Arbor Court Capital

What Arbor Court Capital does

Arbor Court Capital, LLC is a FINRA-registered broker dealer headquartered in Broadview Heights, Ohio (Cleveland area), specializing in mutual fund distribution services. The firm operates as the distribution and regulatory-facing arm of a coordinated mutual fund services ecosystem that includes affiliated Transfer Agent (Mutual Shareholder Services, LLC, founded 1999), Fund Administration, and Trust services, enabling it to offer cost-conscious fund advisors a single-roof solution covering accounting, administration, trading, transfer agency, and distribution. Primary services include NSCC Fund/SERV platform access and clearing number acquisition, execution of intermediary selling and dealer agreements, platform onboarding and due diligence coordination, FINRA advertising review and filing (with Series 24 licensed personnel and a stated 72-hour compliance turnaround), and regulatory support for FINRA and SEC inquiries. Secondary services include FINRA and state licensing sponsorship (SIE, Series 6, 7, 24, 63), Mutual Fund Profile Service II (MFPS II) data management, and signature medallion guarantee services.

The underlying technology stack is anchored by NSCC membership providing direct Fund/SERV platform integration for mutual fund clearing and settlement, supplemented by Mutual Shareholder Services' transfer agency technology infrastructure (shareholder record keeping, web access at mutualss.com, FundServ and networking transaction processing). The firm maintains established dealer agreement relationships with major Wall Street brokerage platforms including Fidelity, Pershing, TD Ameritrade, and Interactive Brokers, which serve as primary retail distribution rails for client fund families. The leadership team comprises CEO Dr. Gregory Getts (also founder/President of affiliated Mutual Shareholder Services) and COO/CCO Steven Milcinovic, collectively representing over 100 years of broker dealer and mutual fund industry experience.

Arbor Court Capital generates revenue through transaction and service fees tied to broker dealer distribution services — specifically Fund/SERV access, agreement execution, platform onboarding, advertising review and filing, regulatory support, licensing sponsorship, and signature guarantee services. The go-to-market motion is enterprise field sales targeting mutual fund advisors and fund managers seeking to establish or distribute funds, supplemented by thought leadership content (the founder's contribution to a mutual fund reference guide endorsed by Morningstar and Domini Social Investments leadership) and referral activity through the Mutual Shareholder Services affiliation. Pricing is quote-based and not publicly disclosed. Customer segments are primarily mutual fund advisors and fund managers (enterprise) and RIAs and broker dealers (mid-market). No revenue figures, customer counts, or growth metrics are publicly disclosed.

Name

Arbor Court Capital

Legal name

Arbor Court Capital, LLC

Website

https://arborcourtcapital.com

Company type

Private

Founded year

2009

Operating status

Operating

Headcount range

1–10 employees

Short description

Arbor Court Capital is a FINRA-registered broker dealer in Broadview Heights, Ohio that specializes in mutual fund distribution services, offering Fund/SERV access, FINRA advertising review, dealer agreements, and licensing sponsorship as part of an integrated ecosystem with affiliated Transfer Agent and Fund Administration services for cost-conscious fund advisors.

Ownership category

akta.pro rank

Product category

Mutual Fund Distribution Services

NAICS

Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL)

Keywords

• Mutual fund distribution
• Broker dealer services
• Fund administration
• FINRA regulatory compliance
• Transfer agency services

Headquarters

HQ city

Broadview Heights

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Broker Dealer Distribution Services: Revenue generated through broker dealer distribution services for mutual funds, including Fund/SERV access, agreement execution, platform onboarding, advertising review and filing, regulatory support, licensing sponsorship, and signature guarantee services.

Go-to-market motion1 record

Distribution channels4 records

Marketing channels3 records

Core offering

Arbor Court Capital is a FINRA-registered broker dealer that provides mutual fund distribution services, including NSCC Fund/SERV platform access, agreement execution and recordkeeping, platform onboarding, FINRA advertising review and filing, and regulatory support. Through an affiliated ecosystem (Mutual Shareholder Services), the firm coordinates a full suite of fund administration, accounting, transfer agency, and shareholder servicing functions. Secondary offerings include FINRA and state licensing sponsorship, Mutual Fund Profile Service II (MFPS II) data management, and signature medallion guarantee/notary services.

Product overview

Arbor Court Capital is a FINRA-registered broker dealer offering a coordinated ecosystem of mutual fund distribution and support services. Its primary offering is a suite of distribution services — including Fund/SERV access, agreements coordination, platform onboarding, advertising review and filing with FINRA, and regulatory support — supplemented by a full-stack fund administration platform operated through affiliated Mutual Shareholder Services. The fund administration capability spans five integrated modules: Financial Reporting, Fund Administration (Blue Sky, EDGAR, cash management), Fund Accounting (NAV, valuations, distributions), Transfer Agency (shareholder record keeping, tax reporting, proxy), and Shareholder Servicing (correspondence, web access). Secondary services include FINRA/state licensing sponsorship, MFPS II data management, and signature guarantee. Together these services form a single-roof solution for cost-conscious fund advisors seeking to launch and distribute mutual funds.

Differentiator

Problem solved

Functional benefit

Products and services

• Mutual Fund Distribution Services Overarching FINRA-registered broker dealer distribution service for mutual funds, covering channel access, agreements, onboarding, advertising review, and regulatory support for fund sponsors and advisors.
• Fund/SERV Access NSCC-member service that obtains an NSCC clearing number for fund clients and provides access to the Fund/SERV platform for mutual fund trade processing and clearing.
• Agreements Assists with execution and recordkeeping of intermediary selling agreements, dealer agreements, and platform agreements for fund distribution.
• Onboarding Coordinates completion and review of platform onboarding and due diligence questionnaires for fund distribution channels.
• Advertising Review and Filing Series 24 licensed personnel review and file all fund advertising materials with FINRA and maintain associated records for compliance.
• Regulatory Support Assists mutual fund clients with all applicable regulatory inquiries from FINRA and SEC.
• FINRA and State Licensing Sponsorship Sponsors FINRA and state registrations for investment advisor representatives marketing funds, including SIE, Series 6, 7, 24, and 63.
• Mutual Fund Profile Service II (MFPS II) Establishes and maintains Mutual Fund Profile Service II (MFPS II) data based on client needs.
• Signature Medallion Guarantee and Notary Provides signature medallion guarantee and notary services for fund clients as needed.
• Compliance Officer Services Appoints a dedicated compliance officer to assist with SEC and state filings, participates in quarterly board meetings, acts as an independent resource for directors, generates annual control reviews, and reviews prospectuses.
• Marketing and Advertising Coordination Reviews all marketing materials, coordinates share purchases, sets up selling agreements with broker dealers, and expedites the FINRA submission process, returning compliance reports within 72 hours.
• Wall Street Brokerage Platform Access Introduces fund families to major Wall Street brokerage platforms including Fidelity, Pershing, TD Ameritrade, and Interactive Brokers, and establishes dealer agreements in targeted distribution channels.
• Fund Administration Fund administration delivered via the affiliated Mutual Shareholder Services ecosystem, including Blue Sky registration, EDGAR filing management, fund contact for data reporting, reporting and control, cash availability forecasting, and daily cash and security reconciliations.
• Fund Accounting Fund accounting services including NAV calculations and NASDAQ reporting, security and cash transaction recording, corporate actions accounting, income accounting, security valuations using pricing services, customized financial reports, and fund distribution calculations.
• Transfer Agency Transfer agency services including shareholder recordkeeping, retirement account reporting, systematic investment processing, shareholder processing, statements and confirmations, tax reporting, Blue Sky reporting, proxy solicitation, and FundServ and networking transaction processing.
• Financial Reporting Financial reporting encompassing financial statement preparation and SEC filings, investor mailings, SEC yield and total return calculation, N-SAR preparation, and Rule 24F-2 Notice preparation.
• Shareholder Servicing Shareholder servicing including shareholder correspondence, account inquiries, telephone transaction processing, and shareholder account access via the Mutual Shareholder Services website.

Quantifiable outcome

• 72-hour turnaround on compliance reports for fund advertising materials

Named customers3 records

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature2 records

Partnerships

Three partnerships are on record, tiered core.

• Mutual Shareholder Services, LLCcoreStrategic or Co-development PartnerMutual Shareholder Services is an affiliated transfer agent company founded and operated by Dr. Gregory Getts. The two companies work together to provide integrated mutual fund support services including transfer agent, fund administration, and distribution. Arbor Court and Mutual Shareholder Services share personnel and coordinate to assure funds are connected to demand sources and minimize time to first sale.
• NSCC (National Securities Clearing Corporation)coreTechnology or IntegrationArbor Court Capital is a member of NSCC, a division of DTCC. NSCC provides clearing and settlement for most mutual fund trades and guarantees the completion of all transactions. Membership provides access to the Fund/SERV platform for fund clearing.
• Wall Street Brokerage PlatformscoreChannel Partner/ Reseller/ DistributorArbor Court Capital has established relationships with major Wall Street brokerage platforms including Fidelity, Pershing, TD Ameritrade, and Interactive Brokers. These platforms are used for fund distribution to retail and institutional investors.

Scale indicators3 records

Recent moves5 records

Expansion highlights2 records

Direct peers

• Sterling Capital Management: Mid-sized asset manager with affiliated broker-dealer and fund services operations that combine distribution and administration, similar to Arbor Court's integrated boutique model.
• Mutual Shareholder Services: Affiliated transfer agent run by the same founder (Dr. Gregory Getts); provides shareholder accounting, daily NAV, compliance, and administrative services to mutual funds since 1999. Operates as the operational engine paired with Arbor Court's distribution function.
• Ladenburg Thalmann: Independent broker-dealer and wealth management firm with mutual fund distribution and corporate finance advisory arms; comparable boutique scale in broker-dealer operations serving advisors and fund sponsors.
• Forum Financial Group: Boutique third-party mutual fund services firm providing distribution, compliance, fund accounting, and administration to small and mid-sized fund sponsors—an almost identical service profile to Arbor Court's combined offering.

Broad incumbents

• State Street Global Services: One of the largest asset servicing franchises, providing fund accounting, custody, and transfer agency to mutual funds globally—an incumbent competitor for end-to-end fund mandates.
• Citi Investor Services: Provides fund administration, transfer agency, and custody within Citi's institutional franchise; broad incumbent with distribution relationships overlapping Arbor Court's Wall Street platform footprint.
• U.S. Bancorp Fund Services: Large fund administration and transfer agency arm of U.S. Bank providing mutual fund services from launch through distribution—an incumbent alternative competing for the same emerging fund sponsor segment.
• BNY Mellon Investment Servicing: One of the largest US fund servicing platforms, offering fund accounting, transfer agency, custody, and distribution support to mutual fund sponsors—broad incumbent competing with Arbor Court for new fund mandates.
• SS&C Technologies: Owns DST Systems and GLG, providing end-to-end mutual fund services including transfer agency, fund accounting, and distribution technology—incumbent alternative for the same fund sponsor clients.

Others

• Broadridge Financial Solutions: Provides mutual fund regulatory, communications, and operations technology infrastructure including FINRA filing and proxy/distribution support—complementary technology vendor that serves the same fund sponsor workflow.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat6 records

Key risks6 records

Key highlights7 records

Customer concentration

• Xx.com/Arbor_Court
• LinkedInlinkedin.com/company/arbor-court-capital

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Arbor Court Capital