An Alternative Fund Solution for RIAs
August 17, 2021
Today there are about 6,000 companies that trade publicly on the NYSE and Nasdaq. Public listings surged recently from a 2016 low of 3,600, benefitting from a wave of SPAC mergers. However, in total the number of equities are down approximately 25% from the peak in the 1990s (approx. 8,000). The narrowing of the […]
ETF Market Drivers. Why fund managers are launching exchange-traded funds.
June 29, 2021
Why do exchange-traded funds (ETFs) make sense for today’s investors? Maybe it’s tax efficiencies, availability, lower fees, diversification, or a mixture of all of these and more. Today’s ETF market segment is rapidly evolving, with no shortage of product evolution, industry commentary, and data analysis. Experienced ETF professionals, such as Tom Lydon and Dave […]
Fund M&A Activity is Booming. Things to Know Before You Go.
May 18, 2021
Savvy asset managers regularly re-evaluate their business and the market to identify acceleration or pivot strategies that will preserve or enhance their business model. Recently, we’ve seen an increase in asset manager consolidation as managers look for potentially speedier and less risky ways to grow assets. Managers can choose different paths to consolidation: acquire […]
Mutual Fund Board Considerations for Insurance in 2021
April 27, 2021
With 2021 well underway, fund boards will inevitably meet to consider insurance renewals at some point in the near future. Here are a few items for fund boards to consider and ask about heading into these upcoming renewals: What’s the market look like? Since market volatility tends to be a factor in the frequency […]
The Expansion of ‘Model Portfolios’: Gaining Ground & Providing Efficiencies
April 13, 2021
Modern portfolio theory was introduced in the early ’50s and until the financial crisis in 2008 it was widely regarded as the optimal way to manage risk in a client portfolio. Even prior to that the concept of ‘balanced investing’, leveraging a blend of stocks and bonds to allocate an investment account dates back […]
Chasing the ‘Active’ Trend in ETFs – Upfront Considerations
March 9, 2021
At the end of 2020, there were more than 2,390 ETFS listed in the U.S., with a record of nearly $5.5 trillion in assets. Actively managed ETFs set new records in 2020, as well. According to the NYSE1, there was a 71% increase in active ETFs from year-end 2019 to year-end 2020. What drove […]
Interval Fund Proration – Turning Product Features into Functionality
February 25, 2021
Interval Funds have enjoyed a meteoric rise in recent years, and despite a challenging year, assets now top $35b as of December 31, 2020, according to Interval Fund Tracker¹. The COVID-19 pandemic fueled volatility in the wider marketplace and micro-disruptions in certain asset classes, most visibly in Real Estate, Real Assets and Credit securities. […]
Thinking about Expanding Your Investment Product Reach?
February 10, 2021
You’ve likely heard the expression: “Innovate or die” (often attributed to Peter Drucker, an influential thinker on business management). The saying holds true for investment advisers, as well. To stay relevant, firms must think about the target audiences, new product structures, new distribution methods and channels and how you can solve for the end […]
TOP Blog Posts of 2020
January 26, 2021
During 2020 the financial industry experienced unforeseen challenges from remote work environments to market fluctuation, cyber security risks and much more. In response, Ultimus published a variety of informative blog posts to help investment managers operate and evolve during these times. Written by seasoned professionals from Ultimus, business partners, as well as industry experts, […]
Re-thinking Vendor Due Diligence in the “New Normal”
January 12, 2021
Introduction Performing due diligence on vendors is a critical risk mitigation measure. For fund sponsor and investment managers, vendors should act as an extension of your business, and as such, it’s important to gather the necessary intelligence about their processes, people and so on. The pandemic has impacted not only how vendor due diligence […]