Our services

Our services cover the entire process, from delivering sound advice, structuring and design services for your product idea, to guidance during the approval and issuing process. We then support you throughout the subsequent investment phase.

  • Our services also involve supporting independent asset managers with the development and safekeeping of their investment ideas.
  • We also provide professional assistance for product marketing and distribution.

Our services are mandate-focused, not process-oriented.

Anja Schlick, head of financial assets germany

Depository Germany and Luxembourg

Hauck & Aufhäuser delivers depository services for special investment funds in Germany and Luxembourg. We are the correspondent of choice for initiators and capital investment companies. We currently manage mutual and special investment funds (UCITS and AIFs).

  • Special focus on early fulfillment of regulatory requirements
  • Quality assurance through calculation of the net asset value with model 2

Our services as depository for special securities funds

  • Parallel calculation and control/approval of net asset value
  • Asset controls for monetary accounts, securities portfolios, futures and options, forward exchange transactions, and verification of the number of issued shares
  • Ex-post control of compliance with statutory and contractually-mandated investment limits (in our proprietary system, in accordance with model 2)
  • Daily depository reconciliation

  • Safekeeping of classic financial instruments, precious metals, and bank balances
  • Entry and management of securities master data
  • Performance of all capital measures
  • Calculation and transfer of portfolio fees for funds of funds
  • Application of double tax avoidance agreements
  • Participation in class actions
  • Production of custodian bank reports
  • Settlement of dividend payments, mergers, amendments to pitch books
  • Calculation and reclaiming of withholding taxes

  • Parallel evaluations for capital investment partners
  • Issuing and repurchase of fund certificates
  • Order execution via our Order & Execution Desk
  • Currency hedging
  • Liquidity investment
  • Trading and settlement of internationally aligned financial/securities transactions
  • Services as paying agent
  • Verification of proof of ownership
  • Regular controls of valuations in accordance with pitch books
  • Daily monitoring of cash flows
  • Control of contractually stipulated appropriation of earnings

Contact Depository

Anja Schlick
Head of Financial Assets Germany
+49 (0)89 2393-2165
Marc Kriegsmann
Subsidiary Manager Luxembourg
+352 45 13 14 440

Advisory and Design Services

Hauck & Aufhäuser draws on experience spanning more than 25 years in the design and administration of classical mutual funds. We deliver a comprehensive service from one source, ranging from tailored advice and design for your product idea, through to support and guidance during the market launch of your product, and on to full day-to-day administration of the fund structure.

We enable you to take full advantage of the opportunities afforded by the UCITS directives and the Luxembourg Special Investment Fund Act. We implement these legal frameworks for investment products as early and as efficiently as possible at the financial center of Luxembourg to provide both product initiators and investors with up-to-date financial products.

The concrete benefits for you are:

  • Reduction in administrative hurdles.
  • Significant improvements in investor protection and market efficiency

We are your correspondent of choice for any questions you may have during the design and structuring phases. We enhance our expertise through acknowledged in-house and external specialists and draw on reputable cooperation partners with expertise in tax matters.

We deliver comprehensive advice on the preparation of all legal documents. Our highly experienced employees provide you with tailored and skilled guidance during the regulatory approval process.

Contact Advisory and Design Services

Christoph Kraiker
Financial Assets Luxembourg
+352 451314-510
Stephanie Schreiner
International Clients Desk
+352 451314-690

Fund Administration

We deliver a range of services that allow you to select the right modules for your needs, enabling you to create completely exclusive, tailor-made solutions. From design to administration of your fund products and alternative investments – we cover the full spectrum of services.

  • Modern IT infrastructure
  • Reporting portal
  • Online services for investment fund controlling

We advise you on all fund-related investment matters. In addition, we deliver a modern ordering system that enables you to effortlessly manage your securities transactions online.


We coordinate the issuing and repurchase of shares on your behalf, produce reports on fund certificate trading for you and, through our cooperation partners, provide you with access to fund platforms and direct banking services.

We calculate and assess the key risk ratios and also prepare risk reports to enable you to properly control fund risks.

Our tried-and-tested system delivers reliable calculations of net asset values. We supplement this service with high-quality, transparent reporting. Our comprehensive service is enhanced by our web-based, personalized performance reporting system, which enables professional presentation of your fund to investors.

We have regulatory approval to operate as an AIFM (Alternative Investment Fund Manager) for all asset classes, and are permitted to conduct risk and portfolio management services for alternative investment funds. We are also able to deliver AIFMD-compliant reporting.

Reliability and extensive experience guarantee mutual success.

Stefan Schneider, Head of Financial Assets Luxembourg

Contact Fund Administration

Stefan Schneider
Head of Financial Assets Luxembourg
+352 451314-500

Services for Independent Asset Managers

For over 40 years, Hauck & Aufhäuser has helped independent asset managers realize their investment ideas and successfully implement tailored investment strategies in the market.

We act as an independent service provider for the issuing, administration, and safekeeping of each special investment fund. We also provide professional sales and marketing support.

In order to help you optimize your distribution network and improve brand awareness of your products, our cooperation includes various event/communication formats such as round tables, network events, cooperation events, or marketing workshops.

Our sales support includes services directly related to the safekeeping of investment fund certificates. The aim of this service is to maintain a consistently high level of transparency and information. Our assistance covers a range of activities, such as connecting the funds to fund platforms (platform listing), position analysis of the funds, processing portfolio fees, or monitoring fund certificates.

This service brings together all public relations activities relating to your market presence and your products. Our offering ranges from managing the content and look of your products, targeted placement in a range of media outlets, and cooperating on marketing matters with other distribution partners. It involves activities such as optimizing marketing material, producing tailored fact sheets, publishing advertisements, and providing editorial support for press releases.

From issuing to safekeeping to distribution – we offer independent asset managers a comprehensive carefree package.

Anja Schlick, Head of Financial Assets Germany


Anja Schlick
Head of Financial Assets Germany
+49 (0)89 2393-2165
Axel Janik
Financial Assets Frankfurt
+49 (0)69 2161-1382