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Expertise

28 years of providing Distribution services has given ALPS the opportunity to provide a high level of expertise. Our talented and knowledgeable staff are well prepared and strive to maintain their knowledge in the field to benefit our Clients.

ALPS Distributors, Inc. has a longstanding network of relationships with other distributors in the industry, regulators, and industry groups (e.g. ICI) and are actively engaged with all on a regular basis.

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Distribution / Broker Dealer Services

ALPS provides Distribution services to one of the broadest product and strategy mix of marketing materials in the industry. From start-ups to some of the largest funds in the industry, from open-end, closed-end, UITs, ETFs, and private placements.

Each piece of advertising gets a double layer of review, between reviewer and principal, and most reviewers also have their principal license.

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Get Started

elevate YOUR TEAM by allowing ALPS to help you through your Distribution requirements.

Use the contact form below to request more information.

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  • ALPS Distributors, Inc. has a longstanding network of relationships with other distributors in the industry, regulators, and industry groups (e.g. ICI) and are actively engaged with all on a regular basis.

    Five Series 24 principals, seven Series 26 principals and two Series 4 options principals in house.

  • Each piece of advertising gets a double layer of review, between reviewer and principal, and most reviewers also have their principal license.

    We currently own two Broker/ Dealers and also support the operations of two others, for whom we have created new entities.

    While we commit to a 72 hour turnaround on advertising, our actual average turnaround time is less than 48 hours.

About ALPS Distributors

500 +

Billion in Client Assets Serviced

770 +

Registered Representative Licenses Administered

9000 +

Selling Agreements Managed and Reviewed

14,000

Advertising Pieces Reviewed Each Year

Since 1985, ALPS Distributors, Inc. has maintained a continuous record of compliance excellence. Servicing over $530 billion in client assets, ALPS' Distribution experts administer over 770 registered representative licenses, manage over 9,000 selling agreements and review approximately 14,000 advertising pieces each year.

ALPS proprietary technology allows our clients to upload advertising pieces and track selling agreements on a real-time basis. Our clients have benefited from this efficient technology through time and cost savings, which in turn has allowed them to focus their efforts on asset gathering.

Our Services

The power of collaboration with our clients allows ALPS to determine which distribution services are best suited for their specific needs.

Distribution
Consultative
Services

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Act as
Legal Underwriter /
Distributor

Maintain
Licensing of
Sponsor's Staff

Administration
of
Intermediary Syndicate
Compensation

Intermediary
Selling and Servicing
Agreements

Marketing
Materials Review
and Approval

Intermediary
Due
Diligence

Act as a
Private Placement
Agent

Distribution Consulting Services

"It's a Process". This is what we have learned in the course of providing Distribution Consulting Services through partnering with many unique and distinct investment firms over the last 30 years. The knowledge we have gained from our clients’ successes and failures points to one solid fact - building, growing and maintaining a mutual fund distribution syndicate is a deliberative process. Let us help your organization make an informed decision.
Planning
Preparation
Patience
Performance
Partnership
  • Planning

    Define Target Market, Platform Strategy, Share Class Structures, Intermediary cost-sharing and typical start-up cost considerations

  • Preparation

    Analyze current mutual fund distribution marketplace and determine both short, medium, and long term goals for success. Develop a feasible National Distribution Plan to grow and maintain assets

  • Patience

    Stay the course, trust your preparation and planning. There are no shortcuts to success

  • Performance

    Performance remains the most critical factor for successful asset gathering

  • Partnership

    Benefit from ALPS’ knowledge and experience to help grow your distribution syndicate. ALPS will support your Distribution efforts from initial consulting to ongoing Day to Day operations

Sales Reporting and Research Tools

Resources

For more information and insight please contact

alps guy icon

James J. Curry

ALPS Distributors, Inc.
720-917-0580
James.Curry@alpsinc.com

Contact ALPS
ALPS
Denver
Seattle
  • Bellevue Place
  • 10500 NE 8th St. #1000
  • Bellevue, WA 98004
  • 425.454.3770
New York
  • 1177 Avenue of the Americas, 5th Floor
  • New York, NY 10036
  • 646.452.7070
Boston
  • One Financial Center
  • 15th Floor
  • Boston, MA 02111
  • 617.426.1745
Toronto
  • ALPS Fund Services Canada, Inc.
  • 30 Adelaide St. East, #1
  • Toronto, Ontario M5C 3G9
  • 416.506.8305