ARBOR COURT CAPITAL
Arbor Court Capital, LLC is a FINRA registered broker dealer specializing in mutual fund distribution services. Capitalizing on our ability to streamline efficiencies with affiliated Transfer Agent, Fund Administration, and Trust services all under the same roof we are part of an industry leading ecosystem for cost conscious fund advisors.
PRIMARY SERVICES
Fund/SERV Access: As a member of the National Securities Clearing Corporation, we can obtain and NSCC clearing number for your fund(s) to access the Fund/Serv platform.
Agreements: Assist with the execution and record keeping of intermediary selling agreements, dealer agreements, and platform agreements.
Onboarding: Our firm coordinates completion and review of platform onboarding and due diligence questionnaires.
Advertising: We employ series 24 licensed personnel to review and file all fund advertising materials with FINRA and maintain associated records.
Regulatory Support: Arbor Court Capital, LLC assists with all applicable regulatory inquiries.
SECONDARY SERVICES
Licensing: Our firm can sponsor FINRA and state registrations for certain investment advisor representatives who are marketing the fund(s) such as the SIE, Series 6, 7, 24, and 63.
MFPS II: We offer solutions to establish and maintain Mutual Fund Profile Service II data based on client needs.
Signature Guarantee: Arbor Court Capital, LLC can provide signature medallion guarantee and notary services as needed.
START A MUTUAL FUND
Dr. Gregory Getts, President of Arbor Court Capital is a foremost expert in establishing a successful mutual fund.
As a contributor to "Start A Successful Mutual Fund: The Step by Step Reference Guide to Make it Happen" the reference guide was reviewed as:
" finally a step-by-step guide to encourage more fresh thinking...this book is a wonderful guide for future fund leaders."
-- Don Phillips, Managing Director, Morningstar, Inc.
AND
"a complete business plan and guideline for the successful launch of a new mutual fund. Melinda Gerber has covered everything".
-- Amy Domini, Founder and CEO, Domini Social Investments