Our Services
The governance of 1940 Act registered funds is becoming increasingly complicated and challenging – new regulations are introduced, product proliferation is confusing, and shareholder participation continues to decline. Given this backdrop, asset managers and fund boards need an experienced adviser who understands the nuances of product governance and takes a rigorous analytical approach. Di Costa Partners has deep experience across the three major categories of registered funds – mutual funds, ETFs and closed-end funds. This background, combined with our analytical approach, delivers the best solutions for clients.
Mutual Funds
Fund governance advisory
Shareholder constituency research
Scenario-based projections and analysis of proxy voting
Outreach and engagement with proxy advisors - Institutional Shareholder Services (ISS) and Glass Lewis
Proprietary “Financial Advisor Program” to engage retail shareholders
Strong relationships with leading law firms
Coordinating and interacting with insurance company investors and their clients
Full-service proxy solicitation
Proxy statement and associated document preparation and printing
Tabulation of proxy voting and certification of results
Presentation of analytics and results to senior management and fund boards
ETFs
Fund governance advisory
Shareholder constituency research including additional ETF market participant shareholders and foreign institutions
Long standing relationships with trading desks and 13F institutions
Scenario-based projections and analysis of proxy voting incorporating additional ETF shareholders
Outreach and engagement with proxy advisors - Institutional Shareholder Services (ISS) and Glass Lewis
Proprietary “Financial Advisor Program” to team up with large distributors to maximize retail vote participation
Strong relationships with leading law firms
Full-service proxy solicitation
Proxy statement and associated document preparation and printing
Tabulation of proxy voting and certification of results
Presentation of analytics and results to senior management and fund boards
Closed-End Funds
Fund governance advisory including mandated annual meetings
Shareholder constituency research including UITs, institutional investors, retail holders and activist investors
Proactive monitoring of shareholder base and activist positions
Scenario-based projections and analysis of proxy voting incorporating activist holdings
Enhanced retail program to effectively communicate to holders on a regular basis before a proxy fight arises
Proactive daily monitoring of institutional buying/selling with a focus on activists
Outreach and engagement with proxy advisors - Institutional Shareholder Services (ISS) and Glass Lewis
Proprietary “Financial Advisor Program” to engage retail shareholders
Strong relationships with leading law firms
Full-service proxy solicitation
Drafting of “fight” letters and guidance on retail and institutional shareholder messaging
Tabulation of proxy voting and certification of results
Presentation of analytics and results to senior management and fund boards
* The “Financial Advisor (FA) Program” has been developed by Di Costa Partners to target and engage the financial advisors whose clients are the shareholders in the funds impacted by a proxy vote.