Aston Asset Management LLC
December , 2009
Aston Asset Management LLC
000 X. XxXxxxx Xxxxxx, 25th Floor
Chicago, IL 60602
| Re: | Investment Advisory Agreement with Aston Asset Management LLC dated November 30, 2006 (the “Investment Advisory Agreement”) |
Ladies and Gentlemen:
Pursuant to the Investment Advisory Agreement, we are hereby providing notification of a new series of the Aston Funds to be called Aston/Xxxxxxxx Small Cap Fund (the “New Series”). In addition, we are requesting that the Investment Advisory Agreement be amended to reflect: the liquidation of Aston/Fortis Global Real Estate Fund, a change in the name of Aston/TAMRO All Cap Fund to Aston/TAMRO Diversified Equity Fund, a change in the name of Aston/River Road Small-Mid Cap Fund to Aston/River Road Select Value Fund, a change in the name of Aston/Smart Portfolios Fund to Aston Dynamic Allocation Fund, and a change in the name of Aston/MB Enhanced Equity Income Fund to Aston/M.D. Sass Enhanced Equity Fund.
Attached hereto are amended Schedules A and B to the Investment Advisory Agreement to reflect, among other things, the appropriate effective date, initial term and annual fee rate for the New Series, the deletion of liquidated series and changes to certain series names. By acknowledging below, you agree to (i) render the investment advisory and management services to the New Series under the terms of the Investment Advisory Agreement and the amended Schedules A and B attached hereto, and (ii) restate Schedules A and B in their entirety to reflect the liquidation and name changes set forth above.
| ASTON FUNDS | ||
| By: |
| |
| Name: | Xxxxxx X. Xxxxxxxxxx | |
| Its: | Senior Vice President, Secretary, and Treasurer | |
Accepted this th day of December, 2009.
| ASTON ASSET MANAGEMENT LLC | ||
| By: |
| |
| Name: | Xxxxxxx X. Xxxxxxxx | |
| Its: | President | |
SCHEDULE A
| Fund |
Effective Date | Initial Term | ||
| Aston Balanced Fund | November 30, 2006 | December 31, 2007 | ||
| Aston Value Fund | November 30, 2006 | December 31, 2007 | ||
| Aston Growth Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/Fortis Real Estate Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/Montag & Xxxxxxxx Balanced Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/Montag & Xxxxxxxx Growth Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/Optimum Mid Cap Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/River Road Dividend All Cap Value Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/River Road Small Cap Value Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/TAMRO Diversified Equity Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/TAMRO Small Cap Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/TCH Fixed Income Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/Veredus Aggressive Growth Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/Veredus Select Growth Fund | November 30, 2006 | December 31, 2007 | ||
| Aston/Optimum Large Cap Opportunity Fund | December 26, 2006 | December 31, 2007 | ||
| [Aston/River Road Select Value Fund] | March 28, 2007 | December 31, 2007 | ||
| Aston/Neptune International Fund | July 20, 2007 | December 31, 2008 | ||
| Aston/Xxxxxx & Xxxxxxxx Mid Cap Growth Fund | November 1, 2007 | December 31, 2008 | ||
| Aston/Barings International Fund | November 1, 2007 | December 31, 2008 | ||
| Aston/Cardinal Mid Cap Value Fund | November 1, 2007 | December 31, 2008 | ||
| Aston Dynamic Allocation Fund | January 7, 2008 | December 31, 2009 | ||
| Aston/M.D. Sass Enhanced Equity Fund | January 9, 2008 | December 31, 2009 | ||
| Aston/New Century Absolute Return ETF Fund | February 29, 2008 | December 31, 2009 | ||
| Aston/Lake Partners LASSO Alternatives Fund | March 30, 2009 | December 31, 2010 | ||
| Aston/Xxxxxxxx Small Cap Fund | December , 2009 | December 31, 2010 | ||
SCHEDULE B
| Fund |
Annual Fee Rate | |
| Aston Balanced Fund | 0.70% of the Fund’s average daily net assets | |
| Aston Value Fund | 0.80% of the Fund’s average daily net assets | |
| Aston Growth Fund | 0.70% of the Fund’s average daily net assets | |
| Aston/Fortis Real Estate Fund | 1.00% of the Fund’s average daily net assets | |
| Aston/Montag & Xxxxxxxx Balanced Fund | 0.75% of the Fund’s average daily net assets | |
| Aston/Montag & Xxxxxxxx Growth Fund | 0.80% for the first $800 million 0.60% over $800 million | |
| Aston/Optimum Mid Cap Fund | 0.80% for the first $100 million 0.75% for the next $300 million 0.70% over $400 million | |
| Aston/River Road Dividend All Cap Value Fund | 0.70% of the Fund’s average daily net assets | |
| Aston/River Road Small Cap Value Fund | 0.90% of the Fund’s average daily net assets | |
| Aston/TAMRO Diversified Equity Fund | 0.80% of the Fund’s average daily net assets | |
| Aston/TAMRO Small Cap Fund | 0.90% of the Fund’s average daily net assets | |
| Aston/TCH Fixed Income Fund | 0.55% of the Fund’s average daily net assets | |
| Aston/Veredus Aggressive Growth Fund | 1.00% of the Fund’s average daily net assets | |
| Aston/Veredus Select Growth Fund | 0.80% of the Fund’s average daily net assets | |
| Aston/Optimum Large Cap Opportunity Fund | 0.80% of the Fund’s average daily net assets | |
| [Aston/River Road Select Value Fund] | 1.00% of the Fund’s average daily net assets | |
| Aston/Neptune International Fund | 1.00% of the Fund’s average daily net assets | |
| Aston/Montag & Xxxxxxxx Mid Cap Growth Fund | 0.85% of the Fund’s average daily net assets | |
| Aston/Barings International Fund | 1.00% of the Fund’s average daily net assets | |
| Aston/Cardinal Mid Cap Value Fund | 0.90% of the Fund’s average daily net assets | |
| Aston Dynamic Allocation Fund | 0.80% of the Fund’s average daily net assets | |
| Aston/M.D. Sass Enhanced Equity Fund | 0.70% of the Fund’s average daily net assets | |
| Aston/New Century Absolute Return ETF Fund | 1.00% of the Fund’s average daily net assets | |
| Aston/Lake Partners LASSO Alternatives Fund | 1.00% of the Fund’s average daily net assets | |
| Aston/Xxxxxxxx Small Cap Fund | 1.00% of the Fund’s average daily net assets | |
