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 transfer agent and 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
Nottingham News
Mutual Fund to ETF Conversion
After completing the first ever multi-class open end mutual fund to ETF conversion in early 2021, Nottingham got together to speak with Greg Rutherford (Founder of Adaptive Investments), Terry Davis (Shareholder with global law firm Greenberg Traurig), and Pete McCabe (COO
Interval and tender offer closed-end funds
Interval funds are closed-end managed investment companies registered under the Investment Company Act of 1940 that rely on Rule 23c-3 to periodically offer to repurchase shares at NAV from shareholders at predetermined intervals. Tender offer
Compliance to Advisers Act Rule 206(4) is quickly approaching
As the compliance date for the Advisers Act Rule 206(4)-1 (Marketing Rule) quickly approaches, the SEC has issued an alert outlining key areas of focus: "On December 22, 2020, the Securities and Exchange Commission (SEC