EXHIBIT (9)(a) TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • October 4th, 1996 • Santa Barbara Group of Mutual Funds Inc • Massachusetts
Prototype Custody Agreement for Registered Investment CompaniesCustody Agreement • October 4th, 1996 • Santa Barbara Group of Mutual Funds Inc
EXHIBIT (6) THE SANTA BARBARA GROUP OF MUTUAL FUNDS 333 S. Grand Ave. Suite 4075 Los Angeles, California 90071 September 17, 1996 Ascher/Decision Services, Inc. 333 S. Grand Ave., Suite 4075 Los Angeles, California 90071 re: Underwriting Agreement...Underwriting Agreement • October 4th, 1996 • Santa Barbara Group of Mutual Funds Inc • New York
DISTRIBUTION AGREEMENT THIS AGREEMENT, dated as of the 30th day of August, 2000, is made by and between The Santa Barbara Group of Mutual Funds, Inc. ("Company"), a Maryland corporation operating as an open-end, management investment company...Distribution Agreement • July 31st, 2001 • Santa Barbara Group of Mutual Funds Inc • Textile mill products • California
CUSTODY AGREEMENTCustody Agreement • June 3rd, 2004 • Santa Barbara Group of Mutual Funds Inc • New York
AGREEMENT, dated as of June 27, 2003 between The Santa Barbara Group of Mutual Funds, a business trust organized and existing under the laws of the State of Maryland having its principal office and place of business at 107 South Fair Oaks Blvd., Suite 315, Pasadena, California 91105 (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 York10286 (“Custodian”).
OPERATING SERVICES AGREEMENT SANTA BARBARA GROUP OF MUTUAL FUNDS, INC. AS AMENDED AUGUST 1, 2007 This Agreement is made and entered into as of the 30th day of September, 1998, amended April 1, 2002 and August 1, 2007, by and between The Santa Barbara...Operating Services Agreement • July 30th, 2007 • Santa Barbara Group of Mutual Funds Inc • Maryland
EX-23D(3) INVESTMENT ADVISOR AGREEMENTInvestment Advisor Agreement • April 5th, 2002 • Santa Barbara Group of Mutual Funds Inc • California
AGREEMENT, made as of April 1, 2002, between The Santa Barbara Group of Mutual Funds, Inc. (the "Company") and SBG Capital Management, Inc. (the "Adviser"), a California Corporation.
EXHIBIT 5(a) INVESTMENT ADVISER AGREEMENT AGREEMENT, made this ___ day of September __, 1996, between The Santa Barbara Group of Mutual Funds (the "Company") on behalf of the Starbuck Tisdale Growth and Income Fund and SBG Captial Management, Inc....Investment Adviser Agreement • October 15th, 1996 • Santa Barbara Group of Mutual Funds Inc • California
ADMINISTRATION & ACCOUNTING SERVICE AGREEMENT between SANTA BARBARA GROUP OF FUNDS, INC. and INDEXService Agreement • June 4th, 2007 • Santa Barbara Group of Mutual Funds Inc • New York
TRANSFER AGENCY SERVICE AGREEMENTTransfer Agency Service Agreement • September 28th, 2005 • Santa Barbara Group of Mutual Funds Inc • Nebraska
AGREEMENT made this 17th day of May 2000, AS AMENDED May 20, 2005, by and between Santa Barbara Group of Mutual Funds, Inc., a Maryland Corporation, having its principal office and place of business at 15 Fair Oaks Avenue, Suite 315, Pasadena, California 91105 (the “Corporation”), and Gemini Fund Services, LLC, a Nebraska limited liability company having its principal office and place of business at the Hauppauge Corporate Center, 150 Motor Parkway, Suite 205, Hauppauge, NY 11788 (“GFS”).
INVESTMENT SUB-ADVISOR AGREEMENTInvestment Sub-Advisor Agreement • July 31st, 2006 • Santa Barbara Group of Mutual Funds Inc • California
AGREEMENT, effective as of the 1st day of November, 2005 between SBG Capital Management, Inc. (the “Fund Manager”) and Seidler Investment Advisors Incorporated (the “Sub-Advisor”).
SUB-INVESTMENT ADVISER AGREEMENT AGREEMENT, made October 15, 1996, between SBG Capital Management Inc. (the "Fund Manager") on behalf of Robert Bender & Associates (the "Sub-Adviser"), a California Corporation. WHEREAS, the Fund Manager has entered...Sub-Investment Adviser Agreement • October 25th, 1996 • Santa Barbara Group of Mutual Funds Inc • California
EX-23D(2) INVESTMENT SUB-ADVISOR AGREEMENTInvestment Sub-Advisor Agreement • April 5th, 2002 • Santa Barbara Group of Mutual Funds Inc • California
AGREEMENT, effective as of the 1st day of April, 2002 between SBG Capital Management, Inc. (the "Fund Manager") on behalf of the Montecito Fund (the "Fund") and Ameristock Corporation (the "Sub-Advisor").
CONSULTING AGREEMENTConsulting Agreement • July 30th, 2010 • Santa Barbara Group of Mutual Funds Inc • New York
This Consulting Agreement (the “Agreement”) is effective June 1, 2010 between NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company located at 450 Wireless Boulevard, Hauppauge, NY 11788 (“NLCS”), and THE SANTA BARBARA GROUP OF MUTUAL FUNDS, INC., a registered investment company organized as a corporation under the laws of the state of Maryland, located at 1270 Hillcrest Avenue, Pasadena, California 91106 (the "Company"), on behalf of each portfolio series listed on the attached Appendix A (each a “Fund” and collectively “Funds”). This Agreement supersedes and replaces the existing consulting agreement between the parties.
July 30, 2007 The Santa Barbara Group of Mutual Funds, Inc. 107 South Fair Oaks Boulevard, Suite 315 Pasadena, CA 91105 RE: Santa Barbara Group of Mutual Funds, Inc. File Nos. 33-56546 and 811-07414 Gentlemen: A legal opinion that we prepared was...Consent to Incorporate Legal Opinion • July 30th, 2007 • Santa Barbara Group of Mutual Funds Inc
A legal opinion that we prepared was filed with Post-Effective Amendment No. 14 to the Santa Barbara Group of Mutual Funds, Inc.'s Registration Statement (the "Legal Opinion"). We hereby give you our consent to incorporate by reference the Legal Opinion into Post-Effective Amendment No. 19 under the Securities Act of 1933, Post-Effective Amendment No. 24 under the Investment Company Act of 1940 (the "Amendment"), and consent to all references to us in the Amendment.
ASSIGNMENT OF DISTRIBUTION AGREEMENT Effective as of January 19, 2010Distribution Agreement • July 30th, 2010 • Santa Barbara Group of Mutual Funds Inc
WHEREAS, The Santa Barbara Group of Mutual Funds, Inc. (the "Company"), SBG Capital Management Company ("SBG"), and Capital Research Brokerage Services, LLC, (collectively, the "Parties"), entered into a Distribution Agreement dated August 30, 2000 (the “Agreement”).
FUND SERVICES AGREEMENT between SANTA BARBARA GROUP OF MUTUAL FUNDS, INC. andFund Services Agreement • July 30th, 2010 • Santa Barbara Group of Mutual Funds Inc • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) effective as of the 1st day of June, 2010, by and between SANTA BARBARA GROUP OF MUTUAL FUNDS, INC., a Maryland corporation having its principal office and place of business at 1270 Hillcrest Avenue, Pasadena, CA 91106 (the "Corporation") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
EXHIBIT (5) (a) INVESTMENT ADVISER AGREEMENT AGREEMENT, made October 15, 1996, between The Santa Barbara Group Mutual Funds (the "Company") on behalf of The Bender Growth Fund (the "Funds") and SBG Capital Management, Inc. (the "Adviser"), a...Investment Adviser Agreement • October 25th, 1996 • Santa Barbara Group of Mutual Funds Inc • California
DISTRIBUTION AGREEMENTDistribution Agreement • July 28th, 2008 • Santa Barbara Group of Mutual Funds Inc • California
THIS AGREEMENT, dated as of the 30th day of August, 2000, as amended November 15, 2006, is made by and between The Santa Barbara Group of Mutual Funds, Inc. (“Company”), a Maryland corporation operating as an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Act”), SBG Capital Management Company ("Adviser"), a California corporation operating and registered with the Securities and Exchange Commission as an investment advisory firm, and Capital Research Brokerage Services, LLC ("CRBS"), a limited liability company duly organized under the laws of the state of California (collectively, the "Parties").
EX-23A(2)Sub-Investment Sub-Advisor Agreement • January 23rd, 2002 • Santa Barbara Group of Mutual Funds Inc • California
