Transfer Agent

Fund Administration and Transfer Agent Services for Alternative Investment Funds

Reinventing the Role of Transfer Agent

Over four decades of experience administering millions of investments for hundreds of funds have earned Phoenix American a reputation for excellence in direct investment services. An SEC registered transfer agent, the company has developed advanced systems and precision operational support services to free fund managers to focus on the functions that drive their success.

Phoenix American provides industry leading transfer agent, shareholder record keeping, fund accounting and tax preparation as well as sales and marketing reporting services to companies that manage any variety of non-traded investment program:

  • Hedge Funds
  • Private Equity Funds
  • Business Development Companies
  • Real Estate Syndication
  • Non-traded REITs
  • Regulation D Offerings
  • Fixed Income Funds
  • Commodity Pool Operators
  • Asset-backed Securities
  • Equipment Leasing Funds
  • Oil & Gas Funds

Phoenix American's reputation speaks for itself. Distinctive quality, superior technology and committed customer service make Phoenix American your total solution for investment administration, fund accounting and sales reporting. We offer:

Full Service Investor Administration – including

  • The STAR-XMS transfer agent / investor administration system
  • New Business Processing
  • Bank Account Management
  • Electronic Document Management
  • Database & File Management
  • Electronic & Physical Data Storage
  • Confirmation Letters
  • Investor / Rep Access to Records Through Customized Web Portal
  • Printing and Fulfillment - checks, statements, prospectus, marketing and investor communications

Investor Relations

  • Dedicated Call Center
  • Over 10 Years Average Employee Experience
  • Headquarters-based Customer Service
  • Email Alerts & Communications
  • Distributions
  • Redemptions
  • Transfers
  • Account Summary
  • Commission Calculation
  • Proxy Processing
  • Tax Reporting
  • Tax Services - 1099/K-1 Processing
  • Comprehensive Sales & Marketing Reporting
  • Escheatment
  • OFAC Compliance

Phoenix American offers the STAR-XMS transfer agent system, transforming what clients expect and what they will derive from their transfer agent experience. And with SalesStrike, our clients realize the full marketing potential of their investment information with a powerful set of reporting tools fully integrated with their transfer agent system.

Services Customized to Your Needs

Phoenix is here to address whatever operational issues your fund may face. If you simply need a more efficient and versatile system for managing your investor database, STAR-XMS can be hosted for your internal operational use. Whatever other back office or tax/accounting pain points you experience, we can tailor a custom solution to ease your burden and maximize your efficiency up to and including full service back office outsourcing by our professional in-house staff.


Hedge Fund Administration / Fund Accounting

Services for Emerging Hedge Fund Managers

Institutional quality third-party fund administration and accounting, in place from day one, can make a critical difference for a new fund. Banks, prime brokers and institutional investors regard fund infrastructure as a hallmark of a serious start-up manager.

Phoenix American emerging manager solutions provides credibility and guidance as your fund is forming, efficiency and compliance as your assets and investor base grows. Get a leg up on your competition with your own team of industry experts.

Fund Administration from Day One

  • Your Personal Support Team
  • Instant Infrastructure and Fund Credibility
    • Banking
    • Investor Relations
    • Compliance
    • Account Services
  • Industry Insight
  • Resources and Relationships
  • Monthly Investor Reporting / Fund Administration
  • KYC / AML Processes
  • Compliance
  • Tax Preparation Services
  • Fund Accounting
  • Phone Support
  • Cash Management

Make Phoenix American your first call when you decide to launch your fund.


Proxy Services

Proxy season is a breeze with Phoenix American's fully integrated proxy services. We provide end-to-end proxy preparation, delivery and tabulation services all performed in our secure headquarters facility.

  • Onsite proxy ballot printing and mailing
  • Email proxy solicitation in conjunction with mailing
  • Voting options:

ü  Mail - return via business reply envelope

ü  Phone – dedicated 800 investor number

ü  Online Voting – via your customized secure web portal

  • Follow up solicitation by mail, email and personal phone calls by our professional phone associates
  • Tabulation and Archive of Voting Records – audited for compliance
  • Secure on-site production and data storage
  • SOC-1 audited procedures


Administration Services for General Solicitation Funds - 506(c) and Regulation A+

With the implementation of the JOBS Act, fund companies are seizing a new opportunity to reach investors and raise money more efficiently than ever before with funds formed under SEC rule 506(c) and Regulation A+. But with strict and still changing regulations, it is essential for fund companies engaged in general solicitation to separate their in-house operations from the roles of accreditation, record keeping and compliance. The accredited investor requirements of rule 506(c) and the auditing requirements of Regulation A+ make compliant procedure and administration of new investments of paramount importance. The task of processing and admitting new investors obtained through general advertising can be a far greater operational challenge than sponsors expect. To perform this task efficiently, and with the necessary compliance, takes experience and proven procedures. Phoenix American has helped to blaze this trail, and offers front-office and back-office outsourcing solutions tailored to the special needs of funds engaged in general solicitation of investors.

  • Investor Prospect Call Center
  • Printing and Fulfillment of Sales Materials
  • Accreditation Services for Individuals and Institutions
  • Investor Document Review and Follow Up
  • New Investment Processing in STAR-XMS
  • Coordination with Advertising Entities
  • Investor Updates via Mail, Email, or Customized Web Portal
  • Transfer Agent Services featuring the STAR-XMS Transfer Agent System.

Industry knowledge, the right technology, attention to detail and dedicated customer service are critical to effectively managing the respondents to sponsor advertising, verifying their accreditation and suitability and processing them as new investors. Phoenix American has served some of the very first funds to emerge from the new regulations and has contributed greatly to their success.


Crowdfunding - Special Purpose Vehicle (SPV) Administration

For crowdfunding platform operators, Phoenix American offers a complete back office solution utilizing the STAR-XMS system for the administration of special purpose vehicles. Automated new business entry, distributions, transfers, accounting and K-1 processing are available in a package tailored to the needs of your offering. Phoenix American back office solutions for crowdfunding portals streamline operational efficiency while remaining invisible to the investor.


Investor Accreditation Services

Ensuring that investors are accredited and suitable to participate in alternative investment funds has never been more important. With the recent changes in regulation enabling general solicitation, regulators are enforcing suitability of investors like never before. Phoenix American provides accreditation services in strict compliance with SEC rule 501 establishing qualification by annual income or net worth. Employing a comprehensive combination of automated and manual systems, submitted documentation and direct investor relations, Phoenix American establishes and verifies the qualification of each investor. A Phoenix American Accredited Investor Certificate, with attorney signature, is then issued that is valid for use with any alternative investment for the duration of its 90-day validity under federal law.

The STAR-XMS system includes an accreditation module for clients where the accredited investor information for a fund is available and searchable along with all supporting documentation. This information is easily accessible for audit support and to streamline the process of re-accrediting investors for future programs.

For more information on Phoenix American Transfer Agent and Back Office Outsourcing Services, contact Tony Olivo at (415) 223-1710.

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Learn how the STAR-XMS system can streamline your investment operations.
Call Tony Olivo at (415) 223-1710.

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