SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
THIS SHAREHOLDER SERVICING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business at , , (hereinafter “Servicer”).
BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
Fund/SERV AgreementFund/Serv Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
AGREEMENT entered into this day of , 2007, by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”) and with its principal place of business in (“Trust Entity”).
FORM OF LISTED PRIVATE EQUITY FUND INVESTMENT ADVISORY AND MANAGEMENT AGREEMENTInvestment Advisory and Management Agreement • September 5th, 2007 • Financial Investors Trust • Delaware
This Investment Advisory and Management Agreement (the “Agreement”) is made and entered into as of , 2007, between Financial Investors Trust, an open-end series management investment company organized as a Delaware statutory trust (the “Trust”), on behalf of the Listed Private Equity Fund (the “Fund”), a series of the Trust, and ALPS Advisers, Inc., a corporation organized under the laws of the State of Colorado (the “Adviser”).
FORM OF FUND ACCOUNTING AND ADMINISTRATION AGREEMENTFund Accounting and Administration Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
This Fund Accounting and Administration Agreement (the “Agreement”) made this day of , 2007, between Financial Investors Trust, a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
FORM OF TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
This Transfer Agency and Services Agreement (the “Agreement”) made this day of , 2007, between Financial Investors Trust, a Delaware statutory trust (the “Trust”) and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Transfer Agent”).
FORM OF DISTRIBUTION AGREEMENTDistribution Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
This Distribution Agreement (the “Agreement”) dated as of , 2007, between Financial Investors Trust (the “Trust”), an open-end, management investment company organized as a Delaware statutory trust, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado, 80203, on behalf of its series listed in Schedule A (each, a “Fund”), and ALPS Distributors, Inc., a Colorado corporation and a registered broker-dealer under the Securities Exchange Act of 1934 (the “Distributor”).
FORM OF INVESTMENT SUBADVISORY AGREEMENTInvestment Subadvisory Agreement • September 5th, 2007 • Financial Investors Trust • Delaware
This Investment Subadvisory Agreement (the “Agreement”) is made as of this day of , 2007 by and among ALPS Advisers, Inc. (the “Adviser”), Red Rocks Capital LLC (the “Sub-Adviser”), and Financial Investment Trust (the “Trust”).
Trust NETWORKING AgreementTrust Networking Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
AGREEMENT entered into this day of , 2007, by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS” or “Fund Agent”) and with its principal place of business in (“Trust Entity”).
November 13, 2006 ALPS Fund Services, Inc. Attn: Jeremy MayTermination of Administration Agreement • September 5th, 2007 • Financial Investors Trust
September 4, 2007 Mr. W. Robert Alexander, Chairman Financial Investors TrustAdvisory Fee Agreement • September 5th, 2007 • Financial Investors Trust
ADMISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
This Agreement is entered into as of , 2007 by and between Financial Investors Trust, a Delaware Statutory Trust (the “Trust”), and , on behalf of itself and certain of its affiliates (the “Service Provider”), with respect to each investment portfolio identified in Schedule A attached hereto. Each portfolio is a part of the Trust, which is an investment company registered under the Investment Company Act of 1940, as amended, and each portfolio shall be individually referred to herein as a “Fund” and, collectively, as the “Funds.”
Addendum to Administration Agreement DatedAdministration Agreement • September 5th, 2007 • Financial Investors Trust
THIS ADDENDUM is made as of September 1, 2006, by and between ALPS Mutual Funds Services, Inc. (“ALPS”), and Financial Investors Trust (“Trust”).
DISTRIBUTION AGREEMENTDistribution Agreement • September 5th, 2007 • Financial Investors Trust • Colorado
This Agreement entered into as of this 30 day of September, 2005, by and between Financial Investors Trust, a Delaware business trust having its principal place of business at 1625 Broadway, Suite 2200, Denver, Colorado 80202 (the “Trust”) and ALPS Distributors, Inc., a Colorado corporation having its principal place of business at 1625 Broadway, Suite 2200, Denver, Colorado 80202 (the “Distributor”).
Addendum to Amended and Restated Transfer Agency and Service Agreement Dated September 15, 2000 Between ALPS Mutual Funds Services, Inc. and Financial Investors TrustTransfer Agency and Service Agreement • September 5th, 2007 • Financial Investors Trust
THIS ADDENDUM is made as of September 1, 2006, by and between ALPS Mutual Funds Services, Inc. (“ALPS”), and Financial Investors Trust (“Trust”).
Addendum No. 2 to Distribution Agreement DatedDistribution Agreement • September 5th, 2007 • Financial Investors Trust
WHEREAS, in light of the foregoing, ALPS and the Trust wish to modify the provisions of the Agreement to reflect ALPS’ new address.
Addendum No. 2 to Amended and Restated Transfer Agency and Service Agreement Dated September 15, 2000 Between ALPS Fund Services, Inc. and Financial Investors TrustTransfer Agency and Service Agreement • September 5th, 2007 • Financial Investors Trust
WHEREAS, ALPS and the Trust have entered into an Amended and Restated Transfer Agency and Service Agreement (the “Agreement”) dated September 15, 2000;
Addendum No. 2 to Administration Agreement DatedAdministration Agreement • September 5th, 2007 • Financial Investors Trust
WHEREAS, in light of the foregoing, ALPS and the Trust wish to modify the provisions of the Agreement to reflect ALPS’ new address.
