Foreside News
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc. In addition to providing certain distribution services, Foreside will now also provide registered rep compliance services.
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm. Foreside will be providing certain distribution and compliance services to the Trust and its portfolios.
May 27 2008
Rich Berthy, a founding member and partner at Foreside, will assume the role of President on May 30th from current President, Simon Collier. Mr. Collier will remain an employee and partner of Foreside but will be concentrating his time on serving his existing Sarbanes-Oxley clients and developing a consulting business.
May 07 2008
Foreside has signed a lease for new office space at Taylor Road, Gahanna, near to Columbus airport, and will move there in July from temporary accommodation at 3435 Stelzer Rd.
May 05 2008
Foreside is pleased to welcome Northern Trust and their NETS ETF family of funds as a new client of our firm. Foreside will be providing Distribution and certain Treasury support services to the funds.
Apr 23 2008
Foreside has signed a lease for new office space at 10 High Street, Boston and will move there in July from temporary accommodation at 100 Summer St.
Apr 17 2008
Peter Guarino, Managing Director, Foreside Compliance Services, will be speaking at a panel session: 'Overseeing Service Providers' as part of the ICI's April 17th-18th Mutual Fund Compliance Programs Conference in Washington D.C.
Apr 09 2008
Foreside welcomes the RidgeWorth Funds, previously known as the STI Classic Funds. Foreside will continue to provide Distribution services to this family of funds.
Apr 01 2008
Foreside welcomes the new Merk Asian Currency Fund managed by Merk Investments, of California. Foreside will provide Distribution and certain compliance services for this new fund.
Mar 13 2008
Foreside welcomes ProFunds Distributors Inc. ("PDI") as a new client to our firm. Foreside will provide certain administrative support functions to PDI.
Mar 03 2008
Foreside Compliance Services, LLC, provides comments on proposed new SEC rule regarding 'Enhanced Disclosure and New Prospectus Delivery Option'. Please see letter here.
Feb 25 2008
Foreside has been named distributor for two new Henderson Global Funds, both offered for the Institutional marketplace. Foreside has maintained a valued client relationship with the Funds' adviser, Henderson Global Investors (North America) Inc., since the fall of 2001.
Feb 22 2008
Foreside welcomes The Thirty-Eight Hundred fund. Foreside will provide certain compliance, Sarbanes-Oxley and Distribution services to the fund.
Feb 18 2008
Foreside welcomes RevenueShares ETF Trust to our firm. Foreside will provide certain compliance, Treasurer and ETF Distribution services to the Trust.
Feb 15 2008
Foreside is pleased to announce the roll-out of our innovative 'Ad Review Portal'. Designed to facilitate and streamline the process of input, tracking and approval of fund sales material by our Distributor staff, the system has been designed and built in-house with extensive assistance from a number of clients who participated in our pilot program. For more information please see sales material compliance review.
Jan 28 2008
Foreside welcomes Asset Management Funds. Foreside will provide certain NSCC membership services to the Funds.
Jan 28 2008
Foreside welcomes the Actinver Mexican Bond Fund. Foreside will provide certain NSCC membership services to the Fund.
Jan 15 2008
Foreside welcomes Westwood Holdings Group, Inc., as a new client of our Registered Representative compliance and administration services for the WHG Funds.
Jan 14 2008
Foreside welcomes Manning & Napier Advisors, Inc as a new client of our firm. Foreside will provide certain NSCC membership services to the Manning & Napier Collective Investment Trust Funds.
Jan 10 2008
Foreside welcomes Union Bank of California as a new client of our firm. Foreside will provide certain NSCC membership services to UBOC
Jan 07 2008
Foreside welcomes, RMR Real Estate Securities Fund, sponsored by RMR Advisors, Inc. as a new Foreside client. Foreside will provide certain distribution services to the Trust.
Dec 19 2007
Foreside welcomes Holland Capital Management, LLC as a new client of our firm. Foreside will provide distribution services to the Lou Holland Growth Fund.
Dec 14 2007
In support for our commitment to our communities and in lieu of Holiday gifts, Foreside's partners will make a similar contribution on behalf of our valued clients to the Ronald McDonald House and the Big Brothers Big Sisters organizations. These organizations help to change the lives of individuals throughout the nation. Foreside's Partners and staff wish all of our clients and contacts best wishes for the Holiday season.
Dec 04 2007
Foreside is pleased to welcome Jennifer Hoopes as a new member of our Portland team. Jennifer will be serving as counsel to Foreside, and will be responsible for corporate legal matters.
Dec 03 2007
Foreside is delighted to welcome Mark Redman to our senior team. Mark will be responsible for our Distribution business and will be based in our Columbus, Ohio office. Mark will serve as President of Foreside's six affiliated Broker Dealer firms. Please see Mark's Bio.
Nov 30 2007
Foreside welcomes Victory Capital Advisers, Inc. as a new client of our firm. Foreside will provide certain NSCC membership services to the Victory Funds.
Nov 30 2007
Foreside is pleased to welcome FocusShares LLC and their new exchange traded fund family. Foreside will provide ETF Distribution, Compliance and SOX certification services for the ETFs, initially consisting of: ISE Homebuilders Index Fund; ISE SINdex Fund; ISE-CCM Homeland Security Index Fund; and, ISE-REVERE Wal-Mart Supplier Index Fund.
Oct 17 2007
Foreside is pleased to welcome London and Capital and their new SPA exchange traded fund family. Foreside will provide Distribution, Compliance and SOX certification services to the funds, initially consisting of the 'Marketgrader 40 fund', 'Marketgrader 100 fund', 'Marketgrader 200 fund', 'Marketgrader Small Cap 100 fund', 'Marketgrader Mid Cap 100 fund' and the 'Marketgrader Large Cap 100 fund'.
Oct 15 2007
Foreside is pleased to welcome James Klein, CPA as a new member of team. Jim will report to Trudi Bakke, Director, Financial Reporting and will specialize in Sarbanes-Oxley reporting for funds. Please see Jim's bio.
Oct 09 2007
Ziegler Capital Management, a registered investment advisor based in Chicago, has retained Foreside Advisory Network to provide certain marketing services for the 'NYSE Arca Tech 100 Exchange Traded Fund' (NYSEArca:NXT).
Oct 05 2007
Foreside is pleased to announce the pilot phase of our innovative 'advertising review' web portal. Designed to facilitate and streamline the end-to-end process of input, tracking and approval of fund sales material, the system has been designed and built in-house by Foreside's compliance and IT staff. For more information please see sales material compliance review.
Oct 04 2007
Foreside is pleased to extend its existing service relationship with The Japan Fund. In addition to providing a named CCO, Foreside will now also provide distribution services and Treasurer/PFO services to the fund.
Oct 02 2007
Foreside is pleased to welcome Envestnet Asset Management as a new client of our firm. Envestnet of Chicago, IL, manages the PMC Funds for which Foreside will provide distribution related services.
Oct 01 2007
Foreside is pleased to welcome PNC Funds Inc. (formerly Mercantile Funds Inc.) as a new client of our distribution services. PNC Funds are advised by PNC Capital Advisors Inc. of Baltimore, Maryland.
Oct 01 2007
Foreside is delighted to welcome Chris Lanza to our senior team in Portland. Chris will serve as Director, ETF Services for Foreside Financial Group, LLC. Please see Chris' bio.
Sep 13 2007
Foreside is pleased to welcome the CNL Funds as a new client of our firm and shall serve as the distributor to the CNL Funds, a newly created fund family. CNL Fund Advisors Company, based in Orlando is the advisor to this fund family.
Sep 13 2007
Foreside is delighted to welcome David Whitaker to our senior team in Portland. David will serve as counsel to Foreside Financial Group, LLC. Please see David's bio.
Sep 11 2007
Foreside is pleased to welcome Citizens Advisers, Inc. of Portsmouth, New Hampshire, as a new client of our Sarbanes-Oxley certification service.
Aug 09 2007
Dover Corporate Responsibility Management, LLC, a registered investment advisor based in Greenwich, Connecticut, has retained Foreside Advisory Network to provide certain marketing services for its fund product.
Aug 01 2007
Foreside announces the completion of a private transaction to acquire a number of Broker Dealer entities that provide Distribution services for over $125bn of Mutual Fund products. more
Jul 02 2007
Foreside is pleased to welcome Hirtle Callaghan Trust of West Conshohocken, PA, as a new compliance services client of our firm. Foreside will be providing a named Chief Compliance Officer to the Trust which comprises 5 fixed income and 4 equity funds.
Jun 29 2007
Foreside is pleased to welcome Liberty Street Advisors, Inc. of New York, NY as a client of our firm. Foreside will be providing Liberty's fund's with a range of services including compliance, certifying officer and distribution.
Jun 29 2007
Ironwood Investment Management, LLC, a Boston based, independent investment firm that specializes in small company stock investing, has retained Foreside Compliance Services to provide PFO/Sarbanes-Oxley certification services for the Ironwood Isabelle Small Company Stock fund. (IZZYX)
Jun 22 2007
Foreside welcomes Nicole Scott (Office Administrator), Karen Brooks (Compliance Specialist) and Jim Atwood (Compliance Specialist) to our expanding team.
May 30 2007
Foreside Advisory Network, LLC led the wholesaling effort for the RMR Asia Real Estate Fund (AMEX: RAF) which priced on May 24th, generating gross demand in excess of $95 million dollars.
May 25 2007
Foreside has been retained to provide certain compliance services to the Macquarie Global Infrastructure Total Return Fund (NYSE: MGU), a closed-end fund advised by Macquarie Fund Adviser, LLC.
Apr 27 2007
Foreside is pleased to welcome The Japan Fund, the world's first and oldest Japanese equity fund, as a new client of our firm. Foreside will provide compliance services, including a named 'Independent CCO', to the fund.
Apr 23 2007
RMR Advisors, Inc., an affiliate of Reit Management & Research LLC of Boston, MA, has retained Foreside Advisory Network to assist them with certain marketing and sales planning assistance.
Apr 13 2007
Foreside welcomes Candlewood Advisory Partners, LLC a Boston based, third party marketing firm, as a new client of our Registered Representative compliance and administration services.
Apr 12 2007
Foreside is pleased to announce that assets under Distribution at Foreside have risen to more than $40bn as at the end of March 07, up from $30bn in the 4th quarter of 2006.
Mar 29 2007
Ironwood Investment Management, LLC, a Boston based, independent investment firm that specializes in small company stock investing, has retained Foreside Advisory Network to assist with certain marketing and sales planning for the Ironwood Isabelle Small Company Stock fund. (IZZYX)
Mar 20 2007
Guardian Investor Services Corporation, a New York based subsidiary of Guardian Life Insurance Company, has retained Foreside Advisory Network to provide sales reporting services for certain mutual fund transactions.
Mar 19 2007
Foreside partners with Access Data Corp to provide sales data solutions to smaller mutual fund organizations. View the full press release.
Mar 08 2007
Foreside is pleased to welcome HSBC Investments and The Taiwan Fund (TWN), a closed-end fund listed on NYSE and managed by HSBC Investments, as a new client of our compliance services for registered investment companies.
Feb 23 2007
Brown Advisory, a Baltimore based Advisor, has retained Foreside Advisory Network to assist them with certain marketing and sales planning assistance for the Brown Intermediate Income Fund (BIAIX).
Jan 23 2007
Foreside is pleased to welcome Accessor Capital Management LP of Seattle, Washington as a new client of our registered rep compliance services.
Jan 19 2007
Foreside is pleased to welcome Central Park Group, LLC of New York, NY as a new client. Foreside will be providing various fund compliance, distribution, private placement agent and rep compliance services to the firm.
Jan 09 2007
Foreside is pleased to welcome Access Capital Strategies, LLC of Boston, MA as a new client. Foreside will provide compliance services, including a named 'Independent CCO', for the Access Capital Strategies Community Investment Fund, Inc.
Jan 03 2007
Foreside welcomes Aberdeen Asset Management, Inc., of Philadelphia, PA, as a new client of our Registered Representative compliance services.
Jan 02 2007
Foreside is pleased to announce that Mr. Stacey Hong has joined our firm as Director, Consulting Services. Stacey is an experienced mutual fund Treasurer and will lead our growing consulting business.
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New Clients
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc.
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm.
May 05 2008
Foreside welcomes Northern Trust and the NETS ETF family of funds to our firm.
Apr 09 2008
Foreside welcomes RidgeWorth Funds as a new client.
Apr 01 2008
Foreside welcomes the new Merk Asian Currency Fund as a new client.
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