Wealth & Finance International - Fund Awards 2015

www.wealthandfinance-intl.com 27 ALPS is a DST Company offering a full-service partnership approach to a select group of fund clients looking for truly customized service. We provide our clients turn-key capabilities anchoring all of the diverse resources needed to run a full-service fund complex. Headquartered in Denver with offices in Boston, Seattle, Toronto, and New York, ALPS currently employs approximately 530 people. In two and a half decades, ALPS has evolved from its modest beginnings of servicing a single bank mutual fund client, into a full-service provider to the investment management industry. With an executive team that has been in place for 20 years, ALPS continues to actively promote all of its various business segments, from asset servicing through ALPS Fund Services Inc. to asset gathering through ALPS Distributors Inc. and ALPS Advisors Inc. Innovative processes and solutions, which give our clients a tremendous amount of flexibility in how they choose to navigate the fast-changing landscape in the asset management arena are at the heart of our contin- ued success. Developing a partnership model with our clients allows for collaboration on marketing, strategy and product development to support the most innovative products in the exchange-traded product space. Keeping our clients up to speed involves providing timely and accurate information; achieving this is a source of great pride to ALPS. Without this they cannot manage their funds optimally to provide the most shareholder value as possible. It is this type of understanding, that each part of data we handle, whether it be transfer agency, shareholder data, daily fund NAV calculations, or the legal drafting of shareholder material (like prospectuses), has a direct influence on the efficiency of our clients and the ultimate satisfaction of the shareholders of their products, which guides our daily practise while managing funds. High standards are an absolute must in this industry, and to ensure that clients get personalised treatment ALPS ensures that within each de- partment there is a dedicated team servicing a client’s funds. The team service model has many benefits, but the main advantage is that clients can always communicate their needs to a member of the company who is familiar with them and their portfolio. Personalisation is the key to our team endeavour; meaning the size of the team assigned to a client will vary depending on the size and complexity of the client’s needs. If addi- tional staff is required to handle a case then additional staff is delivered. What the clients need is what we deliver. Ensuring an approach which provides a comprehensive methodology for measuring our service levels, is the client’s dedicated Relationship Manager who oversees what is called the ALPS FBRM (Fact-Based Relationship Management) system. This approach guarantees clear communication with all issues being discussed on a regular basis which is the cornerstone to meeting and exceeding expectations. Innovation is also the key to ALPS staying ahead of regulatory, techno- logical, and asset management trends. Keeping up with all this is the responsibility of the forward-looking committees and working groups who develop and evaluate the trends, new products, and services available to our clients. New product support platforms and the development of new technology, such as the ETP bulk order processing system (a closed-end turnkey solution) and the exchange-traded mutual fund trust supporting the newest generation of exchange-traded products, provide unique, cost-efficient opportunities. Another benefit offered to clients is accessibility to the Directors in each department. Clients can pick up a phone and call anyone in manage- ment at ALPS. Everyone from the President to the Directors of ALPS pride themselves in procuring strong working relationships with each of our clients. Everyone including the President and Directors of ALPS is wary of be- coming a victim of our own success, we always ensure that our staffing levels are sufficient to meet the demands of our services. Growth should never compromise the services available to our existing clients. In fact, our diverse field of current clients allow us to enhance the new services offered. This diversity also allows management a greater breadth of ex- perience and knowledge regarding distribution issues to the benefit of all of our clients. Alliances and partnerships provide ALPS with the experts who enable us to produce, develop, and distribute services clients need. ALPS’s ability to customise and differentiate to meet each client’s need sets us apart. Remaining committed to investing in time, technology, and human capital resources allows us to grow our business and ensure that the systems we put in place are never too rigid to adapt to client and industry needs. It is growth and success which has led to our wide range of active distribution consulting services offered; services which range from strategic planning consultations, to market research, to broker-dealer selling agreements, to configuring a wholesale team. Additionally, ALPS has experience in product development, offering a full-service Creative Service Department. Both the size and the structure of the company help give us the agility to focus on client service unfailingly. As laid out in the five guiding princi- ples of the firm: • We believe that personal relationships are the foundation of our success • We are committed to “Do Things Right” • We are driven by growth and the challenges and opportunities it presents • We strive to establish and grow relationships with organizations that share our values • We promote an open and enthusiastic environment that leads to job satisfaction and career advancement based on merit With the tremendous amount of growth seen in the exchange-traded product space over the last year, active, and passive-managed ETPs and market entrances by some of the largest mutual-fund based manag- ers are looking to partner with us to launch exchange-traded product options. Our future holds continued growth in the exchange-traded product space, as well as constantly looking for new growth in other service ar- eas, by maintaining and building on our success and continuing to hold onto our culture as a company. Our partnership with our clients remains consistently at the heart of what we do.

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