Wade served as Vice President, Director of Fund Administration for Ultimus Fund Solutions, LLC where he co-managed the Fund Administration department and was responsible for over 200 funds with more than $50 billion in assets. He was also the Vice President for Ultimus Fund Distributors, LLC, a FINRA registered broker-dealer.
Wade’s areas of expertise include:
Investment Management; Mergers & Acquisitions; Compliance; Broker-Dealer Regulation, Corporate Securities, Corporate Governance, Open-End Investments, Registered Investment Advisers, Transfer Agents, Broker-Dealers, SEC
Oversaw organization and launch of 40+ of open-end, closed-end and exchange-traded funds, including numerous initial startups
Served as liaison for clients to the Securities and Exchange Commission and coordinated responses for dozens of examinations and sweep letters, including in person presentations at client and SEC offices
Drafted, negotiated and revised a variety of financial services contracts including, investment advisory, sub-advisory, distribution, administration, transfer agent, custody, dealer, participation, revenue-sharing, fund supermarket operating agreements and side-letters.
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.CONTACT ME