INVESTMENT ADVISORY AGREEMENT AGREEMENT, entered into as of this _____day of _____, 2004 between Old Mutual Capital, Inc. (the "Adviser") and Old Mutual Advisor Funds (the "Fund"). WHEREAS, the Fund is a Delaware statutory trust, and is registered...Investment Advisory Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Delaware
OLD MUTUAL ADVISOR FUNDS EXPENSE LIMITATION AGREEMENT This EXPENSE LIMITATION AGREEMENT, effective as of _______, 2004, by and between Old Mutual Advisor Funds (the "Trust"), on behalf of each portfolio of the Trust set forth in Schedule A, Schedule C...Expense Limitation Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Delaware
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this ___ day of _______, 2004 by and among Old Mutual Capital, Inc. (the "Adviser"), Pilgrim Baxter & Associates, Ltd. (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware statutory trust...Investment Sub-Advisory Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Delaware
ROGGE INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this ___ day of _______, 2004 by and among Old Mutual Capital, Inc. (the "Adviser"), Rogge Global Partners plc (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware statutory trust...Sub-Advisory Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Delaware
WITNESSETH:Agency Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Missouri
AMENDMENT NO. 1 DATED MAY 11, 2005 TO SCHEDULE A OF THE INVESTMENT ADVISORY AGREEMENT DATED SEPTEMBER 7, 2004 This Schedule A to the Investment Advisory Agreement dated September 7, 2004 (the "Agreement") between Old Mutual Advisor Funds and Old...Investment Advisory Agreement • July 27th, 2005 • Old Mutual Advisor Funds
This Schedule A to the Investment Advisory Agreement dated September 7, 2004 (the "Agreement") between Old Mutual Advisor Funds and Old Mutual Capital, Inc., is hereby amended as of the 11th day of May, 2005 to add the Old Mutual Copper Rock Emerging Growth Fund and Old Mutual Analytic Defensive Equity Fund and sets forth pursuant to Section 5 of this Agreement the compensation each Portfolio shall pay the Adviser. Such compensation shall be computed daily at the annual rate of the Portfolio's average daily net assets as follows and shall be paid monthly at the end of each month.
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 2nd day of August, 2004 by and among Old Mutual Capital, Inc. (the "Adviser"), Barrow, Hanley, Mewhinney & Strauss, Inc. (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware...Investment Sub-Advisory Agreement • September 24th, 2004 • Old Mutual Advisor Funds • Delaware
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this ___ day of _______, 2004 by and among Old Mutual Capital, Inc. (the "Adviser"), Thompson, Siegel & Walmsley, Inc. (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware statutory trust...Investment Sub-Advisory Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Delaware
AGREEMENT AND DECLARATION OF TRUST OF OLD MUTUAL ADVISOR FUNDSTrust Agreement • June 1st, 2004 • Old Mutual Advisor Funds
DISTRIBUTION AGREEMENT OLD MUTUAL ADVISOR FUNDS THIS AGREEMENT is made as of this ____ day of ______, 2004 between Old Mutual Advisor Funds (the "Trust"), a Delaware statutory trust, and Old Mutual Investment Partners (the "Distributor"), a...Distribution Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Delaware
CUSTODY AGREEMENTCustody Agreement • December 28th, 2005 • Old Mutual Advisor Funds • New York
AGREEMENT, dated as of December 28, 2005 between Old Mutual Advisor Funds, a business trust organized and existing under the laws of the State of Delaware having its principal office and place of business at 4643 South Ulster, 6th Floor, Denver, Colorado 80237 (the “Fund”) and The Bank of New York, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
FORM OF FINANCIAL INVESTORS TRUST SUB-ADVISORY AGREEMENTSub-Advisory Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
AGREEMENT, dated as of , 2009 by and among ALPS Advisors, Inc. (the “Investment Adviser”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, Financial Investors Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed in Appendix A hereto, as amended from time to time, each a series of the Trust (each, a “Fund” and collectively, the “Funds”), and Clough Capital Partners LP, a Delaware limited partnership (the “Sub-Adviser”), having its principal place of business at 260 Franklin Street, Suite 1920, Boston, Massachusetts 02110.
Sub-Item77Q1(e) AMENDED SCHEDULE A TO THE INVESTMENT ADVISORY AGREEMENT DATED SEPTEMBER 7, 2004 EFFECTIVE AUGUST 1, 2010 The Investment Advisory Agreement dated September 7, 2004 between Old Mutual Funds I and Old Mutual Capital, Inc. (the...Investment Advisory Agreement • March 31st, 2011 • Old Mutual Funds I
The Investment Advisory Agreement dated September 7, 2004 between Old Mutual Funds I and Old Mutual Capital, Inc. (the "Agreement") is hereby amended by replacing Schedule A in its entirety with the following:
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • November 27th, 2006 • Old Mutual Advisor Funds • Delaware
AGREEMENT made as of this 26th day of October, 2006 by and among Old Mutual Capital, Inc. (the "Adviser"), Acadian Asset Management, Inc. (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware statutory trust (the "Trust").
FORM OF FINANCIAL INVESTORS TRUST INVESTMENT ADVISORY AGREEMENT CLOUGH CHINA FUNDInvestment Advisory Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
This Investment Advisory Agreement (this “Agreement”) is made and entered into as of this day of , 2009, by and between ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed in Appendix A hereto, as amended from time to time, each a series of the Trust (each, a “Fund” and collectively, the “Funds”).
AMENDED AND RESTATED CUSTODY AGREEMENTCustody Agreement • November 14th, 2007 • Old Mutual Advisor Funds • New York
THIS AMENDED AND RESTATED CUSTODY AGREEMENT, entered into as of September 25, 2007 with an effective date of November 5, 2007 between Old Mutual Advisor Funds, a statutory trust organized and existing under the laws of the State of Delaware having its principal office and place of business at 4643 South Ulster Street, Suite 600, Denver, Colorado 80237 (the “Fund”) and The Bank of New York, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
FORM OF SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
THIS SHAREHOLDER SERVICING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business at , , (hereinafter “Servicer”).
FORM OF BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
Form of Fund/SERV AgreementFund/Serv Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
AGREEMENT entered into this day of , 200 , by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”), and with its principal place of business in (“Trust Entity”).
FORM OF AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • August 20th, 2009 • Financial Investors Trust • New York
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this day of , 2009 by Financial Investors Trust, a Delaware statutory trust (the “Acquiring Trust”), on behalf of Clough China Fund (the “Acquiring Fund”); Old Mutual Funds I, a Delaware statutory trust, (the “Selling Trust”), on behalf of Old Mutual China Fund (the “Selling Fund”) (the Acquiring Fund and Selling Fund referred to herein as a “Fund” and collectively, the “Funds”); ALPS Advisors, Inc. (“ALPS”), the investment adviser to the Acquiring Fund (for purposes of Section 9.1 of the Agreement only). The principal place of business of the Acquiring Trust and ALPS is 1290 Broadway, Suite 1100, Denver, Colorado 80203; the principal place of business of the Selling Trust is 4643 South Ulster Street, Suite 600, Denver, Colorado 80237.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • November 28th, 2005 • Old Mutual Advisor Funds • Delaware
AGREEMENT made as of this 7th day of September, 2004 by and among Old Mutual Capital, Inc. (the “Adviser”), Dwight Asset Management Company (the “Sub-Adviser”), and Old Mutual Advisor Funds, a Delaware statutory trust (the “Trust”).
Form of Trust NETWORKING AgreementTrust Networking Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
AGREEMENT entered into this day of , 200 , by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS” or “Fund Agent”), and with its principal place of business in (“Trust Entity”).
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this ___ day of _______, 2005 by and among Old Mutual Capital, Inc. (the "Adviser"), Copper Rock Capital Partners LLC (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware statutory trust...Investment Sub-Advisory Agreement • July 27th, 2005 • Old Mutual Advisor Funds • Delaware
AGREEMENT AND PLAN OF REORGANIZATION AGREEMENT AND PLAN OF REORGANIZATION dated as of October 13, 2005 (the "Agreement"), between THE ADVISORS' INNER CIRCLE FUND (the "Acquired Fund Trust"), a Massachusetts business trust, on behalf of ANALYTIC...Reorganization Agreement • December 20th, 2005 • Old Mutual Advisor Funds • Delaware
CUSTODIAN AGREEMENT (FOREIGN AND DOMESTIC SECURITIES) This Custodian Agreement is made by and between Old Mutual Advisor Funds ("Principal") and UNION BANK OF CALIFORNIA, N.A. ("Custodian"). Principal desires that Custodian hold and administer on...Custodian Agreement • December 19th, 2005 • Old Mutual Advisor Funds • California
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • November 14th, 2007 • Old Mutual Advisor Funds • Delaware
AGREEMENT, effective as of the 19th day of November, 2007 between Old Mutual Capital, Inc. (the "Adviser") and Old Mutual Advisor Funds (the "Trust").
AGREEMENT AMONG JOINTLY INSURED PARTIESJointly Insured Agreement • August 7th, 2009 • Old Mutual Funds I
THIS AGREEMENT AMONG JOINTLY INSURED PARTIES, effective as of May 1, 2009 (“Agreement”), is by and between Old Mutual Funds I, Old Mutual Funds II, and Old Mutual Funds III (each a “Fund” and collectively, the “Funds”).
AMENDED AND RESTATED FOREIGN CUSTODY MANAGER AGREEMENTForeign Custody Manager Agreement • November 14th, 2007 • Old Mutual Advisor Funds • New York
THIS AMENDED AND RESTATED AGREEMENT entered into as of September 25, 2007 with an effective date of November 5, 2007 between Old Mutual Advisor Funds (the “Fund”), a statutory trust organized and existing under the laws of the State of Delaware and having its principal office and place of business at 4643 South Ulster Street, Suite 600, Denver, Colorado 80237, and The Bank of New York (“BNY”).
AGREEMENT AMONG JOINTLY INSURED PARTIESJoint Insured Agreement • August 1st, 2008 • Old Mutual Funds I
THIS AGREEMENT AMONG JOINTLY INSURED PARTIES, effective as of May 1, 2008 (“Agreement”), is by and between Old Mutual Funds I, Old Mutual Funds II, Old Mutual Funds III and Old Mutual Insurance Series Fund (each a “Fund” and collectively, the “Funds”).
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 9th day of December, 2005 by and among Old Mutual Capital, Inc. (the "Adviser"), Analytic Investors, Inc. (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware statutory trust (the...Investment Sub-Advisory Agreement • December 20th, 2005 • Old Mutual Advisor Funds • Delaware
ADMINISTRATIVE SERVICES AGREEMENT ADMINISTRATIVE SERVICES AGREEMENT ("Agreement") made as of the ___ day of ______, 2004 by and between Old Mutual Advisor Funds, a Delaware statutory trust (the "Trust"), and Old Mutual Fund Services, a Pennsylvania...Administrative Services Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Delaware
SUB-ADMINISTRATIVE SERVICES AGREEMENT SUB-ADMINISTRATIVE SERVICES AGREEMENT ("Agreement") made as of the ___ day of _______, 2004, by and among Old Mutual Fund Services, a Pennsylvania business trust (the "Administrator"), and SEI Investments Mutual...Sub-Administrative Services Agreement • August 11th, 2004 • Old Mutual Advisor Funds • Pennsylvania
MUTUAL FUND CUSTODY AGREEMENT Old Mutual Advisor Funds WACHOVIA BANK, N.A. Table of ContentsMutual Fund Custody Agreement • August 11th, 2004 • Old Mutual Advisor Funds
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • November 14th, 2007 • Old Mutual Advisor Funds • Delaware
AGREEMENT effective as of the 19th day of November, 2007 by and among Old Mutual Capital, Inc. (the "Adviser"), Provident Investment Counsel, Inc. (the "Sub-Adviser"), and Old Mutual Advisor Funds, a Delaware statutory trust (the "Trust").
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 28th, 2005 • Old Mutual Advisor Funds • Delaware
AGREEMENT, entered into as of this 2nd day of December, 2005 between Old Mutual Capital, Inc. (the “Adviser”) and Old Mutual Advisor Funds (the “Fund”).
