Seasoned Fund Administration for your ETF, Mutual Fund, or Private Fund

Over 36 years of experience with all aspects of fund accounting, transfer agency, and investment compliance

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EXPERTISE ON THE BACK END TO OPERATE YOUR STRUCTURE IN THE MOST COST EFFECTIVE AND EFFICIENT MANNER.

CONSULTATIVE APPROACH ON THE FRONT END TO HELP YOU DETERMINE THE BEST POOLED INVESTMENT STRUCTURE FOR YOUR SITUATION.

Whether you want to market your pooled investment strategy to a wider or different target client, or you want to combine accounts for efficiency, there are many options for pooling investment assets. Your solution might be a(n):

    • Exchange Traded Fund (ETF)
    • Open-end mutual fund (40 Act)
    • Closed-end interval fund
    • Private investment fund (non-registered or hedge fund)
    • Collective Investment Trust
    • Local Government Investment Pool
    • Foundation or endowment exempt investment pool

Nottingham avoids presuming that one size fits all. Rather, we listen first and then suggest which vehicle will best meet your needs. Consultative problem-solving backed by more than three decades of experience is the Nottingham difference.

Which ETF structure is right for me and how do I get started?

Since the first mutual fund was created almost 100 years ago, registered funds certainly have become a staple of the investment world evidenced by the more than $29 trillion in assets in the US registered fund space alone. While mutual funds have historically been the leader in this space, ETFs have seen a meteoric rise in recent years.

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Nottingham Services

Fund Organization

Organizing and registering any type of pooled investment is a complicated process, and can be costly. Deciding the best structure to meet your needs is the first order of business. After determining the best structure, our approach is to leverage the experience of the Nottingham team to assist with the drafting and document filings to keep the legal costs as low as possible without compromising quality. There is a happy medium combination; our experience with pooled investments can help you strike that balance.

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Financial Technology

Throughout our history, Nottingham has been a technology front-runner. Recognizing that key elements to successful fund management are accuracy of and access to fund data, we’ve spared little expense in creating proprietary platforms and enhancing best-in-breed licensed softwares to provide our clients with both.  Our in-house technology team is continuously tweaking and updating the online functionality we offer to ensure that our pooled investment management clients have the data they need in the format they want, and that their shareholders have real-time account connectivity. All data is housed and transmitted within a regularly tested, secure environment.

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Compliance

Nottingham offers outsourced compliance services for both registered investment advisers and registered fund companies, ensuring effective compliance policies and procedures are established and being followed. Whether you need assistance with RIA formation, the creation of a compliance program, or the analysis of an existing program, we can help.

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Shareholder Services

The investor/shareholder is a pooled investment’s ultimate client. Keeping those shareholders informed and their records accurate, safe and secure is paramount. Transactions, cost basis, performance and required tax filings are all important pieces in the process. Nottingham Shareholder Services representatives personally answer calls and respond to client requests and questions. Be it a name change, a new account set up, a contribution or a withdrawal, we view our role as an extension and public face of the portfolio manager/advisor and treat your clients as they want to be treated.

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Accounting for Pooled Investment Structures

While calculating total net assets of an investment portfolio is common to all pooled investment structures, how that valuation is allocated to shareholder participants varies by investment vehicle.  Mutual funds, ETFs, collective investment trusts, unit investment trusts and some non-registered exempt portfolios use net asset value, or net unit value, per share allocations. Other vehicles such as private investment partnerships, or hedge funds, use percentage allocations. For our foundation and endowment clients we took this process a step further and built a proprietary system to handle multiple accounts, subaccounts, and subaccounts of subaccounts allowing for daily entry and exit. Nottingham is one of the few fund administrators with deep experience and comfort in dealing with multiple types of structures and accounting treatments, and our systems and processes are built accordingly.

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Fund Administration

Fund administrators are tasked with overall oversight of fund operations. From filing and maintaining fund documents and shareholder subscriptions to communicating and coordinating with outside legal counsel and auditors, a good fund administrator will ensure all “Ts” are crossed and “Is” are dotted for Board meetings. There is both art and science to shepherding the compliance officer process; Nottingham’s team of fund administrators excels in quarterbacking relationships, communication, and organization to make this happen. Assurance that data, documentation, and filings are maintained in a timely, accurate fashion frees the advisor to focus on investment decisions.

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What Our Clients Say

VP Asset Management, West Coast

What a pleasure talking with you yesterday. I am thrilled to have discovered Nottingham.

VP Asset Management, West Coast

Hedge Fund Manager

I looked at 15-20 admin firms, firms all over the country, but when I walked into Nottingham, I knew. I had a very favorable, personable impression from the outset.

Hedge Fund Manager

East Coast-Based Hedge Fund Manager

I’ve always been impressed with the depth offered in terms of reporting and customization. They are so accommodating and always handle my report requests in a very timely manner.

East Coast-Based Hedge Fund Manager

Endowment Advisor, Wachovia Securities

Our relationship with Nottingham has improved the effectiveness and efficiency of what I’ve been able to do for the endowment. There has not been one thing we’ve asked for that they’ve not come up with a way to address our request.

Endowment Advisor, Wachovia Securities

Chief Investment Officer, Mutual Fund

Each person that I work with or have worked with over the years is very genuine. They are all well-intended, hardworking people, and I’ve always liked that about Nottingham.

Chief Investment Officer, Mutual Fund

Head of Administration, Mutual Fund

The greatest benefit of working with Nottingham is being able to pick up the phone, call, and get a person on the other end. The personal service is everything to us.

Head of Administration, Mutual Fund

Managing Director, Mutual Fund

Your staff took care of everything perfectly and are a pleasure to work with. We look forward with great anticipation to our next Nottingham visit.

Managing Director, Mutual Fund

North Carolina-Based Hedge Fund Manager

You guys have never treated me like the small fish that I am. Your team has always done an excellent job for me and my shareholders and for that I’m a very thankful, loyal customer.

North Carolina-Based Hedge Fund Manager

East Coast-Based Hedge Fund Manager

It is so nice to have an organization that works so hard on our behalf. You have made me feel so comfortable about the transition from my previous provider. I’ve been in business since I was 15 years old, and I have never met a group of people that I liked as much from day one as the folks at Nottingham.

East Coast-Based Hedge Fund Manager
Nottingham is the winner of 2023 Fund intelligence and operation award
Nottingham rings Opening Bell in celebration of TWIO and FFIU ETFs. pooled investment.
Best Fund administrator for small and start-up pooled investments, 2019
Badge for Best Employers in North Carolina 2019
Nottingham gets the Badge for Best Employers in North Carolina 2021
Nottingham gets the Badge for Best Employers in North Carolina 2021
Badge for Best Employers in Nort Carolina 2023
Celebration banner for 35th anniversary along with distinctive achievements

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Have a question about pooled investments? Ready to get started?

Are you looking for a partner to help you take your pooled fund business to the next level?

Our thirty-plus years of fund consulting and administration experience provides the resources you need for fund structure design and cutting-edge fund administration technology. We avoid cookie-cutter solutions, listening first and advising second.

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