Amendment to Investment Advisory and Management Agreement between Curian Variable Series Trust and Curian Capital, LLC
EX 99.28(d)(40)
Amendment to
Curian Variable Series Trust and Curian Capital, LLC
This Amendment is made by and between Curian Variable Series Trust, a Massachusetts business trust (“Trust”), and Curian Capital, LLC, a Michigan limited liability company (“Adviser”).
Whereas, the Trust and the Adviser are parties to an Investment Advisory and Management Agreement dated December 19, 2011 (“Agreement”), whereby the Adviser agreed to serve as the investment adviser and business manager for the Funds of the Trust.
Whereas, the parties have agreed to amend Schedule A and Schedule B of the Agreement to add the following new Funds (“New Funds”) and to amend the names of the following Funds (“Fund Name Changes”), and to add each New Fund’s respective fee schedule:
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New Funds (effective April 29, 2013)
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1)
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Curian Guidance – Interest Rate Opportunities Fund;
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2)
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Curian Guidance – Multi-Strategy Income Fund;
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3)
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Curian Guidance – Growth Fund;
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4)
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Curian Guidance – Institutional Alt 100 Conservative Fund;
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5)
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Curian Guidance – Institutional Alt 100 Growth Fund;
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6)
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Curian Guidance – International Opportunities Conservative Fund;
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7)
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Curian Guidance – International Opportunities Moderate Fund;
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8)
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Curian Guidance – International Opportunities Growth Fund;
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9)
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Curian Guidance – Real Assets Fund;
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10)
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Curian/Aberdeen Latin America Fund;
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11)
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Curian/Xxxxxxx Emerging Market Small Cap Equity Fund;
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12)
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Curian/Baring International Fixed Income Fund;
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13)
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Curian/BlackRock Global Long Short Credit Fund;
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14)
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Curian/Xxxxx Xxxxx Global Macro Absolute Return Advantage Fund;
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15)
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Curian/Lazard International Strategic Equity Fund;
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16)
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Curian Long Short Credit Fund;
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17)
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Curian/Xxxxxxxx Emerging Europe Fund;
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18)
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Curian/UBS Global Long Short Income Opportunities Fund; and
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19)
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Curian/Urdang International REIT Fund.
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Fund Name Changes (effective April 29, 2013)
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1)
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From: Curian Guidance – Maximize Income Fund
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To: Curian Guidance – Conservative Fund;
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2)
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From: Curian Guidance – Balanced Income Fund
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To: Curian Guidance – Moderate Fund;
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3)
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From: Curian Guidance – Rising Income Fund
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To: Curian Guidance – Equity Income Fund;
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4)
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From: Curian Guidance – Institutional Alt 100 Fund
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To: Curian Guidance – Institutional Alt 100 Moderate Fund; and
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5)
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From: Curian Dynamic Risk Advantage – Aggressive Fund
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To: Curian Dynamic Risk Advantage – Growth Fund.
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Now, Therefore, the parties hereto agree to amend the Agreement as follows:
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Schedule A to the Agreement is hereby deleted and replaced in its entirety with Schedule A attached hereto.
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Schedule B to the Agreement is hereby deleted and replaced in its entirety with Schedule B attached hereto.
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Except as specifically amended hereby, the Agreement shall remain in full force and effect in accordance with its terms.
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In Witness Whereof, the Adviser and the Trust have caused this Amendment to be executed as of February 12, 2013, effective as of April 29, 2013. This Amendment may be executed in two or more counterparts, which together shall constitute one document.
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Curian Capital, LLC
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By:
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/s/ Xxxxx X. Xxxxxxxx
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By:
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/s/ Xxxxxxx X. Xxxx
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Name:
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Xxxxx X. Xxxxxxxx
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Name: |
Xxxxxxx X. Xxxx
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Title:
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Assistant Secretary
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Title:
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President and Chief Executive Officer
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PAGE 2 OF 2
Schedule A
Dated: April 29, 2013
(List of Funds)
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Funds
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Curian Guidance – Interest Rate Opportunities Fund
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Curian Guidance – Multi-Strategy Income Fund
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Curian Guidance – Equity Income Fund
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Curian Guidance – Conservative Fund
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Curian Guidance – Moderate Fund
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Curian Guidance – Growth Fund
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Curian Guidance – Moderate Growth Fund
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Curian Guidance – Maximum Growth Fund
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Curian Guidance – Tactical Moderate Growth Fund
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Curian Guidance – Tactical Maximum Growth Fund
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Curian Guidance – Institutional Alt 65 Fund
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Curian Guidance – Institutional Alt 100 Conservative Fund
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Curian Guidance – Institutional Alt 100 Moderate Fund
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Curian Guidance – Institutional Alt 100 Growth Fund
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Curian Guidance – International Opportunities Conservative Fund
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Curian Guidance – International Opportunities Moderate Fund
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Curian Guidance – International Opportunities Growth Fund
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Curian Guidance – Equity 100 Fund
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Curian Guidance – Fixed Income 100 Fund
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Curian Tactical Advantage 35 Fund
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Curian Tactical Advantage 60 Fund
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Curian Tactical Advantage 75 Fund
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Curian Dynamic Risk Advantage – Diversified Fund
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Curian Dynamic Risk Advantage – Growth Fund
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Curian Dynamic Risk Advantage – Income Fund
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Curian Guidance – Real Assets Fund
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Curian/Aberdeen Latin America Fund
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Curian/American Funds® Growth Fund
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Curian/AQR Risk Parity Fund
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Curian/Xxxxxxx Emerging Market Small Cap Equity Fund
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Curian/Baring International Fixed Income Fund
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Curian/BlackRock Global Long Short Credit Fund
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Curian/DFA U.S. Micro Cap Fund
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Curian/Xxxxx Xxxxx Global Macro Absolute Return Advantage Fund
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Curian/Epoch Global Shareholder Yield Fund
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Curian/FAMCO Flex Core Covered Call Fund
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Curian/Franklin Xxxxxxxxx Frontier Markets Fund
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Curian/Franklin Xxxxxxxxx Natural Resources Fund
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Curian/Invesco Balanced-Risk Commodities Strategy Fund
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Curian/Lazard International Strategic Equity Fund
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Curian Long Short Credit Fund
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Curian/Xxxxxxxxx Xxxxxx Currency Fund
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Curian/Xxxxxxxx Convertible Arbitrage Fund
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Curian/PIMCO Credit Income Fund
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Curian/PineBridge Merger Arbitrage Fund
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Curian/Xxxxxxxx Emerging Europe Fund
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Curian/The Boston Company Equity Income Fund
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Curian/The Boston Company Multi-Alpha Market Neutral Equity Fund
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A-1
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Curian/UBS Global Long Short Income Opportunities Fund
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Curian/Urdang International REIT Fund
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Curian/Xxx Xxx International Gold Fund
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A-2
Schedule B
Dated: April 29, 2013
(Compensation)
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Fund
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Assets
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Advisory Fee
(Annual Rate Based on Average Net Assets
of the Fund)
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Curian Guidance – Interest Rate Opportunities Fund
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All Assets
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.20%
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Curian Guidance – Multi-Strategy Income Fund
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All Assets
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.20%
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Curian Guidance – Equity Income Fund
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All Assets
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.20%
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Curian Guidance – Conservative Fund
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All Assets
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.20%
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Curian Guidance – Moderate Fund
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All Assets
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.20%
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Curian Guidance – Growth Fund
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All Assets
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.20%
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Curian Guidance – Moderate Growth Fund
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All Assets
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.20%
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Curian Guidance – Maximum Growth Fund
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All Assets
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.20%
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Curian Guidance – Tactical Moderate Growth Fund
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All Assets
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.20%
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Curian Guidance – Tactical Maximum Growth Fund
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All Assets
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.20%
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Curian Guidance – Institutional Alt 65 Fund
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All Assets
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.20%
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Curian Guidance – Institutional Alt 100 Conservative Fund
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All Assets
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.20%
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Curian Guidance – Institutional Alt 100 Moderate Fund
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All Assets
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.20%
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Curian Guidance – Institutional Alt 100 Growth Fund
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All Assets
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.20%
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Curian Guidance – International Opportunities Conservative Fund
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All Assets
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.20%
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Curian Guidance – International Opportunities Moderate Fund
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All Assets
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.20%
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Curian Guidance – International Opportunities Growth Fund
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All Assets
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.20%
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Curian Guidance – Equity 100 Fund
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All Assets
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.20%
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Curian Guidance – Fixed Income 100 Fund
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All Assets
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.20%
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Curian Tactical Advantage 35 Fund
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$0 to $1 billion
Over $1 billion
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.75%
.70%
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Curian Tactical Advantage 60 Fund
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$0 to $1 billion
Over $1 billion
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.75%
.70%
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Curian Tactical Advantage 75 Fund
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$0 to $1 billion
Over $1 billion
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.75%
.70%
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Curian Dynamic Risk Advantage – Diversified Fund
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$0 to $1 billion
Over $1 billion
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.95%
.90%
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Curian Dynamic Risk Advantage – Growth Fund
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$0 to $1 billion
Over $1 billion
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.95%
.90%
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Curian Dynamic Risk Advantage – Income Fund
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$0 to $1 billion
Over $1 billion
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.95%
.90%
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Curian Guidance – Real Assets Fund
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All Assets
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.20%
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Curian/Aberdeen Latin America Fund
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$0 to $1 billion
Over $1 billion
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1.35%
1.30%
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Curian/American Funds® Growth Fund
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$0 to $1 billion
Over $1 billion
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.85%
.80%
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Curian/AQR Risk Parity Fund
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$0 to $1 billion
Over $1 billion
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.85%
.80%
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Curian/Xxxxxxx Emerging Market Small Cap Equity Fund
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$0 to $1 billion
Over $1 billion
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1.10%
1.05%
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Curian/Baring International Fixed Income Fund
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$0 to $1 billion
Over $1 billion
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.60%
.55%
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Curian/BlackRock Global Long Short Credit Fund
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$0 to $1 billion
Over $1 billion
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.95%
.90%
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B-1
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Fund
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Assets
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Advisory Fee
(Annual Rate Based on Average Net Assets
of the Fund)
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Curian/DFA U.S. Micro Cap Fund
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$0 to $1 billion
Over $1 billion
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.80%
.75%
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Curian/Xxxxx Xxxxx Global Macro Absolute Return Advantage Fund
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$0 to $1 billion
Over $1 billion
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.95%
.90%
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Curian/Epoch Global Shareholder Yield Fund
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$0 to $1 billion
Over $1 billion
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.70%
.65%
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Curian/FAMCO Covered Call Fund
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$0 to $1 billion
Over $1 billion
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.60%
.55%
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Curian/Franklin Xxxxxxxxx Frontier Markets Fund
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$0 to $1 billion
Over $1 billion
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1.40%
1.35%
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Curian/Franklin Xxxxxxxxx Natural Resources Fund
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$0 to $1 billion
Over $1 billion
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.80%
.75%
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Curian/Invesco Balanced-Risk Commodities Strategy Fund
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$0 to $1 billion
Over $1 billion
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.75%
.70%
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Curian/Lazard International Strategic Equity Fund
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$0 to $1 billion
Over $1 billion
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.80%
.75%
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Curian Long Short Credit Fund
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$0 to $1 billion
Over $1 billion
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.95%
.90%
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Curian/Xxxxxxxxx Xxxxxx Currency Fund
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$0 to $1 billion
Over $1 billion
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.70%
.65%
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Curian/Xxxxxxxx Convertible Arbitrage Fund
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$0 to $1 billion
Over $1 billion
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.85%
.80%
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Curian/PIMCO Credit Income Fund
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$0 to $1 billion
Over $1 billion
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.50%
.45%
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Curian/PineBridge Merger Arbitrage Fund
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$0 to $1 billion
Over $1 billion
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.85%
.80%
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Curian/Xxxxxxxx Emerging Europe Fund
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$0 to $1 billion
Over $1 billion
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1.10%
1.05%
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Curian/The Boston Company Equity Income Fund
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$0 to $1 billion
Over $1 billion
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.55%
.50%
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Curian/The Boston Company Multi-Alpha Market Neutral Equity Fund
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$0 to $1 billion
Over $1 billion
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.90%
.85%
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Curian/UBS Global Long Short Income Opportunities Fund
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$0 to $1 billion
Over $1 billion
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.95%
.90%
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Curian/Urdang International REIT Fund
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$0 to $1 billion
Over $1 billion
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.80%
.75%
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Curian/Xxx Xxx International Gold Fund
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$0 to $1 billion
Over $1 billion
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.80%
.75%
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B-2
