Spectrum’s Management and Client Account Teams have deep industry experience and have worked in large hedge funds, financial institutions, or public accounting firms which serve the industry. We know our clients’ issues and provide high levels of customer service through an account management structure.

Investor Services is the liaison between Spectrum, our clients, and their investors. Thorough, accurate, and confidential communications are essential. The staff on this team has hedge fund experience, especially in auditing and Anti-Money Laundering (AML).

The Investor Services team ensures that the investor receives timely and relevant reports depending on parameters set by our client. Their role is to understand the various components of the fund such as management and performance fees, high-water marks, and other variables that affect the month-end reporting.

• Perform Know Your Client and AML checks.
• Set up new accounts in accordance with the specific terms set forth in the funds offering documents.
• Obtain and record all relevant subscription, redemption, and compliance information
• Review all documents prior to execution of services.
• Process transfers and redemptions in a timely manner.
• Maintain all appropriate registers and ledgers.
• Assist with annual financial audits and regulatory audits.
• Provide data to tax professionals for preparation of federal and state income tax returns as well as the preparation of partner or shareholder income tax reports and Form K-1.
• Receive and respond to investor inquiries.
• Ensure distribution amounts are calculated accurately.
• Periodically review investor information and confirm data is safeguarded and secured from unauthorized access or distribution.

The Investor Services team performs AML due diligence to ensure investors or potential investors do not meet any of the criteria set forth in AML laws. In our Spectrum Cayman office, Investor Services performs these same tasks for offshore funds, adhering to more stringent regulations and AML procedures. Additionally, Cayman Investor Services will set up bank accounts, provide Registered Office, attend director/board meetings, and offer registrar and transfer agent services.