The Third Party Marketers Association offers Industry Associate participation to firms who offer products or services which support the efforts of third party marketers and investment managers.
Compass Securities Corporation (member FINRA, SIPC) is an institutionally focused, specialized broker/dealer established in 1985 as a wholly owned subsidiary of Compass Capital Corporation.
Areas of Competence and Specialization:
Third party representation of both long only managers, and alternative investment managers.
Debt and equity private placements of tax credit syndications, venture capital, private equity, hedge funds and other alternative investments.
Strong regulatory compliance for our RRs who are third party marketers.
Marketing limited partnerships, separately managed accounts, and 40 Act fund.
Compass serves investment professionals and their clients. Compass offers a broad range of institutional financial products and services. Compass RRs have raised more than $7.5 billion for managers in the last ten years.
DG Analytics provides effective marketing services and innovative systems developed to win assets and maximize revenue for Investment Management Organizations.
• Consultant Database Updates
• Compliance Consulting
• RFP, Questionnaire & Marketing Writing
• Applied Information Management
Cultivate success with tailored marketing materials, sustainable compliance practices and efficient data management. We differentiate your firm from the competition, tailoring your firm’s image for maximum impact in the industry.
Equally important are regular and consistent updates of your firm in the marketplace with current quantitative information and descriptions reflecting your organization’s growth. Work smarter with more efficient data systems and operations!
At DQ Communications, we articulate the key drivers of a client's value proposition.
it's our job to persuasively describe value across each element of the client's business: investment management, philosophy, client service, ethics.
Our specialties include:
Website design and digital content
Marketing white papers, eBooks, case studies, articles
Digital content/website content/content marketing
Institutional-quality presentation materials
Client newsletters, snapshots, & flash reports
RFPs, DDQs, & other questionnaires
General content editing and messaging consult
Dier Associates provides integrated marketing support that is customized to the individual needs of investment management firms. We learn about our clients' businesses, whether they manage equity and fixed income portfolios, an institutional agriculture fund, or any other public or private markets asset class. This enables us to write RFPs, DDQs and marketing collateral that convey the competitive advantages of your firm. We connect with our clients and can serve as an extension of staff. It's one of the main reasons we have been successful for 17 years.
From the development of marketing strategy, presentations and RFP responses, to providing ongoing RFP/DDQ and database support, we have helped our clients succeed in all phases of the manager search process and stand out within their peer group. Based on our industry experience and insights, we incorporate a plan sponsor’s perspective when providing solutions to investment managers.
Contact: Stewart Dier
FNEX is a fintech enabled investment bank. We focus on People, Platform and Product. We provide registration and compliance for registered reps across the U.S. FNEX focus its’ business on capital markets, fund distribution, and trading shares in late-stage venture-backed companies.
FNEX handles all your back-office compliance needs
FNEX helps clients with product marketing and distribution
FNEX offers unique opportunities for generating additional revenue for reps
Our software, FNEX Pro, is an award winning white-labeled Alts platform that democratizes deal discovery, research and valuation, and transaction execution process. This technology allows product sponsors to reach and service a greater number of client relationships than the typical capital introduction operation. We provide clients with:
Turn-Key White-Label Software
CONTACT: Todd Ryden
Phone: (888) 580-2588 x 1700
Investment Management Support Solutions, LLC
IMSS brings organized marketing and database support to Investment Management and
Third-Party Marketing firms.
IMSS provides services to enhance 4 key components of your business;
Consultant Databases – Initial population and ongoing updates
Marketing Support Services – RFP & DDQ’s, Pitchbooks & Factsheets
Custom Marketing Services – Presentation creation for meetings
Operations Analysis – Vendor assessment & cost savings
Consultant databases are critical to new business; they are where searches start. A foundation of the work IMSS does is in supporting firms with their efforts to extend the coverage of consultant databases and to ensure the data provided is up to date, accurate and complete.
With 24+ years of experience in all facets of Institutional Sales & Marketing, working with more than 20 investment management firms, IMSS can quickly assess a manager’s profile and target market, determine areas of need, and implement changes immediately.
Mick Law P.C., based in Omaha, Nebraska, is a specialty firm comprised of full-time and of-counsel attorneys who each possess a concentrated area of expertise and in-depth knowledge. In addition to their law school credentials, the attorneys also have professional and educational credentials, including MBAs, LLMs and securities industry licenses (inactive).
While providing a broad range of legal services to our valued clients, our firm focuses on two principal areas of practice;
Additional areas of practice include:
Monahan & Roth knows compliance and understands the needs of a thriving business, so you can expect services to be delivered on time with the confidence and competence of a seasoned professional. Our consultants leverage successful past experiences with an active professional network to deliver a creative, current and custom tailored solution to each situation.
We are proud of our clients' successes and work hard to ensure the feeling is mutual. If you know our team, you know our broad expertise and personalized services. But if you do not already know us, we hope you will call for an introduction.
Our services include:
Philips Murrah P.C. is represented by exceptional lawyers who take the time to understand the business objectives of our clients who benefit from our creative, collaborative, multi-disciplinary team. Whether we are structuring a make-or-break deal or litigating a bet-the-company case, Phillips Murrah provides a significant depth of legal resources and talent to resolve matters as efficiently and favorably as possible.
Susan E. Bryant provides advice to firms in the financial services businesses on securities, regulatory, compliance, transactional, corporate and related matters, based on over 40 years of experience as an attorney in private practice, in-house counsel to large financial services complexes; and as a regulator. She regularly advises clients on complex securities issues, regulatory issues and general business matters.
Her clients include entities regulated by securities laws:
Small niche broker-dealers and investment advisers
Firms providing both brokerage and advisory services
Issuers of private offerings
Third party marketers and placement agents.
Ultimus Fund Solutions, provides a full suite of middle and back office services for open and closed-end mutual funds, private funds, separately managed accounts, business development companies and other pooled investment vehicles. Our experienced teams of fund accountants, attorneys, paralegals and other investment industry professionals work closely with our clients to achieve their goals.