AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • March 27th, 2015 • PFS Funds • Ohio
THIS AGREEMENT originally entered into as of March 24, 2010, by and between PFS FUNDS, a Massachusetts trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”) is amended and restated as of December 16, 2014.
MANAGEMENT AGREEMENT CASTLE TANDEM FUNDManagement Agreement • March 14th, 2019 • PFS Funds • Massachusetts
The Trust has been organized to engage in the business of an open-end management investment company. You have been selected to act as the sole investment manager of the Castle Tandem Fund (the “Fund”) and to provide certain other services, as more fully set forth below, and you are willing to act as such investment manager and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows effective upon the date of the execution of this Agreement.
TRANSFER AGENT AGREEMENT RECITALS: AGREEMENTS:Transfer Agent Agreement • April 5th, 2010 • PFS Funds • Ohio
ACCOUNTING SERVICES AGREEMENTAccounting Services Agreement • May 31st, 2005 • Wireless Fund • Ohio
THIS AGREEMENT is made and entered into this 14th day of March, 2005, by and between the Wireless Fund (the “Trust”), a Massachusetts business trust having its principal place of business at 480 N. Magnolia Ave., Suite 103, El Cajon, CA 92020, and Mutual Shareholder Services, LLC, a Delaware Limited Liability Company (“MSS”).
TRI-PARTY AGREEMENT FOR DISTRIBUTION SERVICESDistribution Agreement • March 24th, 2022 • PFS Funds • Ohio
THIS AGREEMENT is made effective as of April 1, 2022, between PFS Funds (the “Trust” and/or Investment Company ”IC”, or “Fund”), a Massachusetts statutory Trust/IC, [______] the Registered Investment Advisor (the “RIA”) a [______], and Arbor Court Capital (“ACC”), a limited liability corporation organized and existing under the laws of the State of Ohio.
FORM OF SARATOGA ADVANTAGE TRUST INVESTMENT MANAGEMENT AGREEMENT JAMES ALPHA MOMENTUM PORTFOLIOInvestment Management Agreement • April 2nd, 2018 • Saratoga Advantage Trust • Delaware
THIS INVESTMENT MANAGEMENT AGREEMENT is made as of the [ ] day of [ ], by and between Saratoga Advantage Trust (the “Trust”), on behalf of the James Alpha Momentum Portfolio, a series of the Trust (the “Fund”), and James Alpha Advisors, LLC (the “Manager”).
SERVICES AGREEMENT ALPHA FIDUCIARY QUANTITATIVE STRATEGY FUNDServices Agreement • November 5th, 2019 • PFS Funds • Massachusetts
AGREEMENT dated as of October 30, 2019, between PFS Funds (the “Trust”), a Massachusetts business trust, and Alpha Fiduciary, Inc. (the “Adviser”), an Arizona Corporation.
FORM OF INVESTMENT SUB-ADVISORY AGREEMENT BETWEEN James Alpha Advisors, LLC AND NWM Fund group, LLC REGARDING THE SARATOGA ADVANTAGE TRUSTInvestment Sub-Advisory Agreement • April 2nd, 2018 • Saratoga Advantage Trust • New York
AGREEMENT made this [ ] day of [ ] between James Alpha Advisors, LLC, a New York limited liability company (the “Manager”), and NWM Fund Group, LLC, a California limited liability company (the “Sub-Advisor”).
CUSTODY AGREEMENTCustody Agreement • March 26th, 2024 • PFS Funds • Ohio
THIS CUSTODY AGREEMENT (“Agreement”), dated as of March 11, 2024, is entered into by and between THE HUNTINGTON NATIONAL BANK, a national banking association organized under the laws of the United States (the “Custodian” or “Bank”), and PFS Funds, a statutory trust formed under the laws of the Massachusetts (the “Company”).
MANAGEMENT AGREEMENTManagement Agreement • May 31st, 2011 • PFS Funds • Massachusetts
The Trust has been organized to engage in the business of an open-end management investment company. You have been selected to act as the sole investment manager of the HNP Growth and Preservation Fund (the “Fund”) and to provide certain other services, as more fully set forth below, and you are willing to act as such investment manager and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows effective upon the date of the execution of this Agreement.
MANAGEMENT AGREEMENT ALPHA FIDUCIARY QUANTITATIVE STRATEGY FUNDManagement Agreement • November 5th, 2019 • PFS Funds • Massachusetts
The Trust has been organized to engage in the business of an open-end management investment company. You, Alpha Fiduciary, Inc. (“Adviser,” “you” and “your”) have been selected to act as the sole investment manager of Alpha Fiduciary Quantitative Strategy Fund (the “Fund”) and to provide certain other services, as more fully set forth below, and you are willing to act as such investment manager and to perform such services under the terms and conditions hereinafter set forth (the “Agreement”). Accordingly, the Trust agrees with you as follows effective upon the date of the execution of this Agreement.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 30th, 2015 • PFS Funds • Massachusetts
The Trust has been organized to engage in the business of an open-end management investment company. You have been selected to act as the sole investment adviser of the Bretton Fund (the “Fund”) and to provide certain other services, as more fully set forth below, and you are willing to act as such investment adviser and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows effective upon the date of the execution of this Agreement.
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • May 31st, 2005 • Wireless Fund • California
THIS AGREEMENT is made and entered into as of March 14th , 2005, by and among Wireless Fund, a Massachusetts business trust (hereinafter referred to as the "Trust") and Premier Fund Solutions, Inc., a corporation organized under the laws of the State of California (hereinafter referred to as "PFS").
FORM OF SARATOGA ADVANTAGE TRUST OPERATING EXPENSE LIMITATION AGREEMENT FOR CLASS A, I, C SHARESOperating Expense Limitation Agreement • April 2nd, 2018 • Saratoga Advantage Trust • Delaware
THIS OPERATING EXPENSE LIMITATION AGREEMENT FOR CLASS A, I, AND C SHARES (the “Agreement”) is effective as of the [ ] day of [ ], by and between Saratoga Advantage Trust, (the “Trust”), on behalf of the James Alpha Momentum Portfolio, a series of the Trust (the “Fund”), and James Alpha Advisors, LLC, the investment adviser to the Fund (the “Manager”).
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • April 5th, 2010 • PFS Funds • California
THIS AGREEMENT is made and entered into as of March 5, 2010, by and among PFS Funds, a Massachusetts business trust (hereinafter referred to as the "Trust") and Premier Fund Solutions, Inc., a corporation organized under the laws of the State of California (hereinafter referred to as "PFS").
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • March 14th, 2019 • PFS Funds • Massachusetts
THIS AGREEMENT is made as of March 14, 2019, by and between Castle Investment Management, LLC, a Virginia limited liability company (the “Advisor”), and Tandem Investment Advisors, Inc., a Virginia corporation (the “Sub-Advisor”), on behalf of the series of the PFS Funds (the “Trust”) now or hereafter identified on Schedule A (the “Fund”).
AMENDED AND RESTATED FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • July 29th, 2021 • PFS Funds • California
THIS AGREEMENT is made and entered into as of June 10, 2021, by and among PFS Funds, a Massachusetts business trust (hereinafter referred to as the "Trust") and Premier Fund Solutions, Inc., a corporation organized under the laws of the State of California (hereinafter referred to as "PFS").
MANAGEMENT AGREEMENT OUTFITTER FUNDManagement Agreement • January 30th, 2012 • PFS Funds • Massachusetts
The Trust has been organized to engage in the business of an open-end management investment company. You, Outfitter Financial Corp. (“Adviser,” “you” and “your”) have been selected to act as the sole investment manager of the Outfitter Fund (the “Fund”) and to provide certain other services, as more fully set forth below, and you are willing to act as such investment manager and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows effective upon the date of the execution of this Agreement.
INTERIM SERVICES AGREEMENT Outfitter FundInterim Services Agreement • May 31st, 2013 • PFS Funds • Massachusetts
AGREEMENT dated as of May 28, 2013, between PFS Funds (the “Trust”), a Massachusetts business trust, and Outfitter Financial Corp. (the “Adviser”), a Virginia Corporation.
SERVICES AGREEMENT CONQUER RISK MANAGED VOLATILITY FUND CONQUER RISK TACTICAL ROTATION FUND CONQUER RISK TACTICAL OPPORTUNITIES FUND CONQUER RISK DEFENSIVE BULL FUNDServices Agreement • June 26th, 2020 • PFS Funds • Massachusetts
AGREEMENT dated as of June 24, 2020, between PFS Funds (the “Trust”), a Massachusetts business trust, and Potomac Fund Management, Inc. (the “Adviser”), a Florida Corporation.
FORM OF MARKETING AND DISTRIBUTION SUPPORT AGREEMENT BETWEEN JAMES ALPHA ADVISORS, LLC AND NWM FUND GROUP, LLC REGARDING THEMarketing and Distribution Support Agreement • April 2nd, 2018 • Saratoga Advantage Trust • Delaware
THIS MARKETING SUPPORT AGREEMENT (the “Agreement”) is effective as of the [ ] day of [ ], between James Alpha Advisors, LLC, a New York limited liability company (the “Manager”), and NWM Fund Group, LLC, a California limited liability company (the “Sub-Advisor”).
Letter Agreement Christopher Weil & Company Core Investment FundManagement Agreement • March 29th, 2016 • PFS Funds
Pursuant to a Management Agreement dated as of December 19, 2011, between PFS Funds (the “Trust”), a Massachusetts business trust, and Christopher Weil & Company, Inc. (the “Adviser”), the Adviser provides certain advisory services to the Christopher Weil & Company Core Investment Fund (the “Fund”). Under the Management Agreement, the Adviser is entitled to receive from the Fund a management fee at an annual rate equal to 1.00% of the average daily net assets of the Fund.
Letter AgreementServices Agreement • May 29th, 2015 • PFS Funds
Pursuant to a Services Agreement dated as of September 1, 2013, between PFS Funds (the “Trust”), a Massachusetts business trust, and Outfitter Financial Corp. (the “Adviser”), the Adviser receives a fee of 0.24% and is obligated to pay the operating expenses of the Fund excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), ADR fees, fees and expenses of acquired funds, and extraordinary expenses. Pursuant to a Management Agreement dated as of September 1, 2013 the Adviser receives an investment management fee equal to 0.95% of the average daily net assets of the Fund.
Letter AgreementServices Agreement • September 25th, 2015 • PFS Funds
Pursuant to a Services Agreement dated as of June 28, 2010, between PFS Funds (the “Trust”), a Massachusetts business trust, and Castle Investment Management, LLC (the “Adviser”), the Adviser receives an additional fee of 0.58% and is obligated to pay the operating expenses of the Fund excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), the cost of acquired funds and extraordinary expenses.
Mutual Shareholder Services, LLC 8000 Town Centre Dr, Ste 400 Broadview Heights, OH 44117 ACCOUNTING SERVICES AGREEMENT & TRANSFER AGENT AGREEMENTAccounting Services Agreement & Transfer Agent Agreement • October 30th, 2015 • PFS Funds
Letter AgreementInterim Services Agreement • May 31st, 2013 • PFS Funds
Pursuant to an Interim Services Agreement dated as of May 28, 2013, between PFS Funds (the “Trust”), a Massachusetts business trust, and Outfitter Financial Corp. (the “Adviser”), the Adviser receives a fee of 0.24% and is obligated to pay the operating expenses of the Fund excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), ADR fees, the cost of acquired funds and extraordinary expenses. Pursuant to an Interim Management Agreement dated as of May 28, 2013 the Adviser receives an investment management fee equal to 0.95% of the average daily net assets of the Fund.
Letter Agreement Castle Focus FundServices Agreement • October 27th, 2022 • PFS Funds
Pursuant to a Services Agreement dated as of June 28, 2010, between PFS Funds (the “Trust”), a Massachusetts business trust, and Castle Investment Management, LLC (the “Adviser”), the Adviser receives an additional fee of 0.58% and is obligated to pay the operating expenses of the Fund excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), the cost of acquired funds and extraordinary expenses.
AMENDMENT NO. 1 TO THE INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • July 29th, 2016 • PFS Funds
This Amendment No. 1 is made to the Investment Sub-Advisory Agreement between Castle Investment Management, LLC (the “Advisor”) and St. James Investment Company, LLC (the “Sub-Advisor”) on behalf of the Castle Focus Fund and shall become effective as of June 30, 2016. It is mutually understood and agreed by and between the undersigned parties to amend Schedule A of the Investment Sub-Advisory Agreement to read as follows:
Letter AgreementServices Agreement • May 31st, 2013 • PFS Funds
Pursuant to a Services Agreement dated as of June 28, 2010, between PFS Funds (the “Trust”), a Massachusetts business trust, and Castle Investment Management, LLC (the “Adviser”), the Adviser receives an additional fee of 0.58% and is obligated to pay the operating expenses of the Fund excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), the cost of acquired funds and extraordinary expenses.
Letter Agreement Christopher Weil & Company Core Investment FundServices Agreement • March 27th, 2015 • PFS Funds
Pursuant to a Services Agreement dated as of December 19, 2011, between PFS Funds (the “Trust”), a Massachusetts business trust, and Christopher Weil & Company, Inc. (the “Adviser”), the Adviser receives a fee of 0.50% in exchange for the provision of certain administrative services for the Christopher Weil & Company Core Investment Fund (the “Fund”), a series of the Trust, and its agreement to pay the operating expenses of the Fund, excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), ADR fees, fees and expenses of acquired funds and extraordinary expenses.
Mutual Shareholder Services, LLC 8000 Town Centre Dr, Ste 400 Broadview Heights, OH 44117 ACCOUNTING SERVICES AGREEMENT & TRANSFER AGENT AGREEMENTAccounting Services Agreement & Transfer Agent Agreement • July 9th, 2018 • PFS Funds
AMENDMENT No. 2 TO THE INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • October 27th, 2022 • PFS Funds
This Amendment No. 2 is made to the Investment Sub-Advisory Agreement between Castle Investment Management, LLC (the “Advisor”) and St. James Investment Company, LLC (the “Sub-Advisor”) on behalf of the Castle Focus Fund and shall become effective as of June 30, 2022. It is mutually understood and agreed by and between the undersigned parties to amend Schedule A of the Investment Sub-Advisory Agreement to read as follows:
AMENDMENT TO SERVICES AGREEMENTServices Agreement • March 28th, 2023 • PFS Funds
This amendment is made to the Services Agreement between Christopher Weil & Company, Inc. (“Adviser”) and PFS Funds (the “Trust”) on behalf of the Christopher Weil & Company Core Investment Fund (the “Fund”) and shall become effective as of April 1, 2023. It is mutually understood and agreed by and between the undersigned parties to replace the existing paragraph 6 of the Services Agreement with the following new paragraph 6:
Letter Agreement Christopher Weil & Company Core Investment FundServices Agreement • March 27th, 2018 • PFS Funds
Pursuant to a Services Agreement dated as of December 19, 2011, between PFS Funds (the “Trust”), a Massachusetts business trust, and Christopher Weil & Company, Inc. (the “Adviser”), the Adviser receives a fee of 0.50% in exchange for the provision of certain administrative services for the Christopher Weil & Company Core Investment Fund (the “Fund”), a series of the Trust, and its agreement to pay the operating expenses of the Fund, excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), ADR fees, fees and expenses of acquired funds and extraordinary expenses.
Letter Agreement Castle Tandem FundServices Agreement • October 28th, 2024 • PFS Funds
Pursuant to a Services Agreement dated as of March 14, 2019, between PFS Funds (the “Trust”), a Massachusetts business trust, and Castle Investment Management, LLC (the “Adviser”), the Adviser receives an additional fee of 0.58% and is obligated to pay the operating expenses of the Fund excluding management fees, brokerage fees and commissions, 12b-1 fees, taxes, borrowing costs (such as (a) interest and (b) dividend expenses on securities sold short), the cost of acquired funds and extraordinary expenses.
