0001752724-22-244480.txt : 20221104 0001752724-22-244480.hdr.sgml : 20221104 20221104110924 ACCESSION NUMBER: 0001752724-22-244480 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220831 FILED AS OF DATE: 20221104 DATE AS OF CHANGE: 20221104 EFFECTIVENESS DATE: 20221104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AlphaMark Investment Trust CENTRAL INDEX KEY: 0001438681 IRS NUMBER: 000000000 STATE OF INCORPORATION: OH FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-22213 FILM NUMBER: 221360883 BUSINESS ADDRESS: STREET 1: C/O ULTIMUS FUND SOLUTIONS, LLC STREET 2: 225 PICTORIA DRIVE, SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 BUSINESS PHONE: 513-587-3400 MAIL ADDRESS: STREET 1: C/O ULTIMUS FUND SOLUTIONS, LLC STREET 2: 225 PICTORIA DRIVE, SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 0001438681 S000023388 AlphaMark Fund C000068538 AlphaMark Fund AMLCX N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001438681 XXXXXXXX 811-22213 false false false N-1A true AlphaMark Investment Trust 811-22213 0001438681 549300HUCF756EKZBL61 225 Pictoria Drive Suite 450 Cincinnati 45246 US-OH US 1-866-420-3350 U.S. Bank, N.A. 425 Walnut Street Cincinnati 45202 513-632-4872 Books and records related to Custody services Ultimus Fund Solutions, LLC 225 Pictoria Dr. Suite 450 Cincinnati 45246 513-587-3400 Books and records related to fund accounting, financial reporting, and transfer agency services AlphaMark Advisors, LLC 810 Wrights Summit Pkwy. Suite 100 Ft. Wright 41011 859-957-1803 Books and records related to investment advisory services N N N N-1A 1 Y T. Brian Brockhoff N/A N Michael L. Simon 004365604 Y John W. Hopper, Jr. N/A N Anne M. Haggerty 005702831 810 Wrights Summit Parkway Suite 100 FT. Wright 41011 XXXXXX N N N N N N N Ultimus Fund Distributors, LLC 008-52643 000104177 N/A N N Cohen & Company, Ltd. 925 N/A N N N N N N N AlphaMark Fund S000023388 549300HUCF756EKZBL61 N 0 0 0 N/A N N Y N N/A 0.00000000 0.00000000 Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4)) Rule 18f-4 (17 CFR 270.18f-4) Rule 12d1-1 (17 CFR 270.12d1-1) Y Y Y N AlphaMark Advisors, LLC 801-58156 000109366 N/A N Ultimus Fund Solutions, LLC 084-05829 N/A N N N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N N U.S. Bank, N.A. 6BYL5QZYBDK8S7L73M02 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Ultimus Fund Solutions, LLC 084-05829 SEC File Number N N N Ultimus Fund Solutions, LLC 084-05829 SEC File Number N N N CHARLES SCHWAB & CO INC 008-16514 000005393 549300ZP8XN77GK5BS04 118.80000000 WALL STREET ACCESS 008-25936 000010012 549300Z0MOT47D6OQV22 5336.25000000 5455.05000000 CHARLES SCHWAB & CO INC 008-16514 000005393 549300ZP8XN77GK5BS04 1999584.75000000 WALL STREET ACCESS 008-25936 000010012 549300Z0MOT47D6OQV22 7121447.50999999 9121032.25999999 N 21230004.35000000 N N N N false false true false false false INTERNAL CONTROL RPT 2 alphamark_ncen.htm

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

 

To the Shareholders and Board of Trustees of

AlphaMark Investment Trust

 

In planning and performing our audit of the financial statements of AlphaMark Investment Trust comprising AlphaMark Fund (the “Fund”) as of and for the year ended August 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we express no such opinion.

 

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles (GAAP). A fund’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with GAAP, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund’s annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Fund’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of August 31, 2022.

 

This report is intended solely for the information and use of management and the Board of Trustees of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

 

/s/ COHEN & COMPANY, LTD.

COHEN & COMPANY, LTD.

Milwaukee, Wisconsin

October 27, 2022