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

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

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

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.