Transfer Agency & Investor Services

Institutional-class, back-office operations with an emphasis on high-touch customer service

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Overview

Phoenix provides end-to-end fund administration for funds of any scale, regardless of AUM or investor count. The revolutionary STAR-XMS fund administration system centralizes all back-office functions in a single system with powerful reporting capabilities, enabling Phoenix to achieve an unparalleled level of operational efficiency. Sales and transaction reporting output empowers your sales teams to drive success. Phoenix is an SEC-registered transfer agent with SOC 1, Type II audited processes. Many self-administered funds use STAR-XMS for their own operational use.

Account
Management

Your partner-oriented team of experienced professionals understands your fund’s goals and services your needs with responsive attention to detail and a deep bench of operational backup.

  • Tenured and Knowledgeable Staff
  • Account Teams based at San Rafael, CA, Headquarters
  • SEC-registered Transfer Agent
  • SOC 1, Type II Audited Processes

Proprietary
Technology

The STAR-XMS transfer agent system was designed by Phoenix to centralize and streamline all back-office functions. Housing the complete shareholder database and all related historical information, STAR-XMS integrates seamlessly with fund accounting, tax, cash management, the investor web portal and printing operations to facilitate and standardize all back-office processes.

Learn more about our technology

Industry
Connectivity

Our systems are linked to all major industry participants. Our long-standing relationships throughout the industry enable any direct connectivity to be established.

  • DTCC AIP Platform
  • Custodians
  • Broker Dealers & RIAs
  • Fintech
  • Blockchain
  • DST FAN Mail
  • Customizable to Your Needs

Cash
Management

Advanced systems and proven processes ensure the efficient movement of funds for all purposes.

  • Distributions
  • Payouts
  • Incoming Business
  • Cash & Transactions
  • Transfers & Redemptions
  • DRIPs
  • Corporate Actions
  • Account Maintenance
  • Add-Ons
  • SOC 1, Type II Audited Processes

Compliance
Services

Phoenix systems and services are designed to meet your fund’s regulatory requirements, whatever its size, structure or stage in its life cycle.

  • Blue Sky Tracking
  • OFAC/FinCEN Checks (Patriot Act)
  • KYC/AML Checks
  • FATCA
  • Accreditation Services (506b, 506c)
  • Compliance Checks
  • Feeder Fund Liaison Services (Offshore Funds)
  • Escheatment/Lost Investor Tracking
  • Critical Infrastructure Protection (CIP)

Forms
Processing

Prompt and accurate completion, processing and archiving of physical forms saves everyone time and frustration. Investors, advisors and sponsors appreciate the accuracy and reliability Phoenix brings to the process.

  • New Investment Processing
  • Transfers
  • Redemptions
  • Confirmations
  • Notifications

Learn why industry leaders trust us for their back office

Let’s discuss how Phoenix can elevate your investor experience