Strategic distribution built for growth

Our Distribution Services establish a solid foundation from which asset managers can deliver their product to market, while thoughtfully managing legal and compliance risks. Services are available on a turnkey or tailored basis.

*PINE Distributors, LLC is registered with the United States Securities and Exchange Commission as a broker-dealer and a member of FINRA. PINE Distributors (including its registered representatives) acts solely in a wholesaling capacity and does not offer advice, does not open or maintain shareholder accounts, does not custody shareholder funds for investment, and does not process shareholder purchase, redemption, or exchange orders.

Legal Underwriting and Placement Agent Services

Through our broker-dealer, PINE will serve as the legal underwriter for registered funds (mutual funds, closed-end funds, and ETFs) and placement agent for private funds.

• Act as legal underwriter/statutory distributor
• Prepare initial and periodic 15c presentation to fund/trust board
• Prepare reporting and attend fund/trust board meetings, as requested
• Review fund marketing material via an internet-based portal designed specifically for review, approval and retention
• Provide registered principal approval for marketing material and file with FINRA, if applicable
• Provide guidance concerning the intermediary landscape
• Prepare, update, execute, and maintain financial intermediary agreements
• Perform Rule 12b-1 fee administration and reporting
• DTCC/NSCC membership and operations support

ETF Solutions

Our experienced team provides end-to-end guidance across the regulatory, financial, operational, and distribution landscape of ETFs, helping you launch, scale, and compete with confidence. We stay ahead of evolving U.S. and global markets, so you’re always positioned to capitalize on innovation.

• Provide Authorized Participant (APs) contact list and consultation
• Negotiate and execute agreements with APs
• Provide AP order taking call-center and toll-free number for fund(s), if applicable
• Affirm AP create/redeem orders processed by custodian/index receipt agent

Registered Representative Licensing

PINE can assist with all aspects of your FINRA licensing needs for both registered and private funds.

• Maintain FINRA licenses and provide compliance oversight for client employees (registered representatives)
• Administer and ensure registered representatives participate in FINRA’s Continuing Education Program
• Conduct annual compliance training for registered representatives
• Review and approve marketing materials used by registered representatives, which function may be conducted by the fund’s statutory distributor
• Manage registered representatives registration status to ensure compliance with FINRA and state requirements
• Manage and process compensation directly based on sales success
• Provide broker-dealer written supervisory procedures and periodic training
• Support and assist the client’s designated on-site supervising principal, if applicable

DTCC/NSCC Membership Services

• Serve as the NSCC member firm for onshore and offshore funds
• Enable access to the NSCC’s Fund/SERV and related systems
• Provide operations support on behalf of the funds listed with the NSCC
• Respond to information and related requests from the fund’s management company and transfer agent

Scalable Growth Infrastructure

As your business grows, so do your distribution needs. PINE provides the structure and support to scale efficiently without rebuilding your approach.