Bill Hortz's picture

"You need to review the considerations for long-term success when launching a fund, not just the immediate costs to organize and operate a fund." - Jace Schuppan, Ultimus Fund Solutions

I wanted to share with everybody a particularly well written and insightful article series on launching a mutual fund by one of our Founding Innovator sponsors Jace Schuppan of Ultimus Funds Solutions - one of the largest, independent mutual fund services and middle-office technology providers for RIAs in the country.

Launching a ’40 Act mutual fund can be a strategic way for advisors to expand their firm's reach into other markets and add to their accessibility and solutions footprint.  As with any new venture, it requires prudent forethought and planning to ensure the best chance of success. 

Usually when an investment advisor initially explores launching a mutual fund, they think about the outright initial costs associated with launching a fund, along with setting up the structure, timing and various regulatory aspects. In addition to these considerations, investment managers also need to keep in mind the cost of success, the true cost of launching a mutual fund; what may help make the fund successful in the long run.

The evolving regulatory and distribution landscape can be intimidating, but with thorough preparation, planning and the right partners, potential pitfalls can be avoided and helpful insights can be gained that may lead to greater recognition and growth for the firm. 

To address these various facets, they have created a special three-part series to help set the stage for planning a successful fund launch and will review answers to the questions that investment advisers frequently ask:

Part 1 – Launching a Mutual Fund: Costs of Success

Part 2 - Launching a Mutual Fund: Top 5 FAQs





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