Specialized Expertise

Nottingham views the handling of shareholder purchases and redemptions, service requests, tax reporting and other direct interactions with your investors as an extension of your firm. While we do not get involved with sales and marketing, once you have an investor in your investment vehicle, Nottingham’s shareholder servicing team treats your shareholders as though they were our own. Given our unique combination of accounts – mutual funds, private hedge funds, government investment pools and foundation endowment accounts – Nottingham has a unique ability to react to your investor’s unique needs and reporting requirements.

Transfer Agent Services

Nottingham has been registered with the SEC as a transfer agent since 1989 and is currently the only registered full-service transfer agent in the southeastern U.S. Our TA registration gives us unique flexibility in handling a variety of structures that many of our competitors simply are not licensed to handle, such as actively-managed and passive ETFs, closed-end funds, interval funds, hybrid funds, and our bread and butter, 1940 Act open-end mutual funds. Nottingham shareholder representatives are authorized to perform actions beyond the scope of basic shareholder responsibilities including, but not limited to, administering distributions and dividend payments, overseeing the dissemination of shareholder reports and confirmations, and maintaining records for both the shareholder and the fund.

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Accessibility and Attention to Detail

Our transfer agency team combines 30+ years of experience with a culture of southern friendliness. With Nottingham, you will find an unparalleled combination of accessibility and responsiveness along with a great attention to detail among our shareholder services staff and transfer agents. We take pride in delivering the highest quality services available while focusing on building relationships with investors, sales agents and all others involved with the funds we administer.

  • Shareholder accounting and recordkeeping services
  • Distribution of dividends and capital gains
  • Manage systematic investments and withdrawals
  • Online portal for investor activity, statements, and confirms
  • Automatic calculation of trade dates based on trade type, payment method, cutoff time
  • AML and identity theft monitoring and prevention
  • Process future dated trades
  • Trades accepted online and by phone, email, and fax
  • Respond to and manage shareholder inquiries and correspondence
  • Provide daily shareholder cash management
  • Support lost shareholder recovery and escheatment
  • Prepare and deliver account confirmations and statements (mail and on-line)
  • Support NSCC processing and provide dealer services
  • Calculate and report Rule 12b-1, commission and other intermediary payments
  • Provide literature fulfillment services
  • Report Blue Sky state sales
Contact us to learn more

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

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

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

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

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

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

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

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

VP Asset Management, West Coast

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

VP Asset Management, West Coast

Nottingham News

What Are Actively Managed ETFs?

October 14th, 2020|

Forbes October 12, 2020 Miranda Marquit Most exchange-traded funds (ETFs) are passively managed vehicles that track an underlying index. But about 2% of the funds in the $3.9 billion ETF industry are actively managed. Actively

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