CUSTODY AGREEMENTCustody Agreement • June 19th, 2014 • Aspiration Funds • Minnesota
THIS AGREEMENT is made and entered into as of this 11th day of March, 2014, by and between ASPIRATION FUNDS, a Delaware statutory 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”).
CUSTODY AGREEMENT Dated December 18, 214 Between UMB BANK, N.A. and ASPIRATION FUNDSCustody Agreement • November 2nd, 2015 • Aspiration Funds
This agreement made as of the date first set forth above between UMB Bank, n.a., a national banking association with its principal place of business located in Kansas City, Missouri (hereinafter "Custodian"), and Aspiration Funds on behalf each of the Funds listed on Appendix B hereof, together with such additional Funds which shall be made parties to this Agreement by the execution of Appendix B hereto (individually, a "Fund" and collectively, the "Funds").
DISTRIBUTION AGREEMENTDistribution Agreement • June 19th, 2014 • Aspiration Funds • Ohio
This Agreement made as of June 19, 2014 by and between ASPIRATION FUNDS (the “Trust”), a Delaware statutory trust, and ULTIMUS FUND DISTRIBUTORS, LLC, an Ohio limited liability company (“Distributor”).
FUND ACCOUNTING AGREEMENTFund Accounting Agreement • June 19th, 2014 • Aspiration Funds • Ohio
THIS AGREEMENT is made as of this 19th day of June, 2014, by and between ASPIRATION FUNDS (the “Trust”), a Delaware statutory trust having its principal place of business at 188 West Northern Lights Boulevard, Suite 920, Anchorage, Alaska 99503, and ULTIMUS FUND SOLUTIONS, LLC (“Ultimus”), a limited liability company organized under the laws of the State of Ohio having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246.
TRANSFER AGENT AND SHAREHOLDER SERVICES AGREEMENTTransfer Agent and Shareholder Services Agreement • June 19th, 2014 • Aspiration Funds • Ohio
THIS AGREEMENT is made as of this 19th day of June, 2014, by and between ASPIRATION FUNDS (the “Trust”), a Delaware statutory trust having its principal place of business at 118 West Northern Lights Boulevard, Suite 920, Anchorage, Alaska 99503, and ULTIMUS FUND SOLUTIONS, LLC (“Ultimus”), a limited liability company organized under the laws of the State of Ohio having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246.
DIVIDEND DISBURSING AND TRANSFER AGENT AGREEMENTDividend Disbursing and Transfer Agent Agreement • November 2nd, 2015 • Aspiration Funds • North Carolina
THIS DIVIDEND DISBURSING AND TRANSFER AGENT AGREEMENT ("Agreement") is made and entered into as of December 9, 2014 by and between ASPIRATION FUNDS, a Delaware open-end management investment company (the "Trust"), and NOTTINGHAM SHAREHOLDER SERVICES, LLC, a North Carolina limited liability company (the "Transfer Agent").
DISTRIBUTION AGREEMENTDistribution Agreement • January 29th, 2024 • Aspiration Funds
This AGREEMENT dated January 10, 2024, between ASPIRATION FUNDS, an open-end management investment company organized under the laws of the State of Delaware (the “Trust”) and CAPITAL INVESTMENT GROUP, INC., a North Carolina corporation (the “Distributor”).
SECOND INTERIM INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 29th, 2024 • Aspiration Funds • Delaware
AGREEMENT made as of December 18, 2023, between Aspiration Funds (the “Trust”), a Delaware statutory trust having its principal place of business at 4551 Glencoe Avenue, Marina Del Rey, California 90292, on behalf of the Fund(s) listed on Schedule A, and Aspiration Fund Adviser, LLC (the “Investment Adviser”), an investment adviser having its principal place of business at 4551 Glencoe Avenue, Marina Del Rey, California 90292.
FUND ACCOUNTING AND ADMINISTRATION SERVICE AGREEMENTService Agreement • January 28th, 2015 • Aspiration Funds • North Carolina
THIS AGREEMENT is made and entered into as of this 9th day of December, 2014, by and between ASPIRATION FUNDS, a Delaware open-end management investment company (the "Trust") and THE NOTTINGHAM COMPANY, a North Carolina corporation, having its principal office and place of business at 116 South Franklin Street, Rocky Mount, North Carolina 27804 (the "Administrator").
SECOND INTERIM SUB-INVESTMENT ADVISORY AGREEMENTSub-Investment Advisory Agreement • January 29th, 2024 • Aspiration Funds • Delaware
AGREEMENT made as of the December 18, 2023, between Aspiration Fund Adviser, LLC (the “Investment Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and UBS Asset Management (Americas) Inc. (the “Sub-Adviser”), a Delaware corporation registered as an investment adviser under the Advisers Act, with respect to the Aspiration Redwood Fund (the “Fund”), a series of Aspiration Funds (the “Trust”).
SUBSCRIPTION AGREEMENT BETWEEN THE TRUST AND THE INVESTORSSubscription Agreement • November 2nd, 2015 • Aspiration Funds
Aspiration Fund Adviser, LLC (the "Purchaser") subscribes to purchase a beneficial interest ("Interest") of the Aspiration Redwood Fund ("Fund"), a series of Aspiration Funds, in the amount of $_____ for _____ share at net asset value of $10.00 per share, in consideration for which the Purchaser agrees to transfer to you upon demand cash in the amount of $_____.
ASPIRATION FUNDS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Dated May 12, 2014Agreement and Declaration of Trust • June 19th, 2014 • Aspiration Funds • Delaware
This AGREEMENT AND DECLARATION OF TRUST is made as of October 16, 2013, amended as of January 13, 2014, and amended and restated as of May 12, 2014, by the Trustees and shareholders, to establish a business trust for the investment and reinvestment of funds contributed to the Trust by investors. The Trustees declare that all money and property contributed to the Trust shall be held and managed in trust pursuant to this Amended and Restated Agreement and Declaration of Trust ("Trust Instrument"). The name of the Trust created by this Trust Instrument is Aspiration Funds.
AMENDMENT TO THE DISTRIBUTION AGREEMENTDistribution Agreement • March 19th, 2021 • Aspiration Funds
This amendment, effective January 1, 2021, amends the Distribution Agreement dated December 9, 2014, by and between Aspiration Funds (the “Trust”) and Capital Investment Group, Inc. (the “Distributor”) (collectively, the “Parties”).
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • June 19th, 2014 • Aspiration Funds
THIS AGREEMENT, dated as of June 19, 2014, is made and entered into by and between Aspiration Funds, a Delaware business trust (the "Trust"), on behalf of each of the investment series set forth on Schedule A attached hereto (each a “Fund(s)” and collectively the “Fund(s)s”); and Aspiration Fund Adviser, LLC, an investment adviser incorporated in the State of Delaware (the "Adviser").
FUND ACCOUNTING AND ADMINISTRATION SERVICE AGREEMENT Appendix AFund Accounting and Administration Service Agreement • January 28th, 2021 • Aspiration Funds
SUB-INVESTMENT ADVISORY AGREEMENTSub-Investment Advisory Agreement • November 29th, 2024 • Aspiration Funds • Delaware
AGREEMENT made as of October 10th, 2024, between Mission Investment Advisors LLC (the “Investment Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and UBS Asset Management (Americas) LLC (the “Sub-Adviser”), a Delaware corporation registered as an investment adviser under the Advisers Act, with respect to the Aspiration Redwood Fund (the “Fund”), a series of Aspiration Funds (the “Trust”).
EXPENSE LIMITATION AGREEMENT between ASPIRATION FUNDS and ASPIRATION FUND ADVISER, LLCExpense Limitation Agreement • November 2nd, 2015 • Aspiration Funds
THIS EXPENSE LIMITATION AGREEMENT ("Agreement") is made and entered into effective as this 30th day of August, 2015 by and between ASPIRATION FUNDS, a Delaware statutory trust (the "Trust"), on behalf of its series, the Aspiration Flagship Fund, and the Aspiration Redwood Fund (the "Funds"), and ASPIRATION FUND ADVISER, LLC, a California Limited Liability Company (the "Advisor").
AMENDED AND RESTATED APPENDIX A CUSTODY AGREEMENTCustody Agreement • January 28th, 2020 • Aspiration Funds
The following Subcustodians and Securities Systems are approved for use in connection with the Custody Agreement dated December 18, 2014.
SCHEDULE 1 Updated: December 6, 2016 SERIES OF THE TRUSTTrust Agreement • January 28th, 2020 • Aspiration Funds
Dividend Disbursing & Transfer Agent Agreement Amended: June 10, 2020Dividend Disbursing & Transfer Agent Agreement • January 28th, 2021 • Aspiration Funds
For the services delineated in the DIVIDEND DISBURSING AND TRANSFER AGENT AGREEMENT, the Transfer Agent shall be compensated monthly, according to the following fee schedule.
INTERIM SUB-INVESTMENT ADVISORY AGREEMENTInterim Sub-Investment Advisory Agreement • January 29th, 2024 • Aspiration Funds • Delaware
AGREEMENT made as of the 26th day of June, 2023, between Aspiration Fund Adviser, LLC (the “Investment Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and UBS Asset Management (Americas) Inc. (the “Sub-Adviser”), a Delaware corporation registered as an investment adviser under the Advisers Act, with respect to the Aspiration Redwood Fund (the “Fund”), a series of Aspiration Funds (the “Trust”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • June 19th, 2014 • Aspiration Funds • Delaware
AGREEMENT made this 19th day of June, 2014, between Aspiration Funds (the “Trust”), a Delaware statutory trust having its principal place of business at 188 West Northern Lights Boulevard, Suite 920, Anchorage, Alaska 99503, on behalf of the Fund(s) listed on Schedule A, and Aspiration Fund Adviser, LLC (the “Investment Adviser”), an investment adviser having its principal place of business at 9200 Sunset Boulevard, Los Angeles, California 90069.
ADMINISTRATION AND COMPLIANCE AGREEMENTAdministration and Compliance Agreement • June 19th, 2014 • Aspiration Funds • Ohio
THIS AGREEMENT is made as of this 19th day of June, 2014, by and between ASPIRATION FUNDS (the “Trust”), a Delaware statutory trust having its principal place of business at 118 West Northern Lights Boulevard, Suite 920, Anchorage, Alaska 99503, and ULTIMUS FUND SOLUTIONS, LLC (“Ultimus”), a limited liability company organized under the laws of the State of Ohio having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246.
FUND ACCOUNTING AND ADMINISTRATION SERVICE AGREEMENT Schedule 1 SPECIAL PROJECT FEES (Updated December 12, 2017)Fund Accounting and Administration Service Agreement • January 26th, 2018 • Aspiration Funds
The Trust may, from time to time, request that the Administrator perform additional tasks above and beyond the general scope of its responsibilities under Appendix B herein. A non-exhaustive list of common services and their fees is included here. Additional services not listed here will be invoiced at a rate agreed to by the Trust and the Administrator.
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • January 29th, 2024 • Aspiration Funds
AGREEMENT dated as of December 18, 2014 (the "Effective Date'') between Aspiration Funds (the "Trust''), a Delaware statutory trust, and Cipperman Compliance Services, LLC ("CCS"), a Pennsylvania limited liability company.
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • January 29th, 2019 • Aspiration Funds
THIS EXPENSE LIMITATION AGREEMENT (“Agreement”) is made and entered into effective as this 11th day of December, 2018, by and between ASPIRATION FUNDS, a Delaware statutory trust (the “Trust”), on behalf of its series, the Aspiration Flagship Fund and the Aspiration Redwood Fund (the “Funds”), and ASPIRATION FUND ADVISER, LLC, a California limited liability company (the “Advisor”), with respect to the following:
EXPENSE LIMITATION AGREEMENT between ASPIRATION FUNDS and ASPIRATION FUND ADVISER, LLCExpense Limitation Agreement • March 27th, 2015 • Aspiration Funds
THIS EXPENSE LIMITATION AGREEMENT ("Agreement") is made and entered into effective as this 30th day of March, 2015 by and between ASPIRATION FUNDS, a Delaware statutory trust (the "Trust"), on behalf of its series, the Aspiration Flagship Fund, and the Aspiration U.S. Sustainable Equity Fund (the "Funds"), and ASPIRATION FUND ADVSIER, LLC, a California Limited Liability Company (the "Advisor").
Dividend Disbursing & Transfer Agent Agreement Amended: June 10, 2020Dividend Disbursing & Transfer Agent Agreement • January 28th, 2021 • Aspiration Funds
ASPIRATION FUNDS AGREEMENT AND DECLARATION OF TRUST Dated October 16, 2013Agreement and Declaration of Trust • December 20th, 2013 • Aspiration Funds • Delaware
This AGREEMENT AND DECLARATION OF TRUST is made on October 16, 2013 by the Trustees and shareholders, to establish a business trust for the investment and reinvestment of funds contributed to the Trust by investors. The Trustees declare that all money and property contributed to the Trust shall be held and managed in trust pursuant to this Agreement and Declaration of Trust (“Trust Instrument”). The name of the Trust created by this Trust Instrument is Aspiration Funds.
SUB-INVESTMENT ADVISORY AGREEMENTSub-Investment Advisory Agreement • January 29th, 2019 • Aspiration Funds • Delaware
AGREEMENT made this 11th day of September, 2018, between Aspiration Fund Adviser, LLC (the “Investment Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Emerald Separate Account Management, LLC (the “Sub-Adviser”), a Delaware corporation registered as an investment adviser under the Advisers Act, with respect to the Aspiration Flagship Fund (the “Fund”), a series of Aspiration Funds (the “Trust”).
INTERIM INVESTMENT ADVISORY AGREEMENTInterim Investment Advisory Agreement • January 29th, 2024 • Aspiration Funds • Delaware
AGREEMENT made as of the 26th day of June, 2023, between Aspiration Funds (the “Trust”), a Delaware statutory trust having its principal place of business at 4551 Glencoe Avenue, Marina Del Rey, California 90292, on behalf of the Fund(s) listed on Schedule A, and Aspiration Fund Adviser, LLC (the “Investment Adviser”), an investment adviser having its principal place of business at 4551 Glencoe Avenue, Marina Del Rey, California 90292.
ASPIRATION FUNDS PRINCIPAL UNDERWRITING CONTRACTPrincipal Underwriting Contract • January 28th, 2022 • Aspiration Funds • Delaware
CONTRACT made as of August 30, 2021, between ASPIRATION FUNDS, a Delaware business trust (“Fund”), and ASPIRATION FINANCIAL LLC, a Delaware limited liability company (“Aspiration”).
FUND ACCOUNTING AND ADMINISTRATION SERVICE AGREEMENT Schedule 1Fund Accounting and Administration Service Agreement • January 28th, 2021 • Aspiration Funds
The Trust may, from time to time, request that the Administrator perform additional tasks above and beyond the general scope of its responsibilities under Appendix B herein. A non-exhaustive list of common services and their fees is included here. Additional services not listed here will be invoiced at a rate agreed to by the Trust and the Administrator.
SUB-INVESTMENT ADVISORY AGREEMENTSub-Investment Advisory Agreement • June 19th, 2014 • Aspiration Funds • Delaware
AGREEMENT made this 19th day of June, 2014, between Aspiration Fund Adviser, LLC (the “Investment Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Emerald Separate Account Management, LLC (the “Sub-Adviser”), a Delaware limited liability company registered as an investment adviser under the Advisers Act, with respect to the Aspiration Flagship Fund (the “Fund”), a series of Aspiration Funds (the “Trust”).
AMENDMENT TO THE DISTRIBUTION AGREEMENTDistribution Agreement • January 28th, 2021 • Aspiration Funds
This amendment, effective January 1, 2021, amends the Distribution Agreement dated December 9, 2014, by and between Aspiration Funds (the “Trust”) and Capital Investment Group, Inc. (the “Distributor”) (collectively, the “Parties”).
