Ultimus Fund Distributors, LLC

Broker-DealerFINRA MemberEst. 2000
Total AUM
—
Advisory reps
96
Avg account
$0

Firm details

Headquarters
Cincinnati, Ohio
CRD number
104177
Registered since
August 24, 2000

Firm profile

FINTRX

Overview

Ultimus Fund Distributors, LLC is organized as a limited liability company that functions as a fund distribution vehicle rather than an asset manager or capital allocator. The firm has been SEC-registered since 2000 and is identified as a domestic entity/individual-owned company. FINTRX classifies the business as a fund distributor and does not show activity as an investment allocator, pension consultant, related adviser, or multi-state adviser. The profile also indicates the firm is not identified as an active ESG investor. FINTRX does not list advisory activities, a client base, or a fee structure for Ultimus Fund Distributors, LLC, which aligns with the distributor role: the firm appears focused on supporting fund placement and distribution logistics rather than managing client portfolios or providing investment advisory services.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Lesley Ott

    Lesley Ott

    Chief Operating Officer and Chief Compliance OfficerCRD 5828416

  • Stephen Preston

    Stephen Preston

    Chief Compliance OfficerCRD 2217795

Contacts

3 of 94
  • Nicole Peters

    Nicole Peters

    Senior Compliance SpecialistCRD 5369032

  • Michael Murphy

    Michael Murphy

    Director of Client ServiceCRD 6547899

  • Philip Rewilak

    Philip Rewilak

    Registered RepresentativeCRD 4772921

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Cincinnati, OH

Hamilton

Location

Cincinnati, OH

Headquartered in Cincinnati, OH, anchoring the Cincinnati-Wilmington-Maysville, OH-KY-IN metro in the Midwest.

Metro area
Cincinnati-Wilmington-Maysville, OH-KY-IN
Region
Midwest
County
Hamilton
Address
225 Pictoria Dr
Time zone
ET (UTC-5)
Office locations

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