INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 10th, 2023 • Northern Lights Fund Trust IV • New York
This AGREEMENT is made as of October 25, 2022 between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), and FULCRUM ASSET MANAGEMENT LLP, a United Kingdom limited liability partnership (the "Adviser"), located at Marble Arch House, 66 Seymour Street, London, United Kingdom W1H5BT.
SUBADVISORY AGREEMENTSubadvisory Agreement • May 12th, 2017 • Northern Lights Fund Trust IV • Delaware
THIS AGREEMENT is made and entered into as of the 27th day of July, 2016 by and between Regents Park Funds, LLC, a limited liability company organized under the laws of California registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), (the “Adviser”) and Affinity Investment Advisors, LLC a limited liability company organized under the laws of California registered under the Advisers Act (the “Subadviser”), with respect to the Affinity Global Franchise Equity Fund (the “Fund”) a series of the Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”).
CUSTODY AGREEMENTCustody Agreement • January 25th, 2021 • Northern Lights Fund Trust IV • Minnesota
THIS AGREEMENT is made and entered into as of this 13th day of October 2020, by and between NORTHERN LIGHTS FUND TRUST IV, 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”).
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT MAIN MANAGEMENT FUND ADVISORS, LLCOperating Expenses Limitation and Security Agreement • July 1st, 2024 • Northern Lights Fund Trust IV • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 24th day of June, 2024, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the Fund listed on Appendix A to this Agreement (the “Fund” ), a series of the Trust, and the advisor of the Fund, MAIN MANAGEMENT FUND ADVISORS, LLC (the “Advisor”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • September 26th, 2023 • Northern Lights Fund Trust IV • Delaware
This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this 30th day of June, 2023 by and among First Manhattan Co., LLC a limited partnership organized under the laws of the State of New York, with its principal place of business at 399 Park Avenue, New York, New York 10022 (the “Adviser”), and Vident Advisory, LLC, a limited liability company organized under the laws of the State of Delaware, with its principal place of business located at 1125 Sanctuary Parkway, Suite 515, Alpharetta, GA 30009 (the “Sub-Adviser”).
DISTRIBUTION AGREEMENTDistribution Agreement • May 20th, 2016 • Northern Lights Fund Trust IV • Delaware
THIS AGREEMENT is made and entered into as of this 20th day of May, 2016 by and between Northern Lights Funds Trust IV, a Delaware statutory trust (the “Client”) and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
UNDERWRITING AGREEMENTUnderwriting Agreement • March 25th, 2019 • Northern Lights Fund Trust IV • Nebraska
THIS UNDERWRITING AGREEMENT (this “Agreement”) dated the 1st day of February, 2019 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust, having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (“NLD”). Capitalized terms used herein and not otherwise defined shall have the meaning prescribed to them in Section 16 of this Agreement.
PENSERRA CAPITAL MANAGEMENT LLC SUB-ADVISORY AGREEMENTSub-Advisory Agreement • March 12th, 2021 • Northern Lights Fund Trust IV • New York
Sub-Advisory Agreement (this “Agreement”) entered into as of the 21st day of January, 2021, by and between Kingsview Wealth Management LLC, a limited liability company with its principal place of business at 509 SE 7th Street, 2nd Floor, Grants Pass, Oregon 97526 (the “Adviser”), and Penserra Capital Management LLC, a registered investment advisor organized under the laws of the State of New York (the “Sub-Adviser”).
ETF DISTRIBUTION AGREEMENTDistribution Agreement • July 2nd, 2020 • Northern Lights Fund Trust IV • Delaware
This Distribution Agreement (the “Agreement”) is made this 14 day of April 2020, 2020, by and between Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”) having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246, and Foreside Financial Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
FUND SERVICES AGREEMENTFund Services Agreement • August 14th, 2015 • Northern Lights Fund Trust IV • New York
THIS FUND SERVICES AGREEMENT (this “Agreement”) dated the 29th day of July, 2015 (the “Effective Date”), is entered into by and between Northern Lights Fund Trust IV, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Omaha, NE 68130 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”).
AMENDED AGREEMENT AND DECLARATION OF TRUST of Northern Lights Fund Trust IV a Delaware Statutory TrustTrust Agreement • March 24th, 2020 • Northern Lights Fund Trust IV • Delaware
AGREEMENT AND DECLARATION OF TRUST made this 2nd day of June, 2015, as amended July 18, 2019, by the Trustees hereunder, and by the holders of shares of beneficial interest to be issued hereunder as hereinafter provided. This Amended Agreement and Declaration of Trust shall be effective upon the filing of the Certificate of Trust in the office of the Secretary of State of the State of Delaware.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • June 24th, 2024 • Northern Lights Fund Trust IV
THIS AGREEMENT is made as of the 20th day of October, 2021, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and NORTHERN LIGHTS FUND TRUST IV, a Delaware business trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246 (the “Trust”).
CUSTODY AGREEMENTCustody Agreement • June 24th, 2024 • Northern Lights Fund Trust IV • Massachusetts
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • August 2nd, 2024 • 360 Funds • Delaware
This ETF Distribution Agreement (this “Agreement”) is effective the ___ day of July, 2024, between 360 Funds, a Delaware statutory trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a “Fund”, and collectively, the “Funds”), and Matrix 360 Distributors, LLC a Delaware limited liability company (the “Distributor”).
CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • January 20th, 2017 • Northern Lights Fund Trust IV • New York
THIS AGREEMENT, dated as of October 20, 2016, between Northern Lights Fund Trust IV (the Fund, on behalf of its series listed hereto on Schedule V, the Portfolios), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or, when referring to BBH&Co. in its capacity as custodian, the Custodian, and when referring to BBH&Co. in its capacity as transfer agent, TA).
CUSTODY AGREEMENTCustody Agreement • December 21st, 2015 • Northern Lights Fund Trust IV • Ohio
THIS CUSTODY AGREEMENT (“Agreement”), dated as of October 7, 2015, is entered into by and between THE HUNTINGTON NATIONAL BANK, a national bank organized under the laws of the United States (the “Custodian” or “Bank”), and NORTHERN LIGHTS FUND TRUST IV, a trust formed under the laws of the State of Delaware (the “Company”).
CUSTODY AGREEMENTCustody Agreement • October 6th, 2017 • Northern Lights Fund Trust IV • Ohio
THIS CUSTODY AGREEMENT (this "Agreement"), is made as of July 20, 2017, by and between NORTHERN LIGHTS FUND TRUST IV, a statutory trust organized under the laws of the State of Delaware (the "Company"), and FIFTH THIRD BANK, an Ohio banking corporation (the "Custodian").
CUSTODIAN AGREEMENTCustodian Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • New York
THIS AGREEMENT, dated as of June 21, 2021, between NORTHERN LIGHTS FUND TRUST IV (the Fund, including on behalf of each of its separate series listed on Schedule A hereto, the Portfolios), a management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or the Custodian). It is acknowledged and agreed that the terms of this Agreement shall apply separately and respectively to the Fund in respect of each Portfolio, and for purposes of this Agreement, references hereafter to the “Fund” shall mean the Fund and/or the respective Portfolio(s), as the context requires. All capitalized terms shall have the meaning ascribed to them in this Agreement.
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT FormulaFolio Investments, LLC THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the RECITALS:Operating Expenses Limitation and Security Agreement • September 22nd, 2022 • Northern Lights Fund Trust IV • New York
WHEREAS, the Advisor renders advice and services to the Funds pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of November 6, 2020 (the “Advisory Agreement”); and
FUND SERVICES AGREEMENT between NORTHERN LIGHTS FUND TRUST IVFund Services Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • New York
THIS FUND SERVICES AGREEMENT (this "Agreement") dated the 20th day of October, 2021 (the "Effective Date"), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 ("UFS").
SUBADVISORY AGREEMENTSubadvisory Agreement • November 24th, 2020 • Northern Lights Fund Trust IV • Delaware
THIS AGREEMENT is made and entered into as of the 13th day of October, 2020, by and between CWM Advisors, LLC (d/b/a Inspire), a limited liability company organized under the laws of California and registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) (the “Adviser”), and SevenOneSeven Capital Management, LTD, a limited liability company organized under the laws of Pennsylvania and registered under the Advisers Act (the “Subadviser”), with respect to the series set forth in Exhibit A of the Agreement (each a “Fund” and, collectively, the “Funds”), each of which are series of the Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”).
INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST IV and STERLING CAPITAL MANAGEMENT LLCInvestment Advisory Agreement • September 26th, 2024 • Northern Lights Fund Trust IV • New York
This INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made as of June 24, 2024, between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), and Sterling Capital Management LLC, a North Carolina limited liability Company (the “Adviser”), located at 4350 Congress Street, Suite 1000, Charlotte, North Carolina 28209.
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT ANCHOR CAPITAL MANAGEMENT GROUP, INC.Operating Expenses Limitation and Security Agreement • December 22nd, 2017 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 19th day of October, 2017, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the Anchor Alternative Equity Fund, Anchor Tactical Municipal Bond Fund, and Anchor Tactical Real Estate Fund (each a “Fund”, collectively the “Funds”) each a series of the Trust, and the Advisor of the Funds, Anchor Capital Management Group, Inc. (the “Advisor”).
ETF FUND SERVICES AGREEMENT between Northern Lights Fund Trust IV andEtf Fund Services Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • New York
THIS ETF FUND SERVICES AGREEMENT (this "Agreement") dated the 20th day of October, 2021 (the "Effective Date"), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 ("UFS").
ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • October 6th, 2016 • Northern Lights Fund Trust IV • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 27th day of July, 2016 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Omaha, NE 68130 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”).
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT FULCRUM ASSET MANAGEMENT LLPOperating Expenses Limitation and Security Agreement • October 24th, 2024 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 16th day of October, 2024, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of Funds listed on Appendix A to this Agreement (each a “Fund” and together, the “Fund”), each a series of the Trust, and the advisor of the Funds, FULCRUM ASSET MANAGEMENT LLP (the “Advisor”).
NORTHERN LIGHTS FUND TRUST IV ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENTConfidentiality Agreement • October 23rd, 2024 • Northern Lights Fund Trust IV • New York
This AP Representative Confidentiality Agreement (this "Agreement") is entered into by and among Cantor Fitzgerald & Co. ("AP Representative") and Northern Lights Fund Trust IV (the "Trust"), an open-end management investment company registered with the Securities and Exchange Commission (the "SEC") under the Investment Company Act of 1940, as amended (the "1940 Act"), on behalf of each of its separate series (each, a "Fund" and collectively, the "Funds") which are listed on Exhibit A hereto, as amended by the Trust, from time to time, to reflect newly- launched Funds. Capitalized terms used herein and not otherwise defined have the meaning assigned to them in Section 6 of this Agreement.
CUSTODY AGREEMENT by and between NORTHERN LIGHTS FUND TRUST IV and THE BANK OF NEW YORK MELLONCustody Agreement • October 9th, 2020 • Northern Lights Fund Trust IV • New York
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT USA Mutuals Advisors, Inc.Operating Expenses Limitation and Security Agreement • July 27th, 2023 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 24th day of July, 2023, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the series listed on Appendix A hereto (each a “Fund,” collectively the “Funds”), and the advisor of the Funds, USA Mutuals Advisors, Inc, (the “Advisor”).
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT LGM Capital Management LLCOperating Expenses Limitation and Security Agreement • September 27th, 2018 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 19th day of July, 2018, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the Low Beta Tactical 500 Fund (the “Fund”) a series of the Trust, and the advisor of the Fund, LGM Capital Management LLC (the “Advisor”).
ContractAgreement and Plan of Reorganization • August 2nd, 2024 • 360 Funds
SUBADVISORY AGREEMENTSubadvisory Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • Delaware
THIS SUBADVISORY AGREEMENT is made and entered into as of November 24, 2021, by and between Sterling Capital Management LLC (the “Adviser”), a limited liability company organized under the laws of North Carolina and registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and EARNEST Partners, LLC (the “Subadviser”), a limited liability company organized under the laws of Delaware and registered under the Advisers Act, with respect to the series set forth in Exhibit A of the Agreement (each a “Fund” and, collectively, the “Funds”), each of which are series of the Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”).
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation and Security Agreement • August 18th, 2022 • Northern Lights Fund Trust IV • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 20th day of January 2022, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the series listed on Appendix A hereto (each a “Fund”, collectively the “Funds”), and the advisor of the Funds, INSPIRE (CWM ADVISORS, LLC) (the “Advisor”).
INDEX SUB-LICENSING AGREEMENTSub-Licensing Agreement • September 22nd, 2022 • Northern Lights Fund Trust IV • New York
This AGREEMENT, dated as of August 16, 2022, is made by and between Inspire Investing, LLC (“Inspire”), 3597 E. Monarch Sky Lane, Suite 330, Meridian, ID 83646, and Northern Lights Fund Trust IV (the “Trust”, and together with Inspire, the “Parties”), on behalf of Inspire Fidelis Multi Factor ETF (the “ETF”), 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246.
DISTRIBUTION AGREEMENTDistribution Agreement • March 24th, 2016 • Northern Lights Fund Trust IV • Nebraska
THIS DISTRIBUTION AGREEMENT effective the 20th day of January, 2016, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust, having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (the “Trust”), and CEROS FINANCIAL SERVICES INC., a Massachusetts corporation having its principal office and place of business at 1445 Research Boulevard, Suite 530, Rockville, Maryland 20850 (“CEROS”).
