Core Services

Gemini Fund’s comprehensive core services encompass all aspects of fund administration, accounting, and transfer agent services, and bring efficiencies to even the most successful funds.

Learn More about Each of Our Core Services

Fund Administration

Gemini Fund efficiently handles all administrative duties including preparation and SEC filing of shareholder reports, performance reporting, board relations, tax and compliance services, and ensures due dates are met. With our support, advisors can focus on managing their portfolios and growing assets for their funds.

At Gemini Fund, we are responsive to our advisors’ needs whether they have a procedural question regarding a regulation or desire a conversation simply to toss ideas around with an industry expert.

Gemini Fund uses several state-of-the-art systems to provide the best fund administration service possible, including:

  • Innovative Cloud-Based Portfolio Analytics covering performance, attribution, contribution, allocation, risk and reporting.
  • Charles River Compliance to automate compliance workflow and provide centralized, post-trade compliance monitoring and management.
  • Confluence Unity® to provide daily fund along with benchmark performance calculations, reports in multiple formats, and after-tax performance results for prospectus updates.
  • Dilligent Boardbooks to automate the process of board book creation and distribution.
  • Expensewatch.com to process fund expenses.

Our administration services include the following:

  • Registration preparation for prospectus, SAI and state blue sky registration filings
  • Preparation of articles/by-laws, declaration of trust
  • Preparation of fund governance procedures including Code of Ethics, valuation procedures, clearing agencies, distribution policy
  • Preparation and facilitation of organizational board meetings and materials
  • Assistance and response with SEC exams and comments
  • Independent legal and audit firm search and selection
  • Financial statement preparation
  • Legal entity preparation and filings
  • Maintain fund activity and compliance calendar
  • Monitor fund budgets and expenses
  • Proposals of insurance coverage and fidelity bond requirements
  • Assistance for: class structures, distribution and servicing plan agreements, tax-free conversions, IRA prototype plans
  • Assistance in monitoring SEC compliance, SAI and prospectus compliance and IRS code compliance and support
  • Offshore administration services

Learn more about starting your own pooled product or converting your existing pooled product to Gemini Fund. Or fill out our “Contact Us” form. We are happy to talk with you about the best pooled options for your firm.

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Fund Accounting

Gemini Fund delivers accurate and efficient fund accounting services by utilizing a multi-tiered review process. Our open architecture systems allow for interfaces with advisors, custodians, transfer agents, pricing, and corporate action service providers.

Gemini Fund operates two fully functional fund accounting offices, one in New York and the other in Nebraska. The redundancy provides for immediate disaster recovery and ensures the continuation of service.

Gemini Fund uses InvestOne from SunGard as our investment accounting and reporting system, which provides us with a fully integrated solution that controls and monitors each of its clients’ fund portfolios with the help of advanced reporting features and compliance functionalities. The system offers more than 300 standard reports, as well as report customization tools, and can manage all types of funds on a single database. We also use SunGard’s Control Center, which interfaces with InvestOne as a best-of-breed operational management and monitoring workflow tool that provides a centralized view of fund accounting activity.

Critical information regarding your fund’s daily performance is kept at your fingertips with customized reports and data tailored to meet your needs. We offer your fund these services:

  • Daily portfolio valuation
  • Online integrated general ledger
  • Accrual processing
  • Automated corporate action interface
  • Automated pricing interfaces
  • Daily communication interface to NASDAQ
  • Multiple sell selection methods for tax lot accounting
  • Automated portfolio feed to data warehouse for performance calculations, data feeds and portfolio analytics
  • Internet access to fund accounting reports
  • Client system interfaces
  • Business recovery resources
  • Automated daily custody reconciliation

Learn more about starting your own pooled product or converting your existing pooled product to Gemini Fund. Or fill out our “Contact Us” form. We are happy to talk with you about the best pooled options for your firm.

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Transfer Agent & Shareholder Servicing

Gemini Fund’s Transfer Agent staff supports the full range of detailed, task-driven activities associated with transaction processing. Our exceptional customer service team handles all shareholder inquiries promptly and courteously.

We manage all aspects of shareholder record keeping, and our shareholder call center offers a 24-hour automated response system. Five levels of web access with customized graphics and online access for transactions are available.

In addition, Gemini Fund provides both printed and electronic statements, confirmations, and regulatory mailings. We follow established protocols and maintain extensive reporting on all shareholder communications.

Our shareholder accounting software is PowerAgent from Envision Financial Systems. PowerAgent is a real-time, full-featured system built in an open, modular, and rules-based architecture and is fully customizable.

Gemini Fund partners with Celera Systems to provide sales reporting via SalesStation. We’ve chosen Celera Systems because we believe they provide improved and more detailed sales reporting. Their data management service normalizes and enhances data to assure the integrity of millions of data elements from multiple systems. Our Transfer Agent employees work directly with SalesStation to provide your fund with the reporting needed to drive sales strategies and marketing programs.

Our employees enable the intricate, difficult and time-consuming tasks of shareholder transaction processing and shareholder servicing to be removed from your operations department task list. This allows you to relax, knowing your shareholders’ requests are being handled with the highest level of professionalism, in a secure environment.

Our offering includes:

  • Experienced customer service representatives
  • Shareholder servicing call center
  • Seamless and automated call management and routing
  • 24-hour voice response services for account inquiries
  • Full Internet capabilities including e-signature, private labeling of your website, online access to quarterly statements and confirms, multi-level access to site and high level security
  • Shareholder accounting and record keeping services
  • Complete shareholder activity reporting and communication
  • Territory, dealer, office and representative sales reporting

Learn more about starting your own pooled product or converting your existing pooled product to Gemini Fund. Or fill out our “Contact Us” form. We are happy to talk with you about the best pooled options for your firm.

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Additional Services

Running a mutual fund requires more than a great partnership between an advisor, like you, and a third-party administrator, like Gemini Fund. Your fund may need some additional support to raise assets, meet all compliance requirements and more. We have several sister firms who can help your fund with the needs that are not in our wheelhouse.

Fund Distribution

A mutual fund distributor provides funds many services ranging from compliance support in adhering to Federal, State and FINRA regulations to NSCC trading to processing 12b-1 payments and more. Core services usually include:

  • Providing access to hundreds of established selling agreements
  • Processing 12b-1 payments
  • Facilitating NSCC trading
  • Administering advertising review
  • Offering sales & distribution support
  • Assisting in defining and implementing marketing and distribution plans
  • Connecting funds with broker-dealers to help establish selling agreements
  • Consulting by a designated Key Accounts Manager

Our synergies with Northern Lights Distributors, LLC make them a logical choice for your fund and their services can save you a lot of time and frustration.

Visit them online at www.nldistributors.com or fill out our “Contact Us” form. We are happy to talk with you about distribution options for your fund.

Member FINRA/SIPC

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Chief Compliance Officers

All mutual fund trusts must have a Chief Compliance Officer (CCO) to ensure they meet today’s stringent compliance requirements. If you register your mutual fund in a series trust with Gemini Fund, this service is offered at the trust level. If you operate a stand alone fund with Gemini Fund, we can refer you to Northern Lights Compliance Services, LLC (NLCS).

NLCS has been providing chief compliance officer services to Gemini Fund clients for more than a decade. Their services are tailored for small to medium sized mutual funds and they also provide compliance services to registered investment advisors and broker-dealers.

Their chief compliance officer program for the development of compliance policies and procedures is designed to help funds meet their compliance obligations.

  • A CCO is designated and approved by your fund’s Board
  • The CCO investigates, reviews and assesses the current policies and procedures of your fund
  • The CCO meets your service providers and assesses the adequacy of their compliance policies and procedures
  • The CCO designs a written compliance program to be approved by your fund’s Board
  • The CCO conducts annual reviews of which the findings will be reported to the fund’s Board

Visit them online at www.nlcompliance.com or fill out our “Contact Us” form. We are happy to talk with you about chief compliance officer options for your fund or firm.

0004-NLCS-1/22/2015

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Marketing & EDGAR Filing

A mutual fund has many documents that need to be filed with the SEC and printed. A variety of documents are necessary including prospectuses, annual and semi-annual shareholder reports, shareholder statements, fund profiles, applications and custom envelopes.

Our sister company, Blu Giant, LLC (Blu Giant), provides EDGAR and printing services, which are performed from documents originated on virtually any typesetting or word processing system. All of their finished documents are provided in HTML for superior online quality and proofs are reliably and quickly delivered via e-mail.

These services are part of Blu Giant’s broader offering as a multidisciplinary, “agency for the financial brand.” Blu Giant knows the challenges that advisors face because they’re in the financial services industry too. Through branding, web development, video and social media, Blu Giant helps advisors connect with their audience, share insight, and engage clients on a personal level.

Visit them online at www.blugiant.com or fill out our “Contact Us” form. We are happy to talk with you about filing and printing options for your fund.

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Gemini Fund’s comprehensive core services encompass all aspects of fund administration, accounting, and transfer agent services, and bring efficiencies to even the most successful funds.

Fund Administration

  • Charles River Compliance
  • Confluence Unity®
  • Diligent Boardbooks
  • ExpenseWatch.com

Fund Accounting

  • InvestOne from SunGard

Transfer Agent

  • Online Account Access
  • PowerAgent from Envision Financial Systems
  • Reporting Services
  • Shareholder Desktop

Reporting

  • SalesStation by Celera Systems
  • Innovative Cloud-Based Portfolio Analytics

Ready for More Information?

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