Transfer Agency

Sophisticated and flexible technology, combined with responsive and attentive professionals, ensure ALPS’ shareholder record keeping services are accurate and interactive. Our system is highly customizable, including web-based applications which provide advisers and shareholders remote access to the shareholder data maintained in our Transfer Agency system.

• Utilize the PowerAgent^® system from Envision Financial Systems
  • Establish and maintain new shareholder accounts
  • Process and record mutual fund transactions
• Process dividends and capital gain distributions
• Process commission and 12b-1 payments
• Perform NSCC processing
• Prepare daily reconciliation of all operating DDA accounts
• Generate tailored account statements and confirmations
• Perform year-end shareholder tax reporting
• Ensure compliance with industry privacy regulations
• Provide required AML and CIP monitoring services 

• Provide secure Internet access to shareholder account records via:
• AVA
• TAWeb
• Provide Interactive Voice Response (IVR) system
• Generate customized monthly management reports