Industry Associates
The Third Party Marketers Association offers Industry Associate participation to firms who offer products or services which support the efforts of third party marketers and investment managers.
Compass Securities Corporation (member FINRA, SIPC) is an institutionally focused, specialized broker/dealer established in 1985 as a wholly owned subsidiary of Compass Capital Corporation.
Areas of Competence and Specialization:
Third party representation of both long only managers, and alternative investment managers.
Debt and equity private placements of tax credit syndications, venture capital, private equity, hedge funds and other alternative investments.
Strong regulatory compliance for our RRs who are third party marketers.
Marketing limited partnerships, separately managed accounts, and 40 Act fund.
Compass serves investment professionals and their clients. Compass offers a broad range of institutional financial products and services. Compass RRs have raised more than $7.5 billion for managers in the last ten years.
Contacts: Scott Chaisson
Phone: 781-535-6083
Emails: scott@Compasssecurities.com
DG Analytics provides effective marketing services and innovative systems developed to win assets and maximize revenue for Investment Management Organizations.
• Consultant Database Updates
• Compliance Consulting
• RFP, Questionnaire & Marketing Writing
• Applied Information Management
Cultivate success with tailored marketing materials, sustainable compliance practices and efficient data management. We differentiate your firm from the competition, tailoring your firm’s image for maximum impact in the industry.
Equally important are regular and consistent updates of your firm in the marketplace with current quantitative information and descriptions reflecting your organization’s growth. Work smarter with more efficient data systems and operations!
Contact: Darien Gould
Phone: 303- 358-0944
Emails: darien@dganalytics.net
Dier Associates provides integrated marketing support that is customized to the individual needs of investment management firms. We learn about our clients' businesses, whether they manage equity and fixed income portfolios, an institutional agriculture fund, or any other public or private markets asset class. This enables us to write RFPs, DDQs and marketing collateral that convey the competitive advantages of your firm. We connect with our clients and can serve as an extension of staff. It's one of the main reasons we have been successful for 17 years.
From the development of marketing strategy, presentations and RFP responses, to providing ongoing RFP/DDQ and database support, we have helped our clients succeed in all phases of the manager search process and stand out within their peer group. Based on our industry experience and insights, we incorporate a plan sponsor’s perspective when providing solutions to investment managers.
Contact: Stewart Dier
Phone: 619-665-7868
Email: sdier@dierassoc.com
FilePoint® is a full-service filing agent offering solutions for EDGAR and XBRL filing, typesetting, printing, document hosting and website development.
One of the top producing EDGAR filers for mutual funds and ETFs in the U.S.
Operating for more than ten years.
Founders of the firm are experienced mutual fund financial reporting professionals and have been in the mutual fund industry for over 20 years.
Currently service hundreds of investment companies and counting.
100% employee owned.
FNEX is a fintech enabled investment bank. We focus on People, Platform and Product. We provide registration and compliance for registered reps across the U.S. FNEX focus its’ business on capital markets, fund distribution, and trading shares in late-stage venture-backed companies.
FNEX handles all your back-office compliance needs
FNEX helps clients with product marketing and distribution
FNEX offers unique opportunities for generating additional revenue for reps
Our software, FNEX Pro, is an award winning white-labeled Alts platform that democratizes deal discovery, research and valuation, and transaction execution process. This technology allows product sponsors to reach and service a greater number of client relationships than the typical capital introduction operation. We provide clients with:
Turn-Key White-Label Software
Customized Branding
Deal Room
Selective Distribution
CONTACT: Todd Ryden
Phone: (888) 580-2588 x 1700
Email: tryden@fnex.com
Investment Management Support Solutions, LLC
IMSS offers clients an efficient and cost-effective automated solution to consultant database management and reporting with our Data-Centrix automation solution.
With over 30+ years of combined experience with a focus on consultant database support, we are experts in what we do. Our client service is unparallel to others and every client we work with has a dedicated Client Relationship Manager.
We support managers with:
· Initial database reviews & “cleanup”
· Complete profile onboarding for Firms & Strategies
· Monthly/Quarterly quantitative updates
· Qualitative updates and narrative workbooks
· Document uploads and maintenance
· RFP & DDQ completion
We understand no two firms are the same, so we provide a tailored and focused solution to fit each firms’ individual needs. A foundation of the work IMSS does is built on supporting firms with their efforts to extend the coverage of consultant databases and to ensure the data provided is up to date, accurate, consistent and complete.
Contact: Patricia Sandoz
Phone: 774-254-2578
Email: tsandoz@imss-llc.com
Mick Law P.C., based in Omaha, Nebraska, is a specialty firm comprised of full-time and of-counsel attorneys who each possess a concentrated area of expertise and in-depth knowledge. In addition to their law school credentials, the attorneys also have professional and educational credentials, including MBAs, LLMs and securities industry licenses (inactive).
While providing a broad range of legal services to our valued clients, our firm focuses on two principal areas of practice;
Additional areas of practice include:
Contact: Zia Sabbir
Phone: 323-424-4749
Email: zsabir@micklawpc.com
Monahan & Roth knows compliance and understands the needs of a thriving business, so you can expect services to be delivered on time with the confidence and competence of a seasoned professional. Our consultants leverage successful past experiences with an active professional network to deliver a creative, current and custom tailored solution to each situation.
We are proud of our clients' successes and work hard to ensure the feeling is mutual. If you know our team, you know our broad expertise and personalized services. But if you do not already know us, we hope you will call for an introduction.
Our services include:
Regulatory Consulting
Expert Witness
Mediation
Contact: Lisa Roth
Phone: 619-283-3500
Email: lroth@monahan-roth.com
NuView Trust is a premier, regulated Custodian for alternative investments. NuView works with advisors, investment sponsors, and broker dealers to provide a truly customized custodial solution. Since our formation more than 15 years ago, NuView Trust has strived to provide our clients with the broadest possible choices in their IRAs. While other custodians tend to reject non-traditional investments, NuView’s administrative platform was designed with alternatives in mind. We pride ourselves on our commitment to being accessible, responsive, and cost-effective. NuView has amassed $1.3 billion of assets in custody from working diligently to serve our referral partners.
Ultimus Fund Solutions, provides a full suite of middle and back office services for open and closed-end mutual funds, private funds, separately managed accounts, business development companies and other pooled investment vehicles. Our experienced teams of fund accountants, attorneys, paralegals and other investment industry professionals work closely with our clients to achieve their goals.
Contact: Kevin Guerrette
Phone: 617-848-3936
Email: kguerette@ultimusfundsolutions.com
Wealth Media Network offers low-cost, remote PM & CIO interview video production. We are expert at turning unscripted interviews into tighly edited, regulatory compliant 3-minute videos for client and marketing communications.
CONTACT: Jonathan Bentley
Phone: 727.515.9273
Email: jb@wealthmedia.network