Principal Underwriting Services

Herald Investment Marketing (“HIM”) provides Principal Underwriter/ Statutory Distribution services for investment companies (Mutual Funds) and ETFs. HIM can also act as Placement Agent for Private Placement activities and can serve as Distributor for Private Funds.

What We Can Do for You

  • Serve as Principal Underwriter
  • Mutual Fund Sponsor or Mutual Fund Wholesaler
  • Sponsor Private Placements and Private Funds
  • Maintain Broker-Dealer agreements as Principal Underwriter
  • Enter into Dealer and Sub-Placement Agent agreements to facilitate sales of Fund shares or other Ownership Interests
  • Form Broker-Dealer for Clients; White Label Broker-Dealers for Client use; Complete New Membership Applications; Obtain FINRA Membership; Serves as CCO or FinOp as needed
  • Support you with Fund/SERV and networking agreements
  • Administer Rule 12b-1 plans and load payments, according to the funds’ authorized distribution plan (includes board reporting)
  • Register with states and FINRA; Renew filings and state-specific requirements; submit annual reports to state jurisdictions and regulatory organizations.

Leverage our industry relationships to enhance your distribution network. Our team will negotiate and prepare dealer selling agreements and provide for the ongoing monitoring of your selling partners. A comprehensive due diligence review of prospective dealers will assist in the marketing process.

Herald Investment Marketing will assist with reviewing your contracts for compliance with security regulations. We can also help you develop a strategy for Funds Sales. Our multi-disciplinary team has the legal professionals, financial professionals, regulatory and compliance professionals to help you have a multilevel review of your agreements. Consulting services can help you hone the right personalized approach to your agreements.

HIM will listen to your objectives, concerns and questions, and will develop a personalized plan to help you secure the Dealer Agreements you desire.

Contact Us

Don’t get caught with insufficient agreements that do not have terms to benefit and protect you. Contact Herald Investment Marketing to find out how we can help. Set up your consultation today.

Request A Proposal Today   Contact Us Directly

Modified: November 7, 2018