Webinar - Successfully Launching and Growing a Mutual Fund


Webinar - Successfully Launching and Growing a Mutual Fund

Thursday, May 14, 2015
2:00 - 3:15 p.m. (ET)

Topics Covered

The panel of experts will provide an overview of ’40 Act funds, and discuss how they can contribute to your firm’s success and the steps to follow in launching and growing one or more mutual funds.

  • How a ’40 Act fund can help you achieve your firm’s business goals
  • Factors to consider before starting a ’40 Act fund
  • How to launch a ’40 Act fund
  • Steps to grow a ’40 Act fund


  • Mike Beattie, Vice President, SEI Investment Manager Services; and President, SEI-sponsored Advisors’ Inner Circle Trust
  • Scot Draeger, Partner, Bernstein Shur
  • Keith Brown, Principal, Keith Brown Consulting
  • Dave Carson, Vice President, Ultimus Fund Solutions; and President, Ultimus Managers Series Trust


Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members Complimentary
Non-Members $250* $250 $475
*Per computer login



For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Mike Beattie serves as Managing Director of Client Service in SEI’s Investment Manager Services segment and is President of the Advisors’ Inner Circle Funds (AIC), a $40 billion mutual fund family. In this role, Mike is responsible for enhancing and managing a premier client service model for ETF clients and clients within the AIC program. Mike is also responsible for overseeing the infrastructure and current and future product direction for AIC and serves as the primary SEI liaison with the AIC Board of Trustees. Previously, Mike served as a Director of Client Service and has held a variety of senior client service and relationship management roles. Mike earned his MBA from Saint Joseph’s University and has BS in Economics from Lehigh University.
Scot Draeger is Bernstein Shur’s practice group leader for the Securities and Financial Services Industry Group and serves on the firm’s board of directors. He is a former senior legal counsel to the SEC. His practice focuses on representing securities industry and capital markets participants in the full spectrum of regulatory, compliance, enforcement, and transactional matters, with an emphasis on counseling the investment management industry and financial services companies. Scot also has experience with all aspects and details of the process for starting and operating an actively-managed ETF, including SEC exemptive relief, navigating NYSE requirements, negotiating with services providers, fund registration, ETF compliance program design and oversight, and corporate governance issues unique to ETFs. Scot has a BS from the University of Cincinnati and earned his JD at the University of Maine.
Keith Brown is Principal at Keith Brown Consulting. Keith has experience in every area of ’40 Act funds and investment advisory services supporting all channels, with an emphasis on RIA, IBD and banks. He has created and launched products, wholesaled in the field, built and led national sales organizations (traditional, hybrid and virtual), managed key accounts, developed sponsorship strategy and deployed successful advertising / public relations campaigns for firms like AmerindoFunds, SEI Investments, Highmark Funds, and Forward. He earned his bachelors degree, cum laude from the University of Florida and received his MBA from the University of Pittsburgh's Joseph Katz School of Business.
Dave Carson is Vice President, Ultimus Fund Solutions; and President, Ultimus Managers Series Trust. Dave's primary responsibilities are to manage the series trust product line and provide expert assistance to investment managers considering starting a fund. Dave has been Chief Compliance Officer for mutual fund families, registered investment advisors, and an ETF trust. He also served as Chief Operations Officer for a mutual fund family, and previously had senior management responsibility for fund and advisor marketing, fund wholesaling, transfer agency, shareholder servicing and advisor compliance. Earlier in his career Dave was a corporate IT audit manager, and managed holding company-level credit quality reporting. He is a graduate of Kenyon College in Gambier, Ohio.


Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Tuesday, May 12, 2015. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.