INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST III and SWAN CAPITAL MANAGEMENT, INC.Investment Advisory Agreement • December 3rd, 2014 • Northern Lights Fund Trust Iii • New York
This AGREEMENT is made as of November 19, 2014 between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), and SWAN CAPITAL MANAGEMENT, INC. , a Colorado corporation (the "Adviser") located at 277 E. Third Avenue, A , Durango, Colorado 81301.
NORTHERN LIGHTS FUND TRUST III OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTAnd Security Agreement • December 3rd, 2014 • Northern Lights Fund Trust Iii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 19th day of November, 2014, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), on behalf of the Swan Defined Risk Emerging Markets Fund (the “Fund”) a series of the Trust, and the Advisor of the Fund, Swan Capital Management, Inc., (the “Advisor”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 3rd, 2014 • Northern Lights Fund Trust Iii • New York
THIS AGREEMENT (“Agreement”) is made and entered into as of November 19, 2014, by and between SWAN CAPITAL MANAGEMENT, INC., (the “Adviser”), a Colorado Corporation registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 277 East Third Avenue, A, Durango, Colorado 81301, and Swan Global Management, LLC a limited liability company organized under the laws of Puerto Rico (the “Subadviser”) and also registered under the Advisers Act, with respect to the Fund listed on Schedule A hereto (each a “Fund”), a series of the NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”).
