Investment Fund Services

Axcess Capital Advisors Inc.  is an independent provider of financial services for investment funds, mortgage investment companies and mortgage syndicators in Alberta.

Axcess Capital Advisors is registered as an Investment Fund Manager (IFM) and a Restricted Portfolio Manager (RPM) in Alberta, and acts in this capacity for private debt and equity funds. Axcess Capital Advisors is also registered as an Exempt Market Dealer (EMD) in Alberta, British Columbia, Saskatchewan, Manitoba and Ontario providing distribution for select private issuers through a network of registered Exempt Market Dealing Representatives.

Our management group has an average of 25 to 30 years of related experience in their field. This combination of in-depth private securities experience makes us a foremost provider of choice for IFM services.

The role of an IFM is to ensure that investments within the portfolio are consistent with the objectives, risk profile and investment criteria set out in the offering documents of an investment fund.

Axcess Capital Advisors in its role as an IFM provides professional services to issuers and other registered firms, including due diligence, offering origination, fund administration, investment reporting, investor communications, and FundSERV registration through its affiliate, Axcess Capital Managers.

IFM Services at a Glance

Our team supports prospectus-exempt MICs, LPs, Private REITs, Mutual Fund Trusts and Mutual Fund Corporations and from initial review of the business model through to active capital raising. We understand the details and demands of running a prospectus-exempt fund and we provide issuers the services they need for operational success.

Axcess Capital Advisors’ role as IFM ensures fund management duties are performed in the best interest of the investors within predetermined guidelines. Depending on the scope of work required by the fund, IFM duties may include:

  • Preparing the fund’s prospectus or offering documents
  • Review of annual operating budgets
  • Review of loans or debt ratios to ensure compliance with stated objectives
  • Establishing and overseeing the fund’s compliance and risk management programs
  • Establish new or monitor existing systems to ensure administration duties are performed within stated guidelines
  • Identifying, addressing and disclosing conflicts of interest
  • Reporting to fund trustees or directors regarding compliance matters
  • Liaising with loan managers, custodians, securities dealers and other service providers of the fund as required
  • Establishing and managing Fundserv reporting
  • Preparation and delivery of security holder reports
  • Confirmation of fund purchases, sales, distributions, DRIP transactions
  • Calculating and/or confirming the net asset value (NAV) per share or unit
  • Quarterly investor statements and reports
  • Preparation, delivery and/or review of annual audited statements
  • Reporting the results of reviews to all stakeholders, including the trustees or directors, administrators, and investors
  • Establishing distribution channels for the fund as required

Investment Fund Manager Fees
Please contact us directly for details on Axcess Capital Advisors’  IFM fees which will vary depending on scope of work.

Other Services Available
Axcess Capital Advisors is also able to provide Exempt Market Dealer as a Service distribution, loan administration, loan underwriting, acting as a transfer agent and mortgage fund administration.

To provide additional support for private fund distribution, Axcess Capital Managers, an affiliate of Axcess Capital Advisors, provides access to the IIROC Dealer Channel via Fundserv. At significant savings to an independent Fundserv contract, private funds can activate a Fundserv code and gain immediate access to IIROC-approved dealers and brokers. The Fundserv network services the entire Canadian investment market, from major banks to asset management firms, providing efficient processing for investment-related financial transactions.