NA89
NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED
03/15/2026
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Official data from USPTO
ULTIMUS FUND SOLUTIONS
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Active USPTO registrationType: WordOffice: United States
Quick snapshot
ULTIMUS FUND SOLUTIONS
ST13
US500000086252197Class
35, 36, 45
Filing
86252197
Registration
4872706
Risk and opportunity diagnosis
Executive reading for naming, filing, and monitoring decisions.
USPTO status
Active USPTO registration
Case type
Application and registration
Recorded events
42
Latest update
04/07/2026
Trademark type
Word
Nice classes
35, 36, 45
Filing date
04/15/2014
Registration date
12/22/2015
Expiration date
-
Complete case details
Structured fields from the responsible authority and the official record.
Status date
03/15/2026
Last transaction
04/07/2026
Responsible office
United States Patent and Trademark Office
Status code
800
Official register
Principal Register
First use anywhere
01/02/2000
First use in commerce
03/01/2000
Drawing code
4
Owner type
16
Owner location
Cincinnati, OH, US
Examiner
NADELMAN, ANDREA KOYNER
Current location
PUBLICATION AND ISSUE SECTION
Holders and representatives
Holders
ULTIMUS FUND SOLUTIONS, LLC
Representatives
Francis John Ciaramella, Esquire Francis John Ciaramella, PLLC
Technical classification
Nice Classes
Class 35Class 36Class 45
Vienna Codes
No Vienna codes available.
Goods and services
Class 35
Business management and consultation services for othersproviding fund organization services to mutual funds and mutual fund companies in the nature of business operation consultationfinancial analysis for businessesbusiness assistance in the field of budgetingvendor selection in the nature of registeringscreening and verifying the credentials of third-party vendors on behalf of othersproduct pricing in the nature of providing pricing information about the goods of others via the global computer networkpreparation and filing of financial statements with the Securities and Exchange Commission (SEC) and responding to SEC commentsbusiness organization consulting regarding the preparation of compliance business policies and proceduresbusiness coordination and preparation of board of trustees' materials for organizational meetingsoffice functions in the nature of filing of documents necessary to qualify funds for sale in various statescoordination of prospectus printingcopying of documents for othersmanagement services in the nature of business development servicesproviding start-up support for business of others in the nature of applying for fund's federal taxpayer identification numbera uniform security identification procedures number and ticker symbol; business management and consultation services for othersproviding fund business administration to mutual funds and mutual fund companies in the nature of day-to-day business management and supervision of fund operations and coordination of custodytransfer agentdistributionaccounting and pricing servicesproviding officers for the fund in the nature of professional staffing servicespreparation and maintenance of business reports regarding fund expense projectionsreport expense projections and variances to fund managementacting as a liaison with the fund's independent accountantscustodianoutside counsel and board of trusteesnegotiation and settlement of commercial transaction for third partiesfor mutual fund companiescoordinationscheduling and preparation of business reports in the nature of materials for board of trustees' meetingspreparation and supervision of all SEC filingspreparationfiling and mailing of reports to shareholdersoffice functions in the nature of maintenance of books and records of ownership of stocksshares and securities of mutual fundsassisting fund advisers in insurance compliance monitoring and examining for business purposesproviding mutual fund sales tracking and reporting; business management and consultation services for othersproviding fund transfer agent services to mutual funds and mutual fund companies in the nature of bookkeepingmaintaining necessary books and records required by the Investment Company Act of 1940maintaining complete shareholder records for each shareholder accountadministrative processing of purchase and redemption ordersestablishing and maintaining business procedures and controls over elective shareholder transactionsproviding business reports featuring comprehensive sales reportingcommission tracking and reporting andfinancial record-keeping for regulatory compliance purposesassisting fund in Anti-Money Laundering (AML) compliance and professional staffing servicesproviding an AML compliance officer and an identity theft prevention compliance officer; business management and consultation services for othersaccounting services to mutual funds and mutual fund companies in the nature of providing daily net asset value calculationsgeneral ledger maintenancefinancial and tax reportingmanagement reportingtax compliance and fund performance reporting; business management and consultation services for otherspricing services to mutual funds and mutual fund companies in the nature of business appraisalsobtaining market prices for each security comprising the fundcalculating the fund's net asset value and providing business appraisals via transmittal to the securities exchanges and entitiesaccounting servicescalculating a daily cash figure for investment purposes for the investment advisor; business management and consultation services for othersshareholder services to mutual funds and mutual fund companies in the nature of shareholder record keeping servicesproviding and maintaining the necessary personnel and equipment records to receive and answer shareholder and dealer inquiriesacknowledging and responding to all shareholder correspondence in the nature of custom writing services comprising public relations and marketing materials for the financial industrypreparation and mailing confirmations for each shareholder transaction and periodic statements and preparing and mailing of tax forms for the IRS and shareholders; business management and consultation services for othersproviding fund organization services to mutual funds and mutual fund companies in the nature of facilitating establishment of relationshipsproviding business advice and assistance to commercial entities regarding establishing business relationships with brokerage firms and other financial intermediariescreating awareness of the fund through marketing and advertising servicesbusiness services in the nature of developing best practices for mutual fund companiescheck processing service and invoicing servicesreviewing invoices for feespreparation of business reports to board of directors; business management and consultation services for othersdata conversion for mutual funds and mutual fund companies in the nature of converting existing mutual funds data from one service provider or proprietary system to a new service provider or to an in-house system
Class 36
Shareholder services to mutual funds and mutual fund companiesbill payment in the nature of authorizing payment of approved expenses of the funddisbursement and reinvestment of dividends for third partiespayment processing for Individual Retirement Account (IRA) purchasestransferswithdrawals and rolloversreconciling fund assets financial transactions with the mutual fund custodianproviding shareholders with account financial information via the internet and interactive voice response systemserving as fund's underwriter in the nature of securities underwriting for mutual funds and qualifying as broker-dealer in the nature of business brokerage servicesmutual fund distribution of fees and transaction based commissionsmanagement of capital fund's distribution activities
Class 45
Shareholder services to mutual funds and mutual fund companiesconsultation services in the field of identity theftassisting mutual fund companies in administering identity theft prevention program
Publications
History of USPTO decisions and trademark events.
42 publications found
RNL1
REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)
03/15/2026
89AG
REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED
03/15/2026
APRE
CASE ASSIGNED TO POST REGISTRATION PARALEGAL
03/15/2026
E89R
TEAS SECTION 8 & 9 RECEIVED
12/22/2025
ASCK
ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY
08/04/2025
REM2
COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED
12/22/2024
ASCK
ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY
03/13/2024
NA85
NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED
04/16/2021
C15A
REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.
04/16/2021
APRE
CASE ASSIGNED TO POST REGISTRATION PARALEGAL
04/16/2021
E815
TEAS SECTION 8 & 15 RECEIVED
12/30/2020
REM1
COURTESY REMINDER - SEC. 8 (6-YR) E-MAILED
12/22/2020
CHAN
APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED
11/10/2020
TCCA
TEAS CHANGE OF CORRESPONDENCE RECEIVED
11/10/2020
ARAA
ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
11/10/2020
REAP
TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
11/10/2020
COAR
TEAS CHANGE OF OWNER ADDRESS RECEIVED
11/10/2020
ASCK
ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY
02/06/2019
CORV
REVIEW OF CORRESPONDENCE COMPLETE - INFORMATION MADE OF RECORD
01/19/2016
ARAA
ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
01/18/2016
REAP
TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
01/18/2016
EWAF
TEAS WITHDRAWAL OF ATTORNEY RECEIVED-FIRM RETAINS
01/18/2016
R.PR
REGISTERED-PRINCIPAL REGISTER
12/22/2015
PUBO
PUBLISHED FOR OPPOSITION
10/06/2015
NPUB
NOTICE OF PUBLICATION
09/16/2015
PREV
LAW OFFICE PUBLICATION REVIEW COMPLETED
09/01/2015
CNSA
APPROVED FOR PUB - PRINCIPAL REGISTER
08/27/2015
TEME
TEAS/EMAIL CORRESPONDENCE ENTERED
08/27/2015
CRFA
CORRESPONDENCE RECEIVED IN LAW OFFICE
08/27/2015
ERFR
TEAS REQUEST FOR RECONSIDERATION RECEIVED
08/20/2015
CNFR
FINAL REFUSAL MAILED
02/24/2015
CNFR
FINAL REFUSAL WRITTEN
02/24/2015
TEME
TEAS/EMAIL CORRESPONDENCE ENTERED
02/05/2015
CRFA
CORRESPONDENCE RECEIVED IN LAW OFFICE
02/05/2015
ALIE
ASSIGNED TO LIE
02/02/2015
TROA
TEAS RESPONSE TO OFFICE ACTION RECEIVED
01/23/2015
CPRA
PRIORITY ACTION MAILED
08/01/2014
CPRA
PRIORITY ACTION WRITTEN
08/01/2014
DOCK
ASSIGNED TO EXAMINER
07/25/2014
NWOS
NEW APPLICATION OFFICE SUPPLIED DATA ENTERED
04/29/2014
NWAP
NEW APPLICATION ENTERED
04/18/2014
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