Mutual Fund Distributor

Rafferty Capital Markets, LLC provides a medallion mutual fund distributor service to approximately 30 fund families. Rafferty has been providing these services since 1998 and offers competitive pricing for smaller funds and start-up scenarios.

Included in the service package offered by Rafferty are the following key elements:
  • Our Broker-Dealer is registered in the 50 States and Puerto Rico, allowing fund clients to sell shares in each of those jurisdictions.
  • Rafferty is a member of the National Securities Clearing Corporation and can sponsor client funds into the NSCC Fund/SERV system.
  • We have experienced, licensed personnel qualified to review and file fund advertising/marketing materials with FINRA.
  • Maintain records of all materials filed with FINRA.
  • Coordination and execution of Broker-Dealer Selling Agreements.
  • Assist with operational set up on distribution platforms.
  • Administration and carrying of FINRA licenses for qualified employees of a Fund/Advisor.

We also have experience working closely with several different Transfer Agents in a combined effort to provide the required level of service for each of our common Fund clients.

We are new fund and small fund friendly.

Rafferty is happy to provide contact information of our clients when it is appropriate for interested parties to obtain feedback on our level of service and qualifications.

Tom Mulrooney – Managing Director

Heather Hjelm – VP, Mutual Fund Distribution