@jackson.com Contact: Mark D. Nerud, President and CEO Jackson Fund Services (JFS), a division of Jackson National Asset Management, LLC and a subsidiary of Jackson National Life Insurance Company, offers a full range of mutual fund and variable annuity sub-account services, including: »»Fund Accounting »»Fund Administration »»Regulatory Administration and Compliance »»Transfer Agent and Shareholder Services JFS services 179 funds with approximately $171.1 billion in assets covering virtually all asset classes. Because of our unique size and structure, we have the resources to meet your growing needs while also providing the customized solutions, individual attention, and access to key personnel that you would expect from a business partner. 110 Contact: John Durso, Managing Director J.P. Morgan’s Regulatory Services team provides full-service corporate governance and regulatory filing support to a wide array of investment vehicles and fund structures, including open-end and closed-end funds, exchange-traded products, commingled funds, and partnerships. Services include preparation of regulatory filings and board and committee meeting support, including preparation and dissemination of materials and meeting attendance and minuting. The attorneys and support staff within the Regulatory Services team work closely with our clients to customize the service offering to fit their specific needs, business, and preferences while supporting all industry and regulatory requirements. Northern Trust 50 South LaSalle Street Chicago, IL 60603 312-444-5655 Fax: 312-557-1846 Email: mb147@ntrs.com Website: http://northerntrust.com/fundservices Contact: Michael Blake, Senior Vice President With more than 30 years of fund administration experience, Northern Trust is a leading provider of asset services to investment managers. Our fund administration products include fund accounting, financial reporting, regulatory administration, tax, performance, treasury, and budgeting and compliance support. Northern Trust uses leading technology solutions to offer posttrade compliance monitoring solutions for multiple fund structures in multiple jurisdictions, including Chicago, Dublin, Limerick, London, and Luxembourg. In addition, Northern Trust has dedicated professionals to assist in regulatory compliance matters, including Rule 38a-1 support for Chief Compliance Officers. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION FUND LEGAL ADMINISTRATION AND REGULATORY COMPLIANCE SEI Ultimus Fund Solutions, LLC 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: ManagerServices@seic.com Website: http://www.seic.com/IMS 225 Pictoria Drive Suite 450 Cincinnati, OH 45246 513-587-3400 Email: bdorsey@ultimusfundsolutions.com Website: http://www.ultimusfundsolutions.com Contact: John Alshefski, Senior Vice President and Managing Director, Investment Manager Services SEI offers a comprehensive range of administrative services, including financial reporting, fund expense budgeting/forecasting, board material preparation, regulatory filings, and tax services. SEI applies operating services, technologies, and business/ regulatory knowledge to each client’s business objectives. Our services have been designed to take into account the SarbanesOxley Act requirements. In addition to our compliance support services, SEI offers clients access to our ComplianceAdvantage Program, which provides CCOs with timely interpretation of new and pending regulations; identification of emerging industry best practices; tailored, clientspecific guidance and consultation; and monitoring tools to assist them with all aspects of their own compliance programs. State Street 100 Huntington Avenue Boston, MA 02116 617-662-3968 Email: jatedesco@statestreet.com Website: http://www.statestreet.com Contact: Julie Tedesco, Senior Vice President and Senior Managing Counsel State Street’s comprehensive corporate and regulatory services available to mutual funds include SEC filings and public disclosure assistance, board meeting services, start-up organizational support (including exemptive applications and SEC interface, as needed), consultation services, and business planning. State Street takes a partnership approach to every client relationship and staffs each with a dedicated team of experienced attorneys and paralegals. As part of its full-service fund administration capabilities, State Street’s dedicated legal administration teams work closely with clients, fund chief compliance officers, and fund counsel to communicate new and revised legal and regulatory requirements, recommend follow-up actions as needed, and develop an appropriate approach for compliance. State Street provides legal administration services to retail and institutional funds, variable products, master-feeder funds, funds of registered hedge funds, business development companies, funds of funds, and exchange-traded funds listed on multiple exchanges. Contact: Bob Dorsey, Managing Director Ultimus provides comprehensive mutual fund services to new and existing, open- and closed-end fund groups. We operate as a professional services firm staffed with attorneys, accountants, paralegals, operations specialists, and shareholder service representatives. Our team of Passionate Professionals provides services, including fund organization and compliance, fund administration and distribution, fund accounting and pricing, transfer agent, and shareholder services, along with middle office services, to produce Remarkable Results for our fund clients. Since 1999, our senior management team of seasoned veterans, combined with industry-leading technology and operational best practices, delivers customized Smart Solutions suited to each fund’s business requirements. UMB Fund Services 235 West Galena Street Milwaukee, WI 53212 888-844-3350 Email: umbfs@umb.com Website: http://www.umbfs.com Contact: Tony Fischer, President We take a strong, multi-layered approach to addressing your fund compliance and administrative service needs. Our in-house attorneys, Blue Sky specialists, CCO support, and tax professionals have extensive ’40 Act, SEC filing, and FINRA compliance experience. Rigorous quality-control standards help ensure accuracy and timeliness. Services include: »»Dedicated compliance manager to support your CCO »»SEC, IRS, and portfolio compliance monitoring »»Budgeting and expense analyses »»Annual and SEC audit coordination »»Distribution calculation and tax return preparation assistance »»Board meeting coordination, including preparing materials, reports, minutes »»Rule 38a-1 compliance support services »»Filing all required financial and regulatory reports »»Blue Sky compliance monitoring THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 111 FUND LEGAL ADMINISTRATION AND REGULATORY COMPLIANCE U.S. Bancorp Fund Services, LLC 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: bob.kern@usbank.com Website: http://www.usbfs.com Contact: Bob Kern, Director of Business Development Our attorneys support registered and unregistered pooled products, including funds with multiple series, multiple share classes, masterfeeder structures, variable annuities, exchange-traded funds, and funds-of-funds. We guide our clients and their legal counsel through fund regulatory and legal requirements, including: »»Organizing and drafting fund registration statements »»Preparing mutual fund policies and procedures »»Drafting and reviewing a variety of contracts, including agreements between mutual funds, their service providers, and investment advisers »»Preparing and executing SEC filings, including applications for exemptive relief »»Preparing organizational and quarterly board materials »»Preparing board meeting minutes All of US serving you. See our ad on the inside front cover. 112 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION GIPS Verification and Performance Measurement Kreischer Miller 100 Witmer Road Horsham, PA 19044 215-441-4600 Email: tpeters@kmco.com Website: http://www.kmco.com Contact: Thomas A. Peters, Director, Audit and Accounting Kreischer Miller is an accounting, tax, and business advisory firm that has been serving clients since 1975. Our experienced professionals proactively identify and solve problems, and reduce risk by addressing issues before they are caught by regulators. We also offer ideas on ways to operate more efficiently and provide insight into how other firms handle issues. Kreischer Miller’s Investment Industry Group provides the following services for investment managers, funds, broker-dealers, and investors: »»GIPS compliance »»Operational due diligence »»Compliance and consulting »»Financial statement audits »»Tax strategies To learn more, contact Tom Peters or Todd Crouthamel at 215441-4600 or visit www.kmiig.com. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 113 Global Custodian Brown Brothers Harriman & Co. State Street 50 Post Office Square Boston, MA 02110 617-772-1673 Email: michael.saunders@bbh.com Website: http://www.bbh.com/wps/portal/ expertise/investorservices/ productscapabilities/globalcustody One Lincoln Street Boston, MA 02111 617-664-6676 Fax: 617-664-7733 Email: peter.thurmond@statestreet.com Website: http://www.statestreet.com Contact: Michael A. Saunders, Managing Director Brown Brothers Harriman (BBH) is a global leader in asset servicing, enabling the world’s most sophisticated asset managers and financial institutions to help achieve their business growth objectives. With $4.5 trillion in distinct assets under custody and administration (as of June 30, 2014), and operating from 17 locations worldwide, BBH provides specialist services to enhance our clients’ competitive edge in nearly 100 markets, which include custody, accounting, investment administration, securities lending, foreign exchange, and brokerage services. BBH’s proven expertise is consistently top-rated in global industry surveys and publications. For more information about BBH’s differentiated approach, please visit www.bbh.com. 114 Contact: Peter L. Thurmond, Senior Vice President As the leader in serving sophisticated investors worldwide, State Street has the depth and experience to provide responsive, competitive custody, settlement, and cash management services. Global Horizon®, our fully integrated, real-time multicurrency platform, is designed with a flexible modular structure to meet continuously changing regulatory and client requirements. We function 24 hours/seven days a week to provide clients with realtime information and support worldwide. We facilitate electronic trade notification and settlement, corporate action, and income processing in more than 100 markets. We actively manage our subcustodian network to provide superior service to clients. Global cash activity and projections allow clients to efficiently manage cash worldwide. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Hedge Fund Administration and Private Equity Fund Services ALPS, a DST Company Northern Trust 1290 Broadway Suite 1100 Denver, CO 80203 303-623-2577 303-623-7850 Email: lisa.mougin@alpsinc.com Website: http://www.alpsinc.com 50 South LaSalle Street Chicago, IL 60603 312-444-5655 Fax: 312-557-1846 Email: mb147@ntrs.com Website: http://www.northerntrust.com/fundservices Contact: Lisa B. Mougin, Senior Vice President, Director of Sales and Client Relationship Management Clients experience a seamless extension of their workforce with ALPS. Our service packages include compliance, creative solutions, distribution, fund accounting, administration, legal, marketing, shareholder servicing, tax, and transfer agency services to openend, closed-end, exchange-traded, and alternative investment funds. We also offer a ‘series trust’ option for launching new open-end funds, as well as exchange-traded funds and closed-end interval funds. ALPS’ dedication to the success of our clients was reflected in the results of the 2012, 2013, and 2014 Global Custodian Mutual Fund Administration surveys, where our results show that we are the #1 Global Service Provider and received Roll of Honor status in three categories. Contact: Michael Blake, Senior Vice President Northern Trust is a leading provider of administration and outsourcing services for the alternative investment industry. Supporting multiple fund structures and asset classes across jurisdictions worldwide, Northern Trust provides innovative, effective, and scalable solutions through expert teams coupled with market-leading technology. Access wide-ranging administration and middle-office solutions though a full-service, front-to-back operating model that can support any asset or strategy with unparalleled flexibility in data management and reporting. Northern Trust additionally provides regulatory support in a highly controlled and risk managementfocused environment. Come to Northern Trust to receive tailored services, global scale, and superior service built around you. See our ad on the inside back cover. BNP Paribas 51 West 52nd Street 36th Floor New York, NY 10019 212-471-8041 Email: lance.wargo@us.bnpparibas.com Website: http://securities.bnpparibas.com Contact: Lance Wargo, Head of Securities Lending, North America BNP Paribas is a leading global provider of securities services that delivers integrated solutions to all participants in the investment cycle, including the buy-side, sell-side, corporates, and issuers. Backed by the strength of the BNP Paribas Group (rated AA- by Standard and Poor’s), Securities Services is a leading global custodian with a local presence in 34 countries across five continents, effecting global coverage of more than 100 markets. It partners with clients to help overcome complexity, while offering a one-stop shop for all asset classes, both onshore and offshore, around the world. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 115 HEDGE FUND ADMINISTRATION AND PRIVATE EQUITY FUND SERVICES SEI UMB Fund Services 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: ManagerServices@seic.com Website: http://www.seic.com/ims 2225 Washington Boulevard Suite 300 Ogden, UT 84401 801-737-4000 Email: umbfs@umb.com Website: http://www.umbfs.com Contact: John Alshefski, Senior Vice President and Managing Director, Investment Manager Services SEI offers world-class outsourcing services for hedge fund and private equity managers who desire daily portfolio processing and reporting capabilities, including independent valuation, trade capture, reconciliation, and portfolio analytics, in addition to investor servicing, middle-office services, fund administration, and fund accounting. SEI’s operating environment incorporates automation and controls, operational risk reporting, and workflow technology to help managers meet the growing demand for transparency, risk mitigation, and daily reporting being placed on them by their institutional clients. Our expertise and innovative technologies enable us to support the specific needs of hedge funds, fundsof-funds, private equity funds, managed account structures, and registered investment products. Contact: Tony Fischer, President UMB Fund Services is ready to serve your needs. We provide complete alternative investment services for: »»Domestic partnerships »»Master-feeder funds »»Funds of funds—registered/unregistered »»Offshore funds »»Private equity Services include: »»Product formation assistance »»Fund administration »»Portfolio accounting »»Investor accounting and reporting »»Tax preparation and reporting »»Custody »»Registered fund regulatory administration »»Board support »»Regulatory filings »»Compliance testing »»RIC-qualified tax services We combine expertise, high-touch service, leading-edge technology, and the stability of a highly capitalized parent that’s been around for 100+ years. 116 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Hedge Fund Services Confluence DST 600 River Avenue Pittsburgh, PA 15212 412-697-4306 Email: jtesla@confluence.com Website: http://www.confluence.com/en-us/solutions/ product.php?Unity-NXT-Form-PF-Reporting-12 1055 Broadway Kansas City, MO 64105 646-417-3120 Email: rlholloway@dstsystems.com Website: http://www.dstsystems.com/ alternatives Contact: Joan Tesla, Vice President of Marketing Communications Contact: Robyn Holloway, Vice President, Sales Confluence has been solving challenging data integration and data reporting problems for the alternative investment industry for more than a decade. As the leading provider of Form PF and AIFMD reporting solutions, our experience and the technology provide a cost-effective response to the complexity of the AIFMD Transparency Reporting and Form PF regulatory requirements. Our technology-enabled Unity NXT™ AIFMD Transparency Reporting and Unity NXT™ Form PF Reporting solutions ensure completeness, accuracy, and control over the entire reporting process. We enable disparate departments to share, complete, and review each answer, each section, and the entire filing with a full audit trail. Asset management companies are integrating alternative investment strategies to move beyond traditional investments as they seek improved returns and diversification. DST supports a full range of alternative products, including: »»Closed-end interval funds »»Listed and non-listed REITs »»Business Development Corporations »»Managed Futures »»Retail alternative products Our service models can be tailored to fit specific operational needs. We can help: »»Manage operational costs »»Simplify infrastructure demands »»Increase opportunities to engage with your customers »»Support the overall value of your alternative investment brand Companies in the financial services market have long depended on DST’s industry experience, technological expertise, and service excellence to help them simplify how they respond to changing business conditions and customer requirements. This remains true in a world that is quickly embracing new forms of alternative investment products. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 117 HEDGE FUND SERVICES Foreside Financial Group Nottingham Three Canal Plaza Suite 100 Portland, ME 04101 207-553-7110 207-553-7142 Email: dwhitaker@foreside.com Website: http://www.foreside.com 116 South Franklin Street Rocky Mount, NC 27804 800-525-3863 252-972-9922, x206 Fax: 252-442-4226 Email: inforequest@ncfunds.com Website: http://www.ncfunds.com Contact: David M. Whitaker, President Contact: Kate Honey, Executive Vice President Foreside delivers a suite of distribution and regulatory compliance services to clients in the investment management industry. We serve sponsors of open-end, closed-end, exchange-traded, and alternative investment products, including commodity pools. Our solutions allow clients to focus on asset management without sacrificing distribution and compliance best practices. Nottingham is a full-service fund administration firm providing turnkey organizational and operational services for mutual funds, hedge funds, and fund-of-funds. We also offer unitized accounting and customized reporting solutions to foundations, endowments, and government budgets and investment pools. »»Medallion and Active Distribution »»Registered Representative Licensing and Compliance »»Sales and Advertising Review »»Exchange-Traded Product Services »»Private Placement Services »»Hedge Fund Compliance »»Fund and Adviser CCO Services »»Treasurer Services »»AML Officer Services »»Compliance and Distribution Consulting »»NFA Member Services Gemini Hedge Fund Services, LLC 80 Arkay Drive Hauppauge, NY 11788 888-499-1153 Email: david.young@geminihedge.com Website: http://www.geminihedge.com Contact: David Young, President Gemini Hedge Fund Services, LLC (Gemini Hedge) provides comprehensive fund administration services to hedge funds and a consultative approach to help bring pooled products to market. Gemini Hedge offers extensive experience to fund managers, investment advisors, trading managers, banks, and other fund intermediaries through a fully customizable solution. As a hedge fund administrator designed from start to finish to provide optimum services, Gemini Hedge enables managers to meet the requirements of investors and regulatory bodies. Gemini Hedge offers both depth and breadth of services ranging from middle/ back office duties to comprehensive financial reporting and all aspects of investor services. 118 Our comprehensive fund services include: »»Structure consultation and organization »»Legal administration »»Fund accounting »»Distribution »»Shareholder servicing »»Transfer agency services Nottingham’s hands-on, personable services are best suited for new or existing funds seeking a highly responsive administration partner that shepherds the organization process and provides superior day-to-day service to both advisors and shareholders. SEI 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: ManagerServices@seic.com Website: http://www.seic.com/IMS Contact: John Alshefski, Senior Vice President and Managing Director SEI offers comprehensive alternative investment administration, accounting, investor servicing, trustee, and custody services. We service key domiciles, including the United States, Ireland, the Cayman Islands, the British Virgin Islands, and the Bahamas. We have the expertise to support the specific needs of hedge funds, funds of hedge funds, private equity funds, and registered alternative investment products. Our team has extensive conversion expertise and integrates solutions for the most complex and sophisticated investment platforms in the industry. Our level of experience helps us support the products of today as well as the innovations of tomorrow. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION HEDGE FUND SERVICES UMB Fund Services U.S. Bancorp Fund Services, LLC 2225 Washington Boulevard Suite 300 Ogden, UT 84401 801-737-4000 Email: umbfs@umb.com Website: http://www.umbfs.com 777 East Wisconsin Avenue Milwaukee, WI 53202 414-765-5678 800-300-3863 Fax: 866-624-7095 Email: bob.kern@usbank.com Website: http://www.usbfs.com Contact: Tony Fischer, President UMB Fund Services is ready to serve your needs. We provide complete alternative investment services for: »»Domestic partnerships »»Master-feeder funds »»Funds of funds—registered/unregistered »»Offshore funds »»Private equity Services include: »»Product formation assistance »»Fund administration »»Portfolio accounting »»Investor accounting and reporting »»Tax preparation and reporting »»Custody »»Registered fund regulatory administration »»Board support »»Regulatory filings »»Compliance testing »»RIC-qualified tax services Contact: Bob Kern, Director of Business Development Our support services are designed to meet the unique needs of complex products, and our extensive network provides clients the resources and support they need to focus on investment management and portfolio performance. Our alternative investments expertise includes the product design and servicing of the spectrum of alternative investments, including hedge funds, funds of funds, limited partnerships, offshore funds, private equity funds, and separately managed accounts. We offer a full range of services for funds: »»Custody services »»Distribution support »»Fund administration »»Onshore and offshore investor services »»Middle-office »»Registered office and corporate secretarial services »»Portfolio and fund accounting »»Tax support »»Technology »»Treasury services All of US serving you. See our ad on the inside front cover. We combine expertise, high-touch service, leading-edge technology, and the stability of a highly capitalized parent that’s been around for 100+ years. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 119 HEDGE FUND SERVICES Vigilant Compliance, LLC Brandywine Two 5 Christy Drive Suite 208 Chadds Ford, PA 19317 610-558-1750 Email: sfaia@vigilantllc.com Website: http://www.vigilantllc.com Contact: Salvatore Faia, JD, CPA, CFE, President Vigilant Compliance is a full-service compliance firm. Compliance is your license to do business. Vigilant connects you to the information you need to know, so you can turn your mind to more important matters. Offering compliance services, including: »»CCO for Funds »»CCO for Advisers »»CCO for Private Equity Advisers »»CCO for Private Equity Funds »»SEC Audit Trial Runs »»SEC Rule 206(4)-7 Reviews and Reports »»SEC Rule 38 a-1 Reviews and Reports »»Compliance Policy Updates and Reviews »»Consulting for Funds and Advisers »»Fund Management Services See our ad on page 39. 120 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Imaging Atlantic Fund Services DST 3 Canal Plaza Portland, ME 04101 207-347-2016 Email: jessica.chase@atlanticfundservices.com Website: http://www.atlanticfundservices.com 330 West Ninth Street Kansas City, MO 64105 888-DST-INFO Fax: 816-843-8197 Email: awdinfo@dsttechnologies.com Website: http://www.dstsystems.com Contact: Jessica Chase, Senior Vice President, Business Development Atlantic provides comprehensive solutions for converting, launching, and operating mutual funds, registered and unregistered hedge funds, and other pooled investment vehicles. We offer: »»Consultative product design, conversion, and fund start-up management »»Expert fund administration and compliance support, including best practices and cost management strategies »»Advanced fund accounting that supports accurate and timely NAV calculations and reporting »»Leading transfer agency services that provide clients, intermediaries, and shareholders with focused expertise and real-time data Since our founding as Forum Financial Group in 1986, we have provided innovative fund services and solutions that emphasize quality, responsiveness, and compliance. Contact: John Vaughn, Vice President AWD®, DST’s Business Process Management Solution, aligns people, systems, and departments to deliver the ultimate customer and work experience. AWD provides all of the different work and engagement experiences in one integrated platform. We provide the ability to help your customers achieve important life goals: to save, protect, and grow their assets; maintain a healthy lifestyle; enjoy the fruits of their labors; and gain peace of mind. With our combination of process expertise, industry knowledge, and enabling technology, we partner with clients to: »»Enhance customer experience »»Increase efficiency »»Adapt to regulatory changes »»Improve visibility into operation With AWD, you’ll benefit from these important capabilities: »»Capture—Capture content from a variety of sources, including social media streams, scanners, faxes, emails, office documents, and EDI data »»Content—Store and retrieve supporting information needed to execute work—including documents, PDFs, photos, images, and unstructured rich media such as video »»Role-based user interfaces—Deliver dynamic user interfaces designed for optimal productivity based on each associate’s role »»Design—Easily build processes and manage change without an IT cycle orchestration—Improve interactions within your company and with customers by orchestrating people, systems, and data »»Monitoring—Provides real time and historical analytics into your work and people, allowing you to turn knowledge into action »»Communications—Allows organizations to create personalized, multi-channel output communications for their customers AWD is used extensively worldwide in highly regulated industries (asset management, brokerage, retirement, insurance, and healthcare) where human-centric processes are critical for running efficient and intelligent business operations and providing superior customer service experiences. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 121 Independent Director and Trustee Information Services Strategic Insight 805 Third Avenue 21st Floor New York, NY 10022 212-217-6938 Email: aburke@sionline.com Website: http://www.sionline.com Contact: Allana Burke, Business Development Associate Strategic Insight (SI), an Asset International company, is a leading research and consulting firm with more than 25 years of experience providing trusted, competitive research and business intelligence to the mutual fund industry. SI’s Board Services supports management and board of directors’ compliance and due diligence efforts by combining data, perspective, focus, and studies, resulting in unmatched insight and analytics. Strategic Insight is uniquely structured for this service, as its analysts benefit from extensive knowledge of the fund industry, a decade of in-depth fee research, comprehensive fee databases, and monitoring of all SEC filings (www.simfundfiling. com). Services include 15(c) advisory contract renewal reports, on-demand fee research, fee and expense benchmarking, and fact-based research studies on related topics. Examples of Custom Fee Analysis: »»Contractual Management Fee Breakpoint Analysis »»Category Fee/Expense Benchmarking »»Subadvisory Fee Benchmarking »»Fund Administration Fees and Structures »»Transfer Agent Fees and Structures »»Board Compensation and Structures »»Adviser Profitability »»Performance Adjustment Fees »»Small Account Fees Asset International is a privately held provider of information and technology to global pension funds, asset managers, financial advisers, banking service providers, and other financial institutions in the private and public sector. Its industry-leading brands include Strategic Insight, SIMFUND, Plan For Life, Investor Economics, PLANSPONSOR, PLANADVISER, Chief Investment Officer, Global Custodian, and The Trade. The company has offices in New York City, Hong Kong, London, Melbourne, Toronto, Boston, and Stamford. 122 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Independent Director and Trustee Representation Roy W. Adams Blank Rome LLP 370 Park Street Suite 2 Moraga, CA 94556 925-631-0222 925-330-8610 Fax: 815-301-3414 Email: rwadams@pacbell.net Website: http://www.roywadams.com The Chrysler Building 405 Lexington Avenue New York, NY 10174 212-885-5239 Fax: 212-885-5001 Email: twestle@blankrome.com Website: http://www.blankrome.com Contact: Roy Adams, Attorney Former national law firm partner Roy Adams has provided personalized, reasonably priced legal services to the investment management industry for more than 20 years as: »»Independent legal counsel to mutual and closed-end fund independent directors/trustees, proactively advising them on: »»Regulatory and fiduciary responsibilities, including under the Investment Company Act of 1940 and federal securities and state laws »»Investment adviser issues, including advisory contracts and fees »»Special regulatory issues that rely on independence »»Conflicts of interest Contact: Thomas R. Westle, Partner Blank Rome’s investment management practice includes representation of open-end and closed-end investment companies, business development companies, independent boards of directors/trustees, investment advisers, private investment funds, hedge funds and venture capital funds, and underwriters with respect to securities offerings by closed-end investment companies and business development companies. The firm’s representation includes preparation of registration statements, private offering materials, proxy statements, stock exchange listing applications, adviser registrations, merger and acquisition matters, regulatory compliance matters, applications for exemptive orders, requests for no-action letters, and tax and ERISA matters. Blank Rome provides advice with respect to the organization and structure of investment companies, private investment funds, and investment advisers and assists clients in developing innovative investment products. »»Oversight of fund compliance with securities laws »»An expert witness in litigation and as SEC-approved independent consultant regarding regulatory enforcement matters Carlton Fields Jorden Burt 1025 Thomas Jefferson Street, NW Suite 400E Washington, DC 20007-5208 202-965-8127 Fax: 202-965-8104 Email: rchoi@cfjblaw.com Website: http://www.cfjblaw.com Contact: Richard Choi, Shareholder Carlton Fields Jorden Burt represents registered mutual funds, independent directors and trustees, private investment companies, investment advisers, broker-dealers, and life insurance companies. Mutual funds that serve as funding vehicles for variable annuities and life insurance products are a special area of focus. With extensive experience in formation, operational, compliance, and distribution matters, Carlton Fields Jorden Burt attorneys also represent clients in litigation and arbitration matters and have served as expert witnesses in litigation and as SECapproved independent consultants in connection with regulatory enforcement matters. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 123 INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION Davis Graham & Stubbs LLP Drinker Biddle & Reath LLP 1550 17th Street Suite 500 Denver, CO 80202 303-892-9400 Fax: 303-893-1379 Email: assetmanagement@dgslaw.com Website: http://www.dgslaw.com One Logan Square Suite 2000 Philadelphia, PA 19103-6996 215-988-2700 Email: Joshua.Deringer@dbr.com Website: http://www.drinkerbiddle.com Contact: Peter H. Schwartz, Partner Davis Graham & Stubbs has the most active asset management practice in the Rocky Mountains, providing a full range of corporate, securities, tax, litigation, and employee benefits advice to investment companies, investment advisors, independent directors, banks, and trust companies. We also have extensive formation experience with hedge funds, mutual funds, venture capital, private equity funds, and other investment vehicles. Davis Polk & Wardell, LLP 450 Lexington Avenue New York, NY 10017 212-450-4684 Fax: 212-701-5684 Email: nora.jordan@davispolk.com Website: http://www.davispolk.com Contact: Nora M. Jordan, Partner Davis Polk’s Investment Management Group represents mutual funds, closed-end funds, unit investment trusts, business development companies, private funds, and their advisers, sponsors, underwriters, and directors. Among the types of matters on which we regularly work are the design and initial offering of innovative new products, filings with regulatory agencies, internal compliance programs, applications for exemptions and no-action letters, and advice to boards of funds concerning their oversight responsibilities for fund compliance with the Investment Company Act and other regulatory regimes. Our broad experience includes, in addition to traditional mutual funds, advising on registered funds that invest in hedge funds and exchange-traded funds. We were also a pioneer in the development of unit investment trusts. Contact: Joshua B. Deringer, Partner and Chair of Investment Management Group Drinker Biddle’s investment management lawyers thrive on helping onshore and offshore clients with strategic thinking and innovative solutions to legal issues. We represent: »»Independent directors/trustees »»Investment companies »»Investment advisers »»Exchange-traded funds »»Hedge funds (registered and unregistered) »»Commodities advisers and pools »»Private equity funds »»Broker-dealers »»Banks and trust companies »»Insurance companies Our services include: »»Independent director/trustee representation »»Registration, operation, and reorganization of investment companies (including ETFs) »»Alternative products and derivatives »»Variable annuity and insurance products »»ERISA, tax, and fiduciary services »»Mutual fund litigation »»Governmental investigations and proceedings »»Regulatory compliance We provide practical and creative solutions, responsive service, and value. See our ad on page 88. 124 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION Goodwin Procter LLP 901 New York Avenue, NW Washington, DC 20001 202-346-4515 Email: rkurucza@goodwinprocter.com Website: http://www.goodwinprocter.com Contact: Robert M. Kurucza, Partner and Co-Chair, Financial Institutions Group Exchange Place 53 State Street Boston, MA 02109 617-570-1000 Email: pnewman@goodwinprocter.com Website: http://www.goodwinprocter.com Contact: Philip H. Newman, Partner and Chair, Investment Management Practice With more than 40 years of experience representing mutual funds, independent directors, banks, investment advisers, insurance companies, broker-dealers, and other fund service providers, Goodwin Procter is recognized as one of the nation’s leading law firms in the investment management industry. We are renowned for our work on some of the most complex deals in the marketplace, including public and private acquisitions and financing transactions, and multi-faceted internal reorganizations, as well as for defending high stakes regulatory investigations and mutual fund class action litigations. We are consistently ranked by Chambers for our leading investment management attorneys, with clients pointing to our “vast experience, depth of knowledge, and very good judgment as being [our] main strengths,” and recognized for how we deliver value by being “proactive and business-minded.” See our ad on this page. GOOD CHOICE Financial services companies count on us for proactive legal counsel and practical advice. We provide innovative solutions to complex challenges, helping clients structure corporate transactions and meet regulatory requirements. When time is short and industry depth matters, Goodwin Procter brings a wealth of experience. Bank-Maintained Funds Class Action Litigation Defense Cross-Border Offerings Hedge Funds Insurance Product Funds Mutual Funds Offshore Funds Open and Closed-End Funds Regulatory Compliance Regulatory Investigations Representation of Independent Directors Retail Advisory Products To find out more about Goodwin Procter, visit us at www.goodwinprocter.com Boston | Hong Kong | London | Los Angeles | New York San Francisco | Silicon Valley | Washington DC THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 125 INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION K&L Gates LLP McCarter & English Austin, TX BNY Mellon Center 1735 Market Street Suite 700 Philadelphia, PA 19103 215-979-3840 267-761-2073 Email: lcorsell@mccarter.com Website: http://www.mccarter.com Beijing Berlin Boston, MA Chicago, IL Dubai Fort Worth, TX Contact: Laura Anne Corsell, Partner Sydney McCarter’s investment management attorneys counsel registered investment companies and alternative vehicles, including private equity, hedge, and venture capital funds, with respect to all aspects of federal and state securities regulation. Our expertise extends beyond these core areas, encompassing ERISA, insurance coverage, cybersecurity, service provider oversight, and outsourcing. We represent independent directors with respect to their responsibilities under the federal securities laws, supported by a litigation team that has successfully represented mutual funds and financial services companies in connection with advisory fees cases, market-timing investigations, and similar matters. Our attorneys have served as independent compliance consultants in connection with federal and state settlement orders, conducted compliance audits, and worked with clients on a full spectrum of transactional matters involving registered investment companies and their service providers, including fund formation and the design of innovative investment products, preparation of registration statements, mergers and acquisitions, proxy statements, applications for exemptive orders, and no-action letters. Taipei See our ad on page 129. Frankfurt Hong Kong London Los Angeles, CA Melbourne Milan New York, NY Pittsburgh, PA Raleigh, NC San Francisco, CA Seattle, WA Singapore Tokyo Washington, DC Website: http://www.klgates.com With an exceptional depth of knowledge and experience, the lawyers of K&L Gates are leading the way in supporting directors/ trustees and their funds in this challenging, evolving, and highly regulated industry. K&L Gates’ work for fund directors/trustees includes counseling on their duties under the Investment Company Act of 1940; investment adviser issues; advice on special regulatory issues that rely on independence; and representation in connection with SEC enforcement actions or civil litigation. For more information about our practice, including a full description of our services and biographies of our lawyers, please visit our website at www.klgates.com. 126 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION Morrison & Foerster Seward & Kissel LLP 250 West 55th Street 18th Floor New York, NY 10019-9601 212-468-8053 Email: jbaris@mofo.com Website: http://www.mofo.com 901 K Street, NW Washington, DC 20001 202-737-8833 Website: http://www.sewkis.com Contact: Jay G. Baris, Partner We deliver innovative, practical solutions to complex issues involving registered and un-registered funds and advisers, closed-end funds, business development companies, and exchange-traded products. MoFo advises U.S. and non-U.S. investment advisers regarding their registration, disclosure, and compliance obligations. We counsel all types of pooled investment vehicles, including private funds, commodity pools, venture capital, mezzanine, and infrastructure, and we proactively advise mutual fund independent directors on all aspects of their fiduciary responsibilities. Our investment management practice and attorneys are recognized by Chambers, The Legal 500, and the U.S. News Best Lawyers “Best Law Firms” guide. Nutter McClennen & Fish LLP 155 Seaport Boulevard Seaport West Boston, MA 02210 617-439-2194 Fax: 617-310-9194 Email: jhunt@nutter.com Website: http://www.nutter.com Contact: John Hunt, Partner and Chair of Hedge Funds, Mutual Funds and Other Investment Funds Group Nutter provides a broad range of legal services to hedge funds and other types of alternative investment funds, mutual funds (including money market funds), commodity pools, banksponsored funds such as bank collective investment funds, and their investment managers. We represent U.S. mutual funds and their independent directors as well as sponsors of U.S. and offshore hedge funds and other types of collective funds. We have advised clients with respect to all U.S. legal aspects of onshore and offshore private and offshore fund formation matters and all U.S. aspects of post-formation legal matters. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Contact: Kathleen K. Clarke Email: clarke@sewkis.com Contact: Paul M. Miller Email: millerp@sewkis.com Contact: Bibb L. Strench Email: strench@sewkis.com Contact: Anthony C.J. Nuland Email: nuland@sewkis.com We provide a full range of regulatory, corporate, ERISA, tax, capital markets, transactional, and litigation services for a large number and wide variety of investment companies, including registered open-end and closed-end funds, exchange-traded funds, hedge funds, private equity funds, and offshore funds. We work with clients in the areas of formation and registration, compliance with federal and state regulation, domestic and international investing, mergers and acquisitions, compliance audits, investigations, and enforcement action. We act as counsel to the independent directors of registered investment companies and advise public and private investment advisers, underwriters, custodians, transfer agents, administrators, and other service providers to registered and unregistered investment companies. See our ad on page 137. Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 215-564-8115 215-564-8000 Email: bleto@stradley.com Website: http://www.stradley.com Contact: Bruce Leto, Partner Counseling clients since 1928, Stradley Ronon’s Investment Management Group serves as independent legal counsel to investment company independent directors/trustees, along with its representation of retail and institutional investment companies marketing shares through every distribution channel. We maintain one of the premier investment management practices in the nation, representing investment company clients with more than 1,000 separate funds and assets under management exceeding $2 trillion. We also counsel investment advisers, hedge fund sponsors, managers, administrators, and underwriters/ distributors, and act as special counsel to other law firms with regard to complex issues arising under the Investment Company Act of 1940. 127 INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION Stroock & Stroock & Lavan LLP Sutherland Asbill & Brennan LLP 180 Maiden Lane New York, NY 10038 212-806-6049 Fax: 212-806-6006 Email: scoleman@stroock.com Website: http://www.stroock.com 700 Sixth Street, NW Suite 700 Washington, DC 20001 202-383-0100 Email: steve.roth@sutherland.com Website: http://www.sutherland.com Contact: Stuart H. Coleman, Co-Managing Partner Contact: Stephen E. Roth, Partner With our representation of nearly 800 investment companies—or their independent board members—with nearly $1 trillion in assets under management (approximately 7 percent of U.S. investment company assets), and some of the nation’s best known investment advisers and industry service providers, our investment management practice is one of the most active in the country. Over the last 50 years, our services have included assistance with the formation and management of hundreds of mutual funds (including variable insurance and annuity products), closed-end funds, exchange-traded funds (ETFs), hedge funds, private equity funds and other pooled investment vehicles, as well as nontraditional structures such as business development companies, manager-of-managers funds, registered funds of hedge funds, and other alternative investment products. Sutherland Asbill & Brennan LLP has a comprehensive investment management practice. Our clients include open- and closed-end funds, business development companies (BDCs), unit investment trusts (UITs), exchange-traded funds (ETFs), 529 plans, and funds underlying insurance products. We also represent private investment funds and clients that distribute investment funds, including broker-dealers, banks, and insurance companies, and investment advisers who manage these funds. Sutherland advises clients on all aspects of capital formation, corporate governance, compliance, tax, ERISA, and litigation matters. Founded in 1924, the firm has offices in Washington, DC; New York; Atlanta; London; Geneva; Houston; Austin; and Sacramento. In particular, our practice representing independent board members of registered funds is one of the most active and diverse in the country. We provide legal advice to independent board members of almost every type of registered fund (including those that are part of the largest fund complexes in the industry), including mutual funds, closed-end funds, ETFs, manager-of-manager funds, and alternative and specialty funds (e.g., registered funds of hedge funds, privately placed registered funds, and master-feeder funds), as well as business development companies. Our diverse client base provides us with the operational insight to provide sound, practical, and efficient legal services to all of our clients, and our experience has put us at the center of new products and regulatory developments affecting our clients. In addition to providing ongoing advice to independent board members concerning their regulatory and oversight obligations, our work also includes special representations in connection with SEC enforcement actions and civil litigations. 128 See our ad on page 91. Thompson Hine LLP 312 Walnut Street 14th Floor Cincinnati, OH 45202-4089 513-352-6546 Email: don.mendelsohn@thompsonhine.com Website: http://www.thompsonhine.com Contact: Donald S. Mendelsohn, Partner Thompson Hine investment management lawyers provide outstanding legal services and a wealth of experience to a wide range of clients, including investment companies and advisers, broker-dealers, domestic and offshore hedge funds, fund service providers, and independent directors and trustees. We offer innovative solutions for entering the industry, developing new products and services, expanding business through strategic planning and acquisition, keeping abreast of regulatory and industry developments, and interacting with regulators. A topranked national business law firm, Thompson Hine has offices in Atlanta, Cincinnati, Cleveland, Columbus, Dayton, New York, and Washington, DC. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION INDEPENDENT DIRECTOR AND TRUSTEE REPRESENTATION Vedder Price P.C. 222 North LaSalle Street Chicago, IL 60601 312-609-7500 Fax: 312-609-5005 Email: dsturms@vedderprice.com Website: http://www.vedderprice.com/ investment-services-client-services Contact: David A. Sturms, Shareholder and Chair, Investment Services Group Vedder Price offers one of the nation’s premier legal practices focused on counseling independent directors/trustees. Our attorneys work closely with independent directors of mutual funds, closed-end funds, and ETFs, counseling them on their duties under the law and providing advice on insurance, indemnification, and other matters of particular interest to independent directors. Our clients include independent directors serving a wide range of funds, from start-ups to multibilliondollar fund families. In addition to board-related counseling, we represent independent directors in litigation, government enforcement, and investigations. See our ad on page 131. McCARTER & ENGLISH, LLP • IndependentDirectors • MutualFunds • AlternativeInvestments • InvestmentAdvisersandBroker-Dealers • PrivateEquity,HedgeandVenture CapitalFunds Laura Anne Corsell | Philadelphia | 215.979.3840 Daniel A. Pollack | New York | 212.609.6900 Theodore M. Grannatt | Boston | 617.449.6599 www.mccarter.com BOSTON EAST BRUNSWICK HARTFORD NEW YORK NEWARK PHILADELPHIA STAMFORD WASHINGTON, DC WILMINGTON THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 129 Information Technology Advisory DST 111 South Calvert Street Suite 1500 Baltimore, MD 21202 443-957-2070 Email: jmusgrove@finixps.com Website: http://www.dstsystems.com Contact: Jeff Musgrove, President of Finix Professional Services Broker-dealers are constantly looking for ways to operate more efficiently, lower costs, reduce risks, and improve client service capabilities. DST provides innovative technology, business process solutions, and strategic consulting for broker-dealers. Our expertise and solutions support a virtual operating platform. We offer comprehensive professional services, including strategy, management, IT, and operations consulting. We also offer an integrated application suite for investment advisors and mutual fund subaccounting services. DST delivers industry experience, technological expertise, and service excellence to help our clients process, communicate, and safeguard the critical information their customers need to manage life’s most important business. 130 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Proactive, Business-Oriented Counsel with a Focus on Efficiency and Value Vedder Price represents a diverse investment management clientele that includes investment management firms, mutual funds, closed-end funds, ETFs and their boards of directors and trustees. Our nationally recognized Investment Services attorneys advise investment advisers, funds and independent directors/trustees on the diverse issues they face, including: • Organization and registration of new funds • Exemptive applications and no-action requests • Fund governance • Regulatory and compliance issues • SEC examinations and investigations • Contract matters, including those relating to advisory, custody, brokerage and transfer agency services What can we do for you? For More Information David A. Sturms, Chair Investment Services Group +1 (312) 609 7589 dsturms@vedderprice.com www.vedderprice.com/isg Chicago • New York • Washington, DC • London • San Francisco • Los Angeles Vedder Price P.C. is affiliated with Vedder Price LLP, which operates in England and Wales, and with Vedder Price (CA), LLP, which operates in California. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 131 Insurance and Insurance Services Crystal & Company ICI Mutual Insurance Brokers, Inc. 32 Old Slip New York, NY 10005 212-504-5919 800-221-5830 Email: sandy.crystal@crystalco.com Website: http://www.crystalco.com 1401 H Street, NW Suite 1000 Washington, DC 20005-2148 800-334-2462 Fax: 202-682-2425 Email: davis@icimutual.com Website: http://www.icimutual.com Contact: Sanford F. Crystal, Executive Vice President Crystal & Company is the nation’s leading insurance brokerage firm specializing in the needs of the investment management community. Representing several hundred mutual fund groups, investment advisors, and hedge funds, we have extensive experience in addressing the complex insurance needs of our clients. What separates us from other brokerage firms is our ability to develop and manuscript coverage for our clients’ specific needs and exposures, and to provide them with policies that are most creative and cost-efficient. As the alternative in insurance brokerage, Crystal & Company provides industry-leading insurance services, value-added solutions, and results to our clients. Contact: Briana Davis, Lead Broker ICI Mutual Insurance Brokers, Inc. is a wholly owned subsidiary of ICI Mutual Insurance Company, the captive insurer for the mutual fund industry that is sponsored by the Investment Company Institute. Brokers place insurance coverages for investment advisers, brokerdealers, transfer agents, and other participants in the investment management industry that are members or associate members of the Institute. Products include: »»Investment Advisers (Non-Mutual Fund) Insurance Products »»ERISA Fidelity Bonds »»FINRA Securities Dealer Blanket Bonds and Financial Institution Bonds »»State Surety Bonds »»Lost Instrument Bonds »»Mail Insurance »»Transfer Agent Coverages »»Worker Compensation »»Other Specialized Coverages ICI Mutual Insurance Brokers, Inc. is dedicated exclusively to servicing the investment management industry. 132 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION INSURANCE AND INSURANCE SERVICES Liftman Insurance, Inc. Starkweather & Shepley Insurance 101 Federal Street Boston, MA 02110-1827 617-439-9595 x1 Email: mark@liftman.com Website: http://www.liftman.com 400 Blue Hill Drive Suite 188 Westwood, MA 02090-2161 781-234-0080 Fax: 401-431-9359 Email: afotopulos@starshep.com Website: http://www.starshepfi.com Contact: Mark Liftman, President Liftman Insurance specializes in insurance for the investment industry. The experienced professionals at Liftman Insurance provide clients with superior service and knowledge. We offer the following insurance coverage at competitive premiums: »»Advisors Errors and Omissions Liability »»Mutual Fund Errors and Omissions Liability »»Securities Brokers Professional Liability »»Hedge Fund Liability »»ERISA Bonds »»Directors and Officers Liability »»State Surety Bonds »»Fiduciary Liability »»Computer Fraud »»STAMP/SEMP Surety Bonds »»Employment Practices Liability »»Lost Securities Bonds »»Fidelity and Pension Trust Bonds »»Mutual Fund Independent Directors/Trustees Liability »»Securities Dealers Fidelity Bonds »»Data Security and Privacy Liability »»Cyber Fraud Liability THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Contact: Andrew J. Fotopulos, President 400 Blue Hill Drive Suite 188 Westwood, MA 02090-2161 781-320-9693 Fax: 401-431-9682 Email: djacavone@starshep.com Contact: David Jacavone, Account Executive Starkweather & Shepley’s Investment Industry Practice Group focuses on providing specialized risk coverage designed for insuring financial institutions and personnel, including investment advisers, investment management consultants, mutual fund groups, hedge/private investment funds, and securities broker/ dealers. Ranked by Business Insurance magazine as the 69th largest insurance brokerage in the world, Starkweather & Shepley has offered insurance solutions since 1879. Our Investment Industry Practice Group offers specialty coverages, including errors and omissions, directors and officers liability, ERISA bonds, employment practices liability, fidelity bonds, and cyber liability insurance. 133 Intermediary Compensation Management and Oversight Boston Financial Data Services, Inc. Delta Data Software 2000 Crown Colony Drive Quincy, MA 02169 888-772-2337 816-843-8192 Email: jrmock@bfdsmidwest.com Website: http://www.bostonfinancial.com/fia 700 Brookstone Centre Parkway Suite 500 Columbus, GA 31904 617-834-2898 Fax: 508-497-0786 Email: bchoi@deltadatasoft.com Website: http://www.deltadatasoft.com Contact: Jim Mock, Vice President, Sales With the Financial Intermediary Administration (FIATM ) suite of services, you’re better positioned to understand and monitor your intermediary activity. FIA combines on-line tools and technologies, leading to greater transparency—saving you time and resources. The result is a comprehensive and cost-effective way to better manage the relationships and oversight of your intermediaries. FIA includes: »»FIRMport™: Enables proactive relationship monitoring and event management through alerts, data analytics, and reporting »»Payment Administration: Automates and simplifies your invoice validation, mitigating risk and streamlining your environment Contact: BJ Choi, Senior Vice President, Sales and Marketing Delivering Value through Relationships, Talent, and Technology Delta Data is focused on solving complex challenges in the financial services industry. We have a 30-year legacy of delivering expertise and proven software solutions and services that provide competitive advantages to our clients. We drive profitability by anticipating and solving compliance mandates, mitigating risk and improving processing efficiencies, and facilitating a higher level of customer service. APERIOsuite—industry’s only sell-side solution for management of data associated with mutual funds and other pooled investment products Revenue Manager—more than 13 years at leading sell-side firms delivering control over every aspect of mutual fund revenue sharing and distribution fee processing Fee Manager— buy-side solution for management of distribution expenses related to assets held in omnibus accounts and providing control of payments to distribution partners FUNDLinx—industry’s leading enterprise mutual fund processing solution with a client base responsible for more than $1 trillion in fund assets DART: Data Analysis, Reporting and Transparency—industry’s only solution for mutual fund companies and buy-side counterparts to meet the regulatory 22c-2 rule Deal Manager—data integration and analytic solution provides insight to your business that might otherwise require weeks to gather with existing toolsets 134 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Investment Accounting and Portfolio Management Systems Linedata Multifonds 260 Franklin Street Boston, MA 02210 617-912-4700 Email: getinfo@linedata.com Website: http://www.linedata.com 100 High Street 15th Floor Boston, MA 02110 646-660-5775 Email: lior.yogev@multifonds.com Website: http://www.multifonds.com Linedata Mfact is an innovative fund accounting solution with more than 20 years of experience working with some of the world’s leading financial institutions. It covers multi-jurisdictional, multiasset class investing with outstanding support and services. Linedata Mfact is designed to facilitate processing, with a full audit trail. It comes with an inclusive range of frequently updated compliance regulatory reports, including rules set forth by the U.S. Internal Revenue Service code and the Investment Company Act of 1940. Linedata Mfact can be integrated with other elements of the Linedata Back Office platform, including Linedata Mshare transfer agency software and Linedata Reporting. Milestone Group 225 Franklin Street 17th Floor Boston, MA 02110 617-986-0300 Email: geoff.hodge@milestonegroup.com.au Website: http://www.milestonegroup.com.au Contact: Geoff Hodge, Chief Executive Milestone Group is a global provider of investment technology solutions for fund oversight, fund processing, fund distribution, tax and accounting, and investment analytics. Milestone Group’s pControl solution supports multiple business functions and processes, integrating seamlessly with existing core technologies and servicing today’s complex inter-funded product structures and related business processes. pControl is a single application platform delivering best practice operational efficiency and control to investment managers, platforms, life companies, banks, and fund administrators. Clients can select standard or tailored solutions overcoming issues arising from limitations of existing core technologies, satellite systems, spreadsheets, and manual processes. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Contact: Lior Yogev, Manager, North America Multifonds is the leading investment software providing portfolio accounting, fund accounting, investor servicing, and transfer agency on a single platform. Multifonds combines the Investment Book of Records and Accounting Book of Records to support the complex middle-office investment operations of the world’s leading global custodians, administrators, insurance companies, and asset managers. Today more than $5 trillion of traditional and alternative assets are processed on Multifonds in more than 30 jurisdictions. Multifonds is a member of the FinTech 100 group of top global financial services software vendors, and has won industry awards from Waters Technology, Custody Risk, and Global Custodian. SEI 1 Freedom Valley Drive Oaks, PA 19456 610-676-1270 Email: ManagerServices@seic.com Website: http://www.seic.com/IMS Contact: John Alshefski, Senior Vice President and Managing Director Innovative technological solutions have been the backbone of SEI since it was founded in 1968, and technology continues to be the primary driver behind all of our service offerings. One of our competitive advantages is our investment in awardwinning, top-tier accounting systems. Our accounting systems are integrated with one another; this approach to technology means that we have an extremely flexible and scalable platform that is specialized for various investment strategies and products. SEI’s goal is to provide a collaborative platform to our clients with both operational expertise and technology that can integrate to meet the changing market. 135 Investment Banking Services Berkshire Capital Securities LLC 535 Madison Avenue 19th Floor New York, NY 10022 212-207-1000 Fax: 212-207-1019 Email: bcameron@berkcap.com Website: http://www.berkcap.com Contact: R. Bruce Cameron, President and CEO Berkshire Capital is an independent employee-owned investment bank specializing in M&A and valuations in the financial services sector. We are recognized as a leading expert in the wealth management, money management, alternatives, real estate, and broker/dealer industries. Headquartered in New York, we have partners located in San Francisco, Denver, Philadelphia, London, Sydney, and Frankfurt. Berkshire Capital has advised buyers and sellers, both foreign and domestic, on more than 290 completed transactions. These transactions have involved a transfer of more than $900 billion of assets under management with an aggregate value of more than $12.5 billion. Berkshire Capital has also completed more than 260 independent valuations/strategic advisory assignments. Member, FINRA / SIPC 136 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION SEWARD & KISSEL LLP WE BELIEVE IN PRACTICAL SOLUTIONS WE OFFER COST-EFFECTIVE LEGAL SERVICES WE DELIVER Seward & Kissel LLP, founded in 1890, is a leading U.S. law firm with an international reputation for excellence. We are regularly cited as one of the leading legal advisers to the financial services industry and are recognized both nationally and internationally for our work with investment funds. We have over 50 attorneys dedicated to providing services to our investment management clients. We represent a broad client base ranging from large investment company complexes to single funds. We have decades of experience in all areas of investment management, including: ■ ■ ■ ■ ■ ■ ■ ■ ■ Mutual Funds Closed-End Funds Offshore Funds Exchange-Traded Funds Funds of Funds Arrangements Fund Service Providers Master-Feeder Funds Reorganizations and Mergers 529 Plans ■ SEC Exemptive Orders and No-Action ■ ■ ■ ■ ■ ■ ■ Letters Hedge Funds and Private Equity Funds Alternative Investment Funds Investment Advisers Regulatory Compliance ERISA Tax SEC Staff Inspections and Enforcement Actions ****** For more information about our Investment Management Practice, please visit www.sewkis.com or contact one of the following members of our Investment Management Practice Group. Washington, DC Kathleen K. Clarke Paul M. Miller Anthony C.J. Nuland Bibb L. Strench (202) 737-8833 (202) 737-8833 (202) 737-8833 (202) 737-8833 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION New York Patricia A. Poglinco John E. Tavss Steve Nadel (212) 574-1247 (212) 574-1261 (212) 574-1231 137 Investment Software for Investment Companies Milestone Group 225 Franklin Street 17th Floor Boston, MA 02110 617-986-0300 Email: geoff.hodge@milestonegroup.com.au Website: http://www.milestonegroup.com.au Contact: Geoff Hodge, Chief Executive Milestone Group is a global provider of investment technology solutions for fund oversight, fund processing, fund distribution, tax and accounting, and investment analytics. Milestone Group’s pControl solution supports multiple business functions and processes, integrating seamlessly with existing core technologies and servicing today’s complex inter-funded product structures and related business processes. pControl is a single application platform delivering best practice operational efficiency and control to investment managers, platforms, life companies, banks, and fund administrators. Clients can select standard or tailored solutions overcoming issues arising from limitations of existing core technologies, satellite systems, spreadsheets, and manual processes. 138 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Legal Counsel Roy W. Adams Bingham McCutchen LLP 370 Park Street Suite 2 Moraga, CA 94556 925-631-0222 925-330-8610 Fax: 815-301-3414 Email: rwadams@pacbell.net Website: http://www.roywadams.com One Federal Street Boston, MA 02110-1726 617-951-8515 Email: leeanne.copenhefer@bingham.com Website: http://www.bingham.com Contact: Roy Adams, Attorney Former national law firm partner Roy Adams has provided personalized, reasonably priced legal services to the investment management industry for more than 20 years, including to: Investment companies and advisers, regarding fund: »»Organizations »»Registrations »»Operations »»Mergers and acquisitions »»Compliance and supervisory oversight procedures Mutual and closed-end fund independent directors/trustees, proactively advising them on all aspects of their regulatory and fiduciary responsibilities under the Investment Company Act of 1940 and federal securities and state laws. Clients, as an expert witness in litigation and as an SEC-approved independent consultant regarding regulatory enforcement matters. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION Contact: Lee Anne Copenhefer, Partner 2020 K Street NW Washington, DC 20006-1806 202-373-6725 Email: thomas.harman@bingham.com Contact: Thomas S. Harman, Partner One Federal Street Boston, MA 02110-1726 617-951-8247 Email: roger.joseph@bingham.com Contact: Roger Joseph, Partner 2020 K Street NW Washington, DC 20006-1806 202-373-6799 Email: john.mcguire@bingham.com Contact: W. John McGuire, Partner We represent investment management organizations of all sizes, including some of the largest asset management organizations in the world. We advise both U.S. and non-U.S. managers and funds and their independent directors or trustees, and work with managers of public mutual funds, institutional asset managers, and managers of private wealth. Clients include every type of commingled investment vehicles—both U.S. and offshore— ranging from registered mutual funds, ETFs, variable insurance products, collective investment trusts, and closed-end investment companies to venture capital, LBO, mezzanine, infrastructure and other private equity funds, hedge funds, and commodity pools. Bingham is a winner of the prestigious Chambers USA Award for Excellence (investment funds) category. 139 LEGAL COUNSEL Blank Rome LLP Davis Graham & Stubbs LLP The Chrysler Building 405 Lexington Avenue New York, NY 10174 212-885-5239 Fax: 212-885-5001 Email: twestle@blankrome.com Website: http://www.blankrome.com 1550 17th Street Suite 500 Denver, CO 80202 303-892-9400 Fax: 303-893-1379 Email: assetmanagement@dgslaw.com Website: http://www.dgslaw.com Contact: Thomas R. Westle, Partner Contact: Peter H. Schwartz, Partner Blank Rome’s investment management practice includes representation of open-end and closed-end investment companies, business development companies, independent boards of directors/trustees, investment advisers, private investment funds, hedge funds and venture capital funds, and underwriters with respect to securities offerings by closed-end investment companies and business development companies. The firm’s representation includes preparation of registration statements, private offering materials, proxy statements, stock exchange listing applications, adviser registrations, merger and acquisition matters, regulatory compliance matters, applications for exemptive orders, requests for no-action letters, and tax and ERISA matters. Blank Rome provides advice with respect to the organization and structure of investment companies, private investment funds, and investment advisers and assists clients in developing innovative investment products. Davis Graham & Stubbs has the most active asset management practice in the Rocky Mountains, providing a full range of corporate, securities, tax, litigation, and employee benefits advice to investment companies, investment advisors, independent directors, banks, and trust companies. We also have extensive formation experience with hedge funds, mutual funds, venture capital, private equity funds, and other investment vehicles. Chapman and Cutler, LLP 111 West Monroe Street Chicago, IL 60603 312-845-3781 Fax: 312-701-2361 Email: fess@chapman.com Contact: Eric Fess, Partner Specializes in all aspects of unit investment trusts, exchangetraded funds (ETFs) and open-end and closed-end investment companies as well as the representation of independent directors and trustees. Because of its national prominence in financing transactions, including municipal securities, Chapman and Cutler LLP provides advice to funds and their advisors and underwriters and represents funds in their purchase of privately placed securities. The firm is also involved in various transactions, including derivatives, fund mergers/reorganizations, fund borrowings and leverage, asset securitization, and defaulted securities workouts. 140 Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 212-450-4684 Fax: 212-701-5684 Email: nora.jordan@davispolk.com Website: http://www.davispolk.com Contact: Nora M. Jordan, Partner Davis Polk’s Investment Management Group represents mutual funds, closed-end funds, unit investment trusts, business development companies, private funds, and their advisers, sponsors, underwriters, and directors. Among the types of matters on which we regularly work are the design and initial offering of innovative new products, filings with regulatory agencies, internal compliance programs, applications for exemptions and no-action letters, and advice to boards of funds concerning their oversight responsibilities for fund compliance with the Investment Company Act and other regulatory regimes. Our broad experience includes, in addition to traditional mutual funds, advising on registered funds that invest in hedge funds and exchange-traded funds. We were also a pioneer in the development of unit investment trusts. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION LEGAL COUNSEL Debevoise & Plimpton LLP 555 13th Street, NW Washington, DC 20004 202-383-8050 Fax: 202-383-8118 Email: kjberman@debvoise.com Website: http://www.debevoise.com Contact: Kenneth J. Berman, Partner Debevoise & Plimpton LLP represents sponsors of U.S.-registered investment companies and their independent directors; sponsors of business development companies; a wide range of domestic and foreign investment advisers (including advisers affiliated with banks and insurance companies); and sponsors of and investors in domestic and foreign private equity, hedge, and other types of private investment funds. The firm has extensive experience in acquisitions and dispositions of investment advisers. Our practice also emphasizes internal reviews and compliance assessments, enforcement and litigation matters, and offerings of listed and unlisted investment products internationally. Dechert LLP One International Place 100 Oliver Street 40th Floor Boston, MA 02110-2605 617-728-7100 Fax: 617-426-6567 Email: joseph.fleming@dechert.com Website: http://www.dechert.com/financial_services Contact: Joseph Fleming, Partner One International Place 40th Floor 100 Oliver Street Boston, MA 02110-2605 617-728-7126 Email: geoffrey.kenyon@dechert.com Contact: Geoffrey Kenyon, Partner 1900 K Street, NW Washington, DC 20006-2401 202-261-3300 Fax: : 202-261-3333 Email: robert.helm@dechert.com Contact: Robert Helm, Partner 1900 K Street, NW Washington, DC 20006-2401 202-261-3300 Fax: 202-261-3333 Email: jack.murphy@dechert.com Fax: 212-698-3599 Email: jon.rand@dechert.com Contact: Jon Rand, Partner 1095 Avenue of the Americas New York, NY 10036-6797 212-698-3500 Fax: 212-698-3599 Email: stuart.strauss@dechert.com Contact: Stuart Strauss, Partner 2010 Main Street Suite 500 Irvine, CA 92614 949-442-6000 Fax: 949-442-6010 Email: kevin.cahill@dechert.com Contact: Kevin Cahill, Partner 2010 Main Street Suite 500 Irvine, CA 92614 949-442-6000 Fax: 949-442-6010 Email: robert.robertson@dechert.com Contact: Robert Robertson, Partner Dechert is a leading adviser to financial services firms, asset managers, and investment funds, representing clients ranging from small start-up and boutique operations to some of the largest fund complexes in the world. Our international team advises on regulatory and compliance matters, investigations by regulatory authorities, litigation, and the formation and management of open- and closed-end funds, insurance products, offshore funds, and hedge funds. We assist funds and their advisers in connection with fund organization and registration, and the development and implementation of compliance and supervisory oversight procedures. We provide advice regarding federal and state laws, rules, and interpretative positions that may impact funds and their investment advisers. We serve as transactional counsel and handle regulatory issues in mergers and acquisitions of financial services companies and funds. We also advise on complex derivatives matters. With approximately 180 financial services lawyers working throughout 18 offices firm-wide (Boston, Charlotte, Hartford, Irvine, Los Angeles, New York, Philadelphia, Washington, Dublin, Frankfurt, London, Luxembourg, Munich, Paris, Hong Kong, Dubai, and Singapore), Dechert is consistently recognized as a top law firm for investment funds by a number of U.S., European, and Asian publications. See our ad on page 143. Contact: Jack Murphy, Partner 1095 Avenue of the Americas New York, NY 10036-6797 212-698-3500 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 141 LEGAL COUNSEL Drinker Biddle & Reath LLP Foley & Lardner LLP One Logan Square Suite 2000 Philadelphia, PA 19103-6996 215-988-2700 Email: Joshua.Deringer@dbr.com Website: http://www.drinkerbiddle.com 777 East Wisconsin Avenue Milwaukee, WI 53202 414-271-2400 Fax: 414-297-4900 Email: pfetzer@foley.com Website: http://www.foley.com Contact: Joshua B. Deringer, Partner and Chair of Investment Management Group Contact: Peter Fetzer, Partner Drinker Biddle’s investment management lawyers thrive on helping onshore and offshore clients with strategic thinking and innovative solutions to legal issues. We represent: »»Investment companies »»Investment advisers »»Exchange-traded funds »»Hedge funds (registered and unregistered) »»Commodities advisers and pools »»Private equity funds »»Broker-dealers »»Banks and trust companies »»Insurance companies Our services include: »»Registration, operation, and reorganization of investment companies (including ETFs) »»Independent trustee representation »»Alternative products and derivatives »»Variable annuity and insurance products »»ERISA, tax, and fiduciary services »»Mutual fund litigation »»Governmental investigations and proceedings »»Regulatory compliance We provide practical and creative solutions, responsive service, and value. See our ad on page 88. Foley & Lardner LLP provides professional services throughout the entire process of the planning, organization, registration, and operation of investment companies, exchange-traded funds, broker-dealers, hedge funds, commodities advisers and pools, private equity funds, and investment advisers. We also advise and counsel the boards of directors of investment advisers (public and private), broker-dealers, and other service providers to investment companies. Goodwin Procter LLP 901 New York Avenue NW Washington, DC 20001 202-346-4515 Email: rkurucza@goodwinprocter.com Website: http://www.goodwinprocter.com Contact: Robert M. Kurucza, Partner and Co-Chair, Financial Institutions Group Exchange Place 53 State Street Boston, MA 02109 617-570-1000 Email: pnewman@goodwinprocter.com Contact: Philip H. Newman, Partner and Co-Chair, Financial Institutions Group With more than 40 years of experience representing mutual funds, independent directors, banks, investment advisers, insurance companies, broker dealers, and other fund service providers, Goodwin Procter is recognized as one of the nation’s leading law firms in the investment management industry. We are renowned for our work on some of the most complex deals in the marketplace, including public and private acquisitions and financing transactions, and multi-faceted internal reorganizations, as well as for defending high stakes regulatory investigations and mutual fund class action litigations. We are consistently ranked by Chambers for our leading investment management attorneys, with clients pointing to our “vast experience, depth of knowledge, and very good judgment as being [our] main strengths,” and recognized for how we deliver value by being “proactive and business-minded.” See our ad on page 125. 142 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION d A top-ranked legal advisor to the investing world Many of the world’s leading investment managers and mutual funds rely on Dechert’s experienced team of lawyers in the United States, Europe, Asia and the Middle East. Tier 1 for investment funds: registered funds, since the publication’s inception. “One of the deepest and most experienced teams in the registered fund space. Counsels asset managers, funds and independent directors, and regularly works on the most complex matters.” Chambers USA, 2014 Tier 1 for investment fund formation and management (mutual/registered funds) since the publication’s inception. Dechert is “one of the top ’40 act firms” and has “a deep group of experts who understand how to be business friendly and work within the confines of regulation.” The Legal 500 (U.S.), 2014 Consistently ranked in Tier 1 for investment funds: hedge funds globally. “The global footprint of this firm places it in a strong position to act on behalf of some of the most important players in the hedge fund world… [C]lients uniformly appreciate lawyers’ knowledge of local trends and regulations.” Chambers Global, 2014 To learn how Dechert can help you, please contact: Joseph R. Fleming Boston +1 617 728 7161 joseph.fleming@dechert.com Jon S. Rand New York +1 212 698 3634 jon.rand@dechert.com Geoffrey R.T. Kenyon Boston +1 617 728 7126 geoffrey.kenyon@dechert.com Stuart Strauss New York +1 212 698 3529 stuart.strauss@dechert.com Robert W. Helm Washington, D.C. +1 202 261 3356 robert.helm@dechert.com Kevin F. Cahill Orange County +1 949 442 6051 kevin.cahill@dechert.com Jack W. Murphy Washington, D.C. +1 202 261 3303 jack.murphy@dechert.com Robert A. Robertson Orange County +1 949 442 6037 robert.robertson@dechert.com dechert.com THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 143 LEGAL COUNSEL K&L Gates LLP Austin, TX Beijing Berlin Boston, MA Chicago, IL hedge funds, variable insurance products, private and offshore investment funds, and exchange-traded funds. For more information about our practice, including a full description of our services and biographies of our lawyers, please visit our website at www.klgates.com. Kramer Levin Naftalis & Frankel LLP Hong Kong 1177 Avenue of the Americas New York, NY 10036-2714 212-715-7520 Fax: 212-715-7636 Email: cfrischling@kramerlevin.com Contact: Carl Frischling, Partner London Email: spenrywilliams@kramerlevin.com Los Angeles, CA Contact: Susan J. Penry-Williams, Partner Melbourne Email: rfeiman@kramerlevin.com Milan Contact: Ronald Feiman, Partner New York, NY Email: gsilfen@kramerlevin.com Pittsburgh, PA Contact: George M. Silfen, Partner Raleigh, NC Kramer Levin specializes in the Investment Company Act of 1940 and related investment adviser, broker-dealer, banking, and commodities areas. The firm counsels mutual funds, their advisers, and their independent directors on the full range of legal and regulatory concerns, including fund governance, compliance, Sarbanes-Oxley Act, anti–money laundering, and fund distribution issues. The firm also specializes in representing clients in acquisitions and mergers involving investment companies and financial services organizations. In addition, Kramer Levin has a full corporate and litigation practice, including tax and employee benefits. Dubai Fort Worth, TX Frankfurt San Francisco, CA Seattle, WA Singapore Sydney Taipei Tokyo Washington, DC Website: http://www.klgates.com Law Office of C. Richard Ropka, LLC K&L Gates has one of the nation’s largest and most experienced diversified financial services practices. More than 150 of our lawyers in the United States, Europe, Asia, and Australia focus their time providing legal services to the investment management and professional investor communities. In addition, our clients benefit from the experience of the more than 30 lawyers in the firm who have worked at the SEC or other financial regulatory agencies. 215 Fries Mill Road Turnersville, NJ 08012 856-374-1744 Fax: 866-272-8505 Email: rropka@ropkalaw.com We represent mutual funds, closed-end funds, hedge funds, offshore funds, insurance companies, broker-dealers, investment advisers, retirement plans, banks and trust companies, and other financial institutions. We also regularly represent mutual fund distributors, independent directors of investment companies, and service providers to the investment management industry. In addition, we frequently serve as outside counsel to industry associations on a variety of projects, including legislative and policy matters. We work with clients in connection with the full range of investment industry products and activities, including all types of open-end and closed-end investment companies, funds of 144 Contact: C. Richard Ropka, Esq., Partner The Law Office of C. Richard Ropka’s investment management practice represents open-end mutual funds, and their investment advisors, underwriters, administrators, and independent trustees/ directors. The firm provides legal counsel to these clients and its broker-dealer clients in contract negotiations, corporate governance, and SEC and SRO compliance and enforcement matters. Our representation includes preparation of registration statements, private offering materials, proxy statements, and tax opinions. Our full-service firm represents clients with the expertise of large law firms, with the personal touch of a small law firm in the areas of tax, mergers and acquisitions, securities, trusts and estates, and tax exempt organizations. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION LEGAL COUNSEL Mayer Brown LLP Morgan, Lewis & Bockius LLP 1999 K Street, NW Washington, DC 20006 202-263-3379 Email: smonaco@mayerbrown.com Website: http://www.mayerbrown.com 1701 Market Street Philadelphia, PA 19103-2921 215-963-5037 Fax: 215-963-5001 Email: tlevin@morganlewis.com Website: http://www.morganlewis.com Contact: Stephanie M. Monaco, Partner Email: apershkow@mayerbrown.com Contact: Amy Ward Pershkow, Partner Mayer Brown is an internationally recognized law firm that provides practical, sophisticated, and comprehensive advice to a broad spectrum of domestic and international regulated financial institutions and financial services organizations. Clients include mutual fund groups, fund board of directors, investment advisers, private investment funds, banks, and securities firms. We assist clients and their counterparties in developing new investment products and services, and handle all types of regulatory, compliance, tax, ERISA, and litigation matters. Our partners have the experience necessary to deal efficiently and effectively with complex and novel legal issues and to respond promptly to clients’ needs. McCarter & English BNY Mellon Center 1735 Market Street Suite 700 Philadelphia, PA 19103 215-979-3840 267-761-2073 Email: lcorsell@mccarter.com Website: http://www.mccarter.com Contact: Laura Anne Corsell, Partner McCarter’s investment management attorneys counsel registered investment companies and alternative vehicles, including private equity, hedge, and venture capital funds with respect to all aspects of federal and state securities regulation. Our expertise extends beyond these core areas, encompassing ERISA, insurance coverage, cybersecurity, service provider oversight, and outsourcing. We represent independent directors with respect to their responsibilities under the federal securities laws, supported by a litigation team that has successfully represented mutual funds and financial services companies in connection with advisory fees cases, market-timing investigations, and similar matters. Our attorneys have served as independent compliance consultants in connection with federal and state settlement orders, conducted compliance audits, and worked with clients on a full spectrum of transactional matters involving registered investment companies and their service providers, including fund formation and the design of innovative investment products, preparation of registration statements, mergers and acquisitions, proxy statements, applications for exemptive orders and no-action letters. Contact: Timothy W. Levin, Partner The Morgan Lewis Investment Management Practice provides a full range of legal services to clients in the financial services industry, both domestically and abroad. Our clients include investment companies, advisers, broker-dealers, private equity and hedge funds, banks, trust and insurance companies, pension plans and consultants, and transfer agents. We have an interdisciplinary approach to counseling clients, combining the knowledge of lawyers familiar with federal and state securities law, ERISA, IRS rules, commodities regulation, banking, and insurance laws. Our practice consists of more than 60 attorneys in eight offices, and is listed in The Legal 500 U.S. and Chambers USA. Morrison & Foerster 250 West 55th Street 18th Floor New York, NY 10019-9601 212-468-8053 Email: jbaris@mofo.com Website: http://www.mofo.com Contact: Jay G. Baris, Partner We deliver innovative, practical solutions to complex issues involving registered and un-registered funds and advisers, closed-end funds, business development companies, and exchange-traded products. MoFo advises U.S. and non-U.S. investment advisers regarding their registration, disclosure, and compliance obligations. We counsel all types of pooled investment vehicles, including private funds, commodity pools, venture capital, mezzanine, and infrastructure, and we proactively advise mutual fund independent directors on all aspects of their fiduciary responsibilities. Our investment management practice and attorneys are recognized by Chambers, The Legal 500, and the U.S. News Best Lawyers “Best Law Firms” guide. See our ad on page 126. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 145 LEGAL COUNSEL Norton Smith & Co. Nutter McClennen & Fish LLP Level 20 Tower 2 Darling Park 201 Sussex Street Sydney, Australia NSW 2000 +61 2 9321 4900 Fax: +61 2 9006 1239 Email: info@nortonsmith.com.au Website: http://www.nortonsmith.com.au 155 Seaport Boulevard Seaport West Boston, MA 02210 617-439-2194 Fax: 617-310-9194 Email: jhunt@nutter.com Website: http://www.nutter.com Contact: Richard Liebmann, Chair, Financial Services Practice Group Contact: John Hunt, Partner and Chair of Hedge Funds, Mutual Funds and Other Investment Funds Group Norton Smith & Co. is a specialist law firm that focuses particularly on the provision of services to the financial services industry. With more than 40 years of experience in finance, taxation, and corporate law, it has expertise in advising investment companies, superannuation and pension funds, asset consultants, brokerdealers, private equity, hedge funds, banks, trustees, custodians and insurance companies. Nutter provides a broad range of legal services to hedge funds and other types of alternative investment funds, mutual funds (including money market funds), commodity pools, banksponsored funds such as bank collective investment funds, and their investment managers. We represent U.S. mutual funds and their independent directors as well as sponsors of U.S. and offshore hedge funds and other types of collective funds. We have advised clients with respect to all U.S. legal aspects of onshore and offshore private and offshore fund formation matters and all U.S. aspects of post-formation legal matters. Our practitioners have extensive industry-specific knowledge through engagement as directors, compliance committee members, and as general counsel to Australian and international corporations in the financial services industry, as well as to their membership of leading Australian financial services industry associations. The firm was recognized by Global Law Experts as the 2014 Winner of the Boutique Category as Financial Services Sector Law Firm of the Year in Australia. See our ad on this page. 146 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION LEGAL COUNSEL Paul Hastings LLP Pepper Hamilton LLP 75 East 55th Street Room 2055A New York, NY 10022 212-318-6800 Fax: 212-230-7745 Email: mikerosella@paulhastings.com Website: http://www.paulhastings.com 3000 Two Logan Square 18th and Arch Streets Philadelphia, PA 19103 215-981-4000 Fax: 215-981-4750 Email: fordj@pepperlaw.com Website: http://www.pepperlaw.com Contact: Michael R. Rosella, Partner Contact: John M. Ford, Partner 55 Second Street 24th Floor San Francisco, CA 94105-3441 415-856-7000 Fax: 415-856-7100 Email: davidhearth@paulhastings.com Pepper Hamilton LLP counsels managers, sponsors, advisers, and investors in public and private investment funds. Our lawyers are skilled in the formation, operations, and regulatory environments of a variety of investment funds, including registered investment companies, direct equity funds, mezzanine funds, hedge funds, business development companies, small business investment companies, other alternative investment products, SEC regulatory enforcement actions, corporate governance, and directors’ and officers’ liability. We have several attorneys with prior government experience with the SEC, FINRA, the U.S. Department of Justice, Department of Treasury, and Internal Revenue Service. Contact: David A. Hearth, Partner 515 South Flower Street 25th Floor Los Angeles, CA 90071-2228 213-683-6000 Email: artzwickel@paulhastings.com See our ad on page 149. Contact: Arthur L. Zwickel, Partner 875 15th Street, NW Washington, DC 20005 202-551-1700 Fax: 202-551-1705 Email: wendellfaria@paulhastings.com Contact: Wendell M. Faria, Of Counsel Paul Hastings has a substantial and diverse practice in organizing, registering, acquiring, reorganizing, and advising open- and closed-end investment companies, exchange-traded funds, and unit investment trusts. The firm is counsel to funds and advisers, and has numerous independent director representations. The firm also serves as special counsel to funds or advisers in matters involving conflicts of interest or unusual circumstances or transactions, as litigation counsel, as distributor’s counsel concerning broker-dealer and related matters, as ERISA counsel, and as counsel to domestic and offshore private investment funds. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 147 LEGAL COUNSEL Ropes & Gray LLP Rose Law Firm 800 Boylston Street Prudential Center Boston, MA 02199 617-951-7000 Email: john.loder@ropesgray.com Website: http://www.ropesgray.com Philips Point 777 South Flagler Drive Suite 800, West Tower West Palm Beach, FL 33401 917-459-3879 212-472-8886 Email: roselawfirm@comcast.net Contact: John Loder, Partner 1211 Avenue of the Americas New York, NY 10036 212-596-9000 Email: bryan.chegwidden@ropesgray.com Contact: Bryan Chegwidden, Partner Three Embarcadero Center San Francisco, CA 94111 415-315-6300 Email: gregory.davis@ropesgray.com Contact: Gregory Davis, Partner One Metro Center 700 12th Street, NW Suite 900 Washington, DC 20005 202-508-4650 Email: molly.moore@ropesgray.com Contact: Molly Moore, Counsel Ropes & Gray LLP is a leading national law firm with one of the largest and most diversified investment management practices of any U.S. firm. The principal focus of our practice is the representation of investment companies and investment advisors. We represent more than 1,000 mutual funds, and investment firms ranging from start-up ventures to those with hundreds of billions under management. More than 100 of our lawyers focus on serving clients in the investment management industry. Our mutual fund practice regularly appears at the top of industry rankings—a direct reflection of our commitment to professional excellence and client service. Contact: S. Jane Rose, Principal We offer a small law firm approach to your business, regulatory, and compliance needs. Our focus is the investment management industry, including investment companies and their independent directors, investment advisers, broker-dealers, and fund administrators. Our client base is global and our services are customized to meet your objectives. We have more than 30 years of industry, SEC regulatory, and offshore fund experience. Our goal is to provide you with timely, practical, and cost-effective advice. Schulte Roth & Zabel LLP 919 Third Avenue New York, NY 10022 212-756-2533 Email: kenneth.gerstein@srz.com Contact: Kenneth S. Gerstein, Partner Schulte Roth & Zabel provides creative and effective legal advice to mutual funds, closed-end investment companies, business development companies, and domestic and offshore private investment funds. We also represent independent directors of funds, as well as investment advisers, banks, and brokers that manage and distribute funds. With attorneys in New York; Washington, DC; and London, we help clients structure innovative products, including registered hedge funds. We also represent clients on regulatory and compliance matters, investment adviser acquisitions, and litigation. Our practice draws on the skills of attorneys in the related areas of securities, commodities, banking, tax, derivatives, and ERISA. See our ad on page 149. 148 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION For investment management matters, you need a law firm that understands your business, your goals, your opportunities and challenges. A law firm with the experience and depth to handle complex issues with confidence. START CLOSER TO THE RIGHT ANSWER®— with Pepper Hamilton • • • • • • • llp. fundformationandoperation-traditionalandalternativestrategies federalandstateregulationofinvestmentcompaniesandadvisors compliance,enforcement,andspecialinvestigations directorandofficerliability Attorneys at Law litigationanddisputeresolution JohnM.Ford|215.981.4009|fordjm@pepperlaw.com financialandsecuritiestransactions TollFree:1.866.PEPPER2|www.pepperlaw.com mergers,acquisitionsandreorganizations Berwyn | Boston | Detroit | Harrisburg | Los Angeles | New York | Orange County Philadelphia | Pittsburgh | Princeton | Silicon Valley | Washington | Wilmington Schulte Roth & Zabel LLP represents mutual funds and closed-end investment companies. We also represent fund advisers, distributors and independent directors. Our clients include funds sponsored by major financial institutions and independent fund groups, including load and no-load mutual funds, registered hedge funds and business development companies. An important focus of our practice is structuring innovative funds that pursue alternative investment strategies. We assist clients in addressing questions arising under the Investment Company Act of 1940, organizing and registering new funds and preparing exemptive applications and no-action requests. In addition, we advise clients in connection with SEC examinations and compliance-related issues, and assist them on a wide range of matters relating to investment advisory, brokerage, securities custody and transfer agent services. Contact: Kenneth S. Gerstein +1 212.756.2533 kenneth.gerstein@srz.com New York | Washington DC | London | www.srz.com The contents of these materials may constitute attorney advertising under the regulations of various jurisdictions. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 149 LEGAL COUNSEL Seward & Kissel LLP Sidley Austin LLP 901 K Street, NW Washington, DC 20001 202-737-8833 Email: clarke@sewkis.com Website: http://www.sewkis.com 787 Seventh Avenue New York, NY 10019 212-839-5300 212-839-5534 Fax: 212-839-5599 Email: jmackinnon@sidley.com Website: http://www.sidley.com Contact: Kathleen K. Clarke 901 K Street, NW Washington, DC 20001 202-737-8833 Email: millerp@sewkis.com Contact: Paul M. Miller One Battery Park Plaza New York, NY 10004 212-574-1247 Email: poglinco@sewkis.com Contact: Patricia A. Poglinco One Battery Park Plaza New York, NY 10004 212-574-1261 Email: tavss@sewkis.com Contact: John E. Tavss We provide a full range of regulatory, corporate, ERISA, tax, capital markets, transactional, and litigation services for a large number and wide variety of investment companies, including registered open-end and closed-end funds, exchange-traded funds, hedge funds, private equity funds, and offshore funds. We work with clients in the areas of formation and registration, compliance with federal and state regulation, domestic and international investing, mergers and acquisitions, compliance audits, investigations, and enforcement action. We act as counsel to the independent directors of registered investment companies and advise public and private investment advisers, underwriters, custodians, transfer agents, administrators, and other service providers to registered and unregistered investment companies. See our ad on page 137. 150 Contact: John A. MacKinnon, Partner Sidley has a premier, global practice that advises on matters relating to registered investment companies, as well as to hedge funds, commodity pools, private equity funds, and offshore funds. In addition to traditional registered investment company structures, the firm has an active practice in leveraged funds, principal-protected funds, fund of funds, master-feeder and multiple class structures, and investment company mergers and acquisitions. We represent a number of fund boards and have actively participated in the SEC’s fund governance initiatives. Sidley also advises clients across the spectrum of the most complex enforcement and regulatory issues. Simpson Thacher & Bartlett LLP 425 Lexington Avenue New York, NY 10017-3954 212-455-3575 Email: scogan@stblaw.com Website: http://www.simpsonthacher.com Contact: Sarah E. Cogan, Partner Simpson Thacher & Bartlett LLP has a dynamic, longstanding practice representing U.S. and foreign investment advisers, U.S. registered open-end and closed-end funds, alternative investment vehicles such as private equity funds, real estate funds, venture capital funds, hedge funds, distressed debt funds, and fund-offunds, and investment and commercial banks in their investment management-related activities. Our practice encompasses all aspects of the investment management business, including corporate finance, banking, mergers and acquisitions, and new product development. The investment management group is supported by specialists in banking regulation, tax, ERISA, real estate, and commodity regulation and operates from our New York, Houston, Los Angeles, Palo Alto, Washington DC, Beijing, Hong Kong, London, São Paulo, Seoul, and Tokyo offices. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION LEGAL COUNSEL Stradley Ronon Stevens & Young, LLP Stroock & Stroock & Lavan LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 215-564-8115 215-564-8000 Email: bleto@stradley.com Website: http://www.stradley.com 180 Maiden Lane New York, NY 10038 212-806-6049 Fax: 212-806-6006 Email: scoleman@stroock.com Website: http://www.stroock.com Contact: Bruce Leto, Partner Counseling clients since 1928, Stradley Ronon maintains one of the premier investment management practices in the United States, representing investment company clients with more than 1,000 separate funds and assets under management exceeding $2 trillion. Our Investment Management Group represents retail and institutional investment companies marketing shares through every distribution channel, as well as investment advisers, hedge fund sponsors, managers, administrators, and underwriters/distributors. It also serves as independent legal counsel to investment company independent directors/trustees, and as special counsel to other law firms with regard to complex issues arising under the Investment Company Act of 1940. www.stradley.com. Contact: Stuart H. Coleman, Co–Managing Partner With our representation of nearly 800 investment companies—or their independent board members—with nearly $1 trillion in assets under management (approximately 7 percent of U.S. investment company assets), and some of the nation’s best-known investment advisers and industry service providers, our investment management practice is one of the most active in the country. Over the last 50 years, our services have included assistance with the formation and management of hundreds of mutual funds (including variable insurance and annuity products), closed-end funds, exchange-traded funds, hedge funds, private equity funds and other pooled investment vehicles, as well as non-traditional structures such as business development companies, managerof-managers funds, registered funds of hedge funds, and other alternative investment products. Our diverse client base provides us with the operational insight to provide sound, practical, and efficient legal services to all of our clients, and our experience has put us at the center of new products and regulatory developments affecting our clients. The breadth of our practice also has permitted us to develop skill in important related disciplines, including tax, ERISA, complex derivatives, commodities regulation, mergers and acquisitions, capital markets, and litigation. In addition to our extensive regular representation of registered funds and their advisers, we have significant expertise in the provision of services to parties subject to various regulatory investigations and settlements, including those instituted by the SEC, or potential litigations with investors. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 151 LEGAL COUNSEL Sutherland Asbill & Brennan LLP Vedder Price P.C. 700 Sixth Street, NW Suite 700 Washington, DC 20001 202-383-0100 Email: steve.boehm@sutherland.com Website: http://www.sutherland.com 222 North LaSalle Street Chicago, IL 60601 312-609-7500 Fax: 312-609-5005 Email: dsturms@vedderprice.com Website: http://www.vedderprice.com/ investment-services-client-services Contact: Steven B. Boehm, Partner Sutherland Asbill & Brennan LLP has a comprehensive investment management practice. Our clients include open- and closed-end funds, business development companies (BDCs), unit investment trusts (UITs), exchange-traded funds (ETFs), 529 plans, and funds underlying insurance products. We also represent private investment funds and clients that distribute investment funds, including broker-dealers, banks, and insurance companies, and investment advisers who manage these funds. Sutherland advises clients on all aspects of capital formation, corporate governance, compliance, tax, ERISA, and litigation matters. Founded in 1924, the firm has offices in Washington, DC; New York; Atlanta; London; Geneva; Houston; Austin; and Sacramento. See our ad on page 91. Contact: David A. Sturms, Shareholder and Chair, Investment Services Group Vedder Price provides a full range of services to a diverse financial services clientele. Our investment services group, one of the largest in the country, is experienced in all aspects of investment company, investment adviser, broker-dealer, bank, ERISA, and tax matters. Clients include open-end and closed-end funds and ETFs (from start-ups to multibillion-dollar fund families), and their sponsors and independent directors; private investment companies; and other pooled-investment vehicles. We work closely with clients to provide efficient, timely, and responsive counsel on a myriad of issues, ranging from new product design to the M&A needs of investment companies and their sponsors. See our ad on page 131. Thompson Hine LLP 312 Walnut Street 14th Floor Cincinnati, OH 45202-4089 513-352-6546 Email: don.mendelsohn@thompsonhine.com Website: http://www.thompsonhine.com Contact: Donald S. Mendelsohn, Partner Thompson Hine investment management lawyers provide outstanding legal services and a wealth of experience to a wide range of clients, including investment companies and advisers, broker-dealers, domestic and offshore hedge funds, fund service providers, and independent directors and trustees. We offer innovative solutions for entering the industry, developing new products and services, expanding business through strategic planning and acquisition, keeping abreast of regulatory and industry developments, and interacting with regulators. A topranked national business law firm, Thompson Hine has offices in Atlanta, Cincinnati, Cleveland, Columbus, Dayton, New York, and Washington, DC. 152 THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION LEGAL COUNSEL Willkie Farr & Gallagher LLP 787 Seventh Avenue New York, NY 10019-6099 212-728-8000 212-728-8297 Fax: 212-728-8111 Email: MNeale@willkie.com Website: http://www.willkie.com Contact: Margery Neale, Co-Chair, Asset Management Group 1875 K Street, NW Washington, DC 20006-1238 202-303-1000 202-303-1201 Fax: 202-303-2000 Email: BBarbash@willkie.com Contact: Barry Barbash, Co-Chair, Asset Management We provide creative, timely, and cost-effective representation to registered investment companies—both open-end and closed-end—as well as to business development companies, exchange-traded funds (ETFs), hedge funds, private equity funds, and offshore funds and their managers. We also advise insurance companies and their affiliates concerning variable life insurance and annuities and other insurance products subject to regulation under the securities laws. We routinely work with clients in the areas of new product design, federal and state regulation, governance matters, portfolio investing, distribution, mergers and acquisitions, private placements, compliance audits, investigations, enforcement actions and litigation, and the day-today business of asset management. Our firm offers the full array of services investment management firms require, including tax, ERISA, commodities, trading and market regulation, banking, bankruptcy, derivatives, and asset securitization. THE INVESTMENT COMPANY SERVICE DIRECTORY: 2015 EDITION 153
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