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.
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
When Nottingham launched its first fund in 1989, who would have guessed that thirty-some years later the world would experience a pandemic affecting almost every aspect of our lives – particularly the way we work
Newswire October 7, 2020 ROCKY MOUNT, N.C. - The Nottingham Company, Inc. a leading fund services administrator and private label issuer to the mutual fund and exchange-traded fund (“ETF”) industry, continues to expand its active