Specialized Transfer Agent Services for Investment Funds
Sterling Valley Trust delivers comprehensive transfer agent solutions for investment funds of all types and sizes. Our boutique approach provides the personalized attention fund managers need while offering institutional-grade capabilities for complex fund structures and investor requirements.
Fund Types We Serve
Mutual Funds
- Daily NAV processing and pricing support
- Shareholder recordkeeping and account management
- Distribution and redemption processing
- Dividend and capital gains distribution
- Tax reporting and compliance (1099-DIV, 1099-B)
- Blue sky compliance and state registrations
Exchange-Traded Funds (ETFs)
- Authorized participant coordination
- Creation and redemption unit processing
- In-kind transfer management
- Market maker relationship support
- Regulatory compliance and reporting
- Secondary market trading support
Hedge Funds
- Sophisticated investor verification
- Subscription and redemption processing
- Side pocket administration
- Performance fee calculations
- Investor relations and communications
- Regulatory compliance (Form PF, Form D)
Venture Capital Funds
- Portfolio company tracking and valuation
- Capital call and distribution processing
- GP/LP interest management
- Tax reporting and K-1 preparation
- Investor relations and quarterly reporting
- Exit event coordination
Private Equity Funds
- Limited partner onboarding and KYC
- Capital call processing and management
- Distribution calculations and payments
- Carried interest administration
- Investor reporting and communications
- Fund liquidation and wind-down services
Core Fund Services
Shareholder Recordkeeping
- Investor account setup and maintenance
- Ownership tracking and position management
- Corporate actions processing
- Lost shareholder location services
- Escheatment and unclaimed property compliance
Transaction Processing
- Subscription and redemption orders
- Transfer requests and account changes
- Automatic investment plans
- Systematic withdrawal plans
- Exchange processing between funds
- Wire transfer and ACH processing
Distribution Services
- Dividend distribution calculations
- Capital gains distribution processing
- Return of capital distributions
- Tax-exempt distributions
- International distribution compliance
- Multiple payment method support
NAV & Pricing Support
- Daily net asset value calculations
- Pricing validation and oversight
- Fair value pricing procedures
- Strike price and expense accruals
- Performance measurement support
- Benchmark comparison reporting
Specialized Fund Services
Alternative Investment Administration
- Fund of Funds: Multi-manager coordination and consolidated reporting
- Master-Feeder Structures: Complex allocation and distribution processing
- Offshore Funds: International regulatory compliance and tax coordination
- Interval Funds: Periodic liquidity processing and compliance
- BDCs (Business Development Companies): RIC compliance and distribution requirements
- CLOs (Collateralized Loan Obligations): Tranche management and waterfall distributions
Regulatory Compliance
Investment Company Act Compliance
- Form N-1A registration statement support
- Form N-Q portfolio holdings reporting
- Form N-SAR annual/semi-annual reports
- Form N-CSR certified shareholder reports
- Board governance and oversight support
Securities Act Compliance
- Form D private placement filings
- Rule 506 offering compliance
- Accredited investor verification
- Blue sky state registration coordination
- Transfer restriction monitoring
Tax Compliance
- RIC (Regulated Investment Company) qualification
- Excise tax compliance and calculations
- Foreign tax credit optimization
- PFIC (Passive Foreign Investment Company) reporting
- State and local tax compliance
Anti-Money Laundering (AML)
- Customer identification programs (CIP)
- Suspicious activity monitoring and reporting
- OFAC sanctions screening
- Enhanced due diligence procedures
- AML training and compliance programs
International Capabilities
Global Fund Services
- Multi-currency processing and reporting
- Foreign exchange management
- International tax withholding
- Cross-border regulatory compliance
- Global custody coordination
Offshore Fund Administration
- Cayman Islands and BVI structures
- Luxembourg SICAV administration
- Irish ICAV and UCITS services
- Bermuda fund compliance
- Regulatory reporting across jurisdictions