MANAGEMENT AGREEMENTManagement Agreement • July 26th, 2007 • Neiman Funds • Ohio
The Trust has been organized to engage in the business of an investment company. The Trust currently offers three series of shares to investors, one called the Neiman Fusion Fund (the “Fund”).
UNDERWRITING AGREEMENTUnderwriting Agreement • July 28th, 2015 • Neiman Funds • Nebraska
THIS UNDERWRITING AGREEMENT effective the 30th day of April, 2015, by and between NEIMAN FUNDS, an Ohio statutory trust, having its principal office and place of business at 6631 Main Street, Williamsville, New York 14221 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLD”).
By-Laws of NEIMAN FUNDS As Amended September 28, 2004By-Laws • June 2nd, 2005 • Neiman Funds
ACCOUNTING SERVICES AGREEMENTAccounting Services Agreement • March 28th, 2003 • Neiman Funds • Ohio
THIS AGREEMENT is made and entered into this 18 day of March, 2003, by and between the Neiman Funds (the “Trust”), an Ohio business trust having its principal place of business at 7777 Fay Avenue, Suite F, La Jolla, CA 92037 and Mutual Shareholder Services, LLC, a Delaware Limited Liability Company (“MSS”).
AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration of Trust • January 30th, 2003 • Neiman Funds • Ohio
AGREEMENT AND DECLARATION OF TRUST made this 3rd day of January 2003, by the Trustees hereunder, and by the holders of Shares of beneficial interest to be issued hereunder as hereinafter provided.
TRI-PARTY AGREEMENT FOR DISTRIBUTION SERVICESDistribution Agreement • July 30th, 2018 • Neiman Funds • New York
THIS AGREEMENT is made effective as of August 1, 2018, between Neiman Funds (the “Trust” and/or Investment Company ”IC”, or “Fund”), a Ohio business Trust/IC, Neiman Funds Management LLC, the Registered Investment Advisor (the “RIA”) a Wyoming limited liability company, and Arbor Court Capital, LLC (“ACC”), a limited liability company organized and existing under the laws of the State of Ohio.
CUSTODY AGREEMENT BETWEEN US BANK, N.A. ANDCustody Agreement • March 28th, 2003 • Neiman Funds • Ohio
This agreement (the "Agreement") is entered into as of the 18 day of March, 2003, by and between NEIMAN FUNDS, an Ohio business trust (the "Trust") and US Bank, National Association, (the "Custodian"), a national banking association having its principal office at 425 Walnut Street, Cincinnati, Ohio, 45202.
MANAGEMENT AGREEMENTManagement Agreement • March 28th, 2003 • Neiman Funds • California
The Trust has been organized to engage in the business of an investment company. The Trust currently offers one series of shares to investors, called the Neiman Enhanced Dividend Fund (the “Fund”).
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • March 28th, 2003 • Neiman Funds • California
THIS AGREEMENT is made and entered into as of March 18 , 2003, by and among Neiman Funds, an Ohio 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").
NEIMAN FUNDSBy-Laws • January 30th, 2003 • Neiman Funds
TRI-PARTY AGREEMENT FOR DISTRIBUTION SERVICESTri-Party Distribution Agreement • January 29th, 2021 • Neiman Funds • New York
THIS AGREEMENT is made as of January 7, 2021, between Neiman Funds (the “Trust” and/or Investment Company ”IC”, or “Fund”), a Ohio business Trust/IC, AC Funds, LLC, the Registered Investment Advisor (the “RIA”) a Delaware limited liability company, and Arbor Court Capital (“ACC”), a limited liability company organized and existing under the laws of the State of Ohio.
INVESTMENT SUB-ADVISORY AGREEMENT NEIMAN FUNDSInvestment Sub-Advisory Agreement • January 29th, 2021 • Neiman Funds • Ohio
THIS AGREEMENT is made as of January 7, 2021, by and between AC Funds, LLC (the "Adviser") and Advisors Capital Management, LLC (the "Sub-Adviser”), on behalf of those series of Neiman Funds (the “Trust”), an Ohio business trust, now or hereafter identified on Schedule A (each a "Fund" and collectively, the "Funds").
DISTRIBUTION AGREEMENTDistribution Agreement • July 6th, 2010 • Neiman Funds • New York
THIS AGREEMENT is made as of July 1, 2010, between Neiman Funds (“Fund”), an Ohio business trust, and Rafferty Capital Markets, LLC, (“RCM”), a corporation organized and existing under the laws of the State of New York.
MANAGEMENT AGREEMENTManagement Agreement • November 1st, 2024 • Neiman Funds
The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, that include, shares of the Advisors Capital Growth Fund, Advisors Capital International Fund (each a “Fund” and together the “Funds”).
MANAGEMENT AGREEMENTManagement Agreement • March 31st, 2016 • Neiman Funds • California
The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, including shares of the Neiman Opportunities Fund (the “Fund”).
INVESTMENT SUB-ADVISORY AGREEMENT NEIMAN FUNDSInvestment Sub-Advisory Agreement • July 29th, 2014 • Neiman Funds • Ohio
THIS AGREEMENT is made as of December 10, 2013, by and between Neiman Funds Management LLC (the "Adviser") and Absolute Capital Management, LLC (the "Sub-Adviser”), on behalf of those series of Neiman Funds (the “Trust”), an Ohio business trust, now or hereafter identified on Schedule A (each a "Fund" and collectively, the "Funds").
Letter AgreementManagement Agreement • July 29th, 2019 • Neiman Funds
You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated April 1, 2019. Effective August 1, 2019, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2020.
ADMINISTRATIVE SERVICE CONSULTANT AGREEMENTAdministrative Service Consultant Agreement • January 29th, 2021 • Neiman Funds • New York
Agreement dated as of January 7, 2021 between Neiman Funds (the “Trust”), an Ohio business trust (herein referred to as the "Trust"), and Neiman Funds Management, LLC, a Wyoming limited liability company ("NFM"), and AC Funds, LLC, a Delaware limited liability company (the “Advisor”).
Letter AgreementManagement Agreement • July 29th, 2021 • Neiman Funds
You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated April 1, 2019. Effective August 1, 2021, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2022.
MANAGEMENT AGREEMENTManagement Agreement • July 6th, 2010 • Neiman Funds • California
The Trust has been organized to engage in the business of an investment company. The Trust currently offers one series of shares to investors, called the Neiman Balanced Allocation Fund (the “Fund”).
UNDERWRITING AGREEMENT Schedule AUnderwriting Agreement • March 31st, 2016 • Neiman Funds
This Fee Schedule is part of the Underwriting Agreement (the “Agreement”) effective April 30, 2015 by and between Neiman Funds and Northern Lights Distributors, LLC. This Fee Schedule replaces any existing fee schedule with respect to the Fund(s) identified herein.
MANAGEMENT AGREEMENTManagement Agreement • June 29th, 2012 • Neiman Funds • California
The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, including shares of the Neiman Tactical Income Fund (the “Fund”).
Letter AgreementManagement Agreement • July 30th, 2020 • Neiman Funds
You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated April 1, 2019. Effective August 1, 2020, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2021.
Letter AgreementManagement Agreement • July 30th, 2018 • Neiman Funds
You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated November 30, 2009. Effective August 1, 2018, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2019.
Letter AgreementManagement Fee Waiver Agreement • July 27th, 2023 • Neiman Funds
Letter AgreementManagement Agreement • March 31st, 2016 • Neiman Funds
You have engaged us to act as the sole investment advisor to the Neiman Opportunities Fund (the “Fund”), pursuant to a Management Agreement dated March 25, 2016. Effective April 1, 2016, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2017.
MANAGEMENT AGREEMENTManagement Agreement • November 8th, 2022 • Neiman Funds • New York
The Trust has been organized to engage in the business of an investment company. The Trust currently offers multiple series of shares to investors, that include, shares of the Advisors Capital Active All Cap Fund (the “Fund”).
SUBSCRIPTION AGREEMENT BETWEEN THE TRUST AND THE INVESTOR NEIMAN ENHANCED DIVIDEND FUND A SERIES OF THE NEIMAN FUNDS LETTER OF INVESTMENT INTENTSubscription Agreement • March 28th, 2003 • Neiman Funds
The undersigned (the “Purchaser”) hereby subscribes to purchase a beneficial interest (“Interest”) of the Neiman Enhanced Dividend Fund, a series of the Neiman Funds, in the amount of one hundred thousand dollars ($100,000.00) for five thousand (5,000) shares at net asset value of twenty dollars ($20.00) per share, in consideration for which the Purchaser agrees to transfer to you upon demand cash in the amount of one hundred thousand dollars ($100,000.00).
Schedule A to ADMINISTRATIVE SERVICE CONSULTANT AGREEMENT (September 17, 2024) Fund Name: Advisors Capital Total Return - Equity Fund Advisors Capital Small/Mid Cap Fund Advisors Capital Tactical Fixed Income Fund Advisors Capital Active All Cap Fund...Administrative Service Consultant Agreement • November 1st, 2024 • Neiman Funds
NFM receives a monthly fee from the Advisor equal to an annual rate of 0.05% of each Fund's assets under $100 million, 0.03% of the next $100 million of each Fund's average daily net assets, and 0.02% of the average daily net assets of each Fund thereafter (subject to a minimum monthly fee of $1,000 for each Fund).
Schedule A to ADMINISTRATIVE SERVICE CONSULTANT AGREEMENT (September 27, 2022) Fund Name: Advisors Capital US Dividend Fund Advisors Capital Small/Mid Cap Fund Advisors Capital Tactical Fixed Income Fund Advisors Capital Active All Cap FundAdministrative Service Consultant Agreement • November 8th, 2022 • Neiman Funds
NFM receives a monthly fee from the Advisor equal to an annual rate of 0.05% of each Fund's assets under $100 million, 0.03% of the next $100 million of each Fund's average daily net assets, and 0.02% of the average daily net assets of each Fund thereafter (subject to a minimum monthly fee of $1,000 for each Fund).
Letter AgreementManagement Agreement • July 28th, 2017 • Neiman Funds
You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated November 30, 2009. Effective August 1, 2017, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2018.
AMENDMENT TO MANAGEMENT AGREEMENTManagement Agreement • June 2nd, 2006 • Neiman Funds
This Amendment, dated as of February 28, 2006, is by and between Neiman Funds (the "Trust"), on behalf of the Neiman Fund (the "Fund"), and Neiman Capital Management, LLC (the "Adviser") (each a "Party" and collectively, the "Parties").
MANAGEMENT AGREEMENT AMENDMENTManagement Agreement • January 29th, 2024 • Neiman Funds
Letter AgreementManagement Agreement • July 22nd, 2016 • Neiman Funds
You have engaged us to act as the sole investment advisor to the Neiman Large Cap Value Fund (the “Fund”), pursuant to a Management Agreement dated November 30, 2009. Effective August 1, 2016, we hereby contractually agree to waive management fees and reimburse expenses to the extent necessary to maintain total annual operating expenses of the Fund (excluding brokerage fees and commissions, interest and other borrowing expenses, taxes, indirect expenses (such as expenses of other investment companies in which the Fund invests) and extraordinary expenses) at an amount not to exceed 1.45% of its average daily net assets for No-Load Class and at an amount not to exceed 1.45% of its average daily net assets for Class A Shares through July 31, 2017.
INVESTMENT SUB-ADVISORY AGREEMENT NEIMAN FUNDSInvestment Sub-Advisory Agreement • June 29th, 2012 • Neiman Funds • Ohio
THIS AGREEMENT is made as of June 27, 2012, by and between Neiman Funds Management LLC (the "Adviser") and PageOne Funds Management, LLC (the "Sub-Adviser, on behalf of those series of Neiman Funds (the “Trust”), an Ohio business trust, now or hereafter identified on Schedule A (each a "Fund" and collectively, the "Funds").
