Transfer Agent

Fund Administration and Transfer Agent Services for Alternative Investment Funds

Reinventing the Role of Transfer Agent

Our four decades of experience administering millions of investments for hundreds of funds have earned Phoenix American a well-deserved reputation for excellence in direct investment services.

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

  • Real Estate Syndication
  • 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 at a reasonable price makes Phoenix American your total solution for investment administration, accounting and sales reporting. We offer:

Full Service Investor Administration – including

  • 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
  • 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.

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 506(c) / General Solicitation Funds

With the implementation of the JOBS Act and SEC rule 506(c), fund companies are seizing a new opportunity to reach investors and raise money more efficiently than ever before. But with strict and still changing regulations, it is essential for 506(c) fund companies to separate their operations from the roles of accreditation, record keeping and compliance. Also, the task of processing and admitting new investors obtained through general advertising can be a far greater operational challenge than sponsors expect. Phoenix American is ready to help with 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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