INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 27th, 2016 • Financial Investors Trust • Delaware
THIS AGREEMENT, dated as of December 16, 2016 by and between Aspen Portfolio Strategy Fund, Ltd., a Cayman Islands exempted company (the “Company”) and Aspen Partners, Ltd. (the “Investment Adviser”), a Delaware corporation.
Amendment to Investment Advisory AgreementInvestment Advisory Agreement • December 27th, 2016 • Financial Investors Trust
This Amendment, dated as of December 16, 2016 (this “Amendment”) is to the Investment Advisory Agreement dated August 2, 2011 (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, and Aspen Partners, Ltd. (the “Adviser”), a Delaware S-Corporation, regarding the funds listed in Appendix A hereto (each, a “Fund” and together, the “Funds”).
Amendment to Administration, Bookkeeping and Pricing Services AgreementAdministration, Bookkeeping and Pricing Services Agreement • December 27th, 2016 • Financial Investors Trust
Amendment to Amended and Restated Principal Financial Officer Services AgreementPrincipal Financial Officer Services Agreement • December 27th, 2016 • Financial Investors Trust
This Amendment, dated as of December 16, 2016 (this “Amendment”), is to the Amended and Restated Principal Financial Officer Services Agreement dated December 13, 2011 (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado, 80203, on behalf of its series listed in Appendix A hereto (each, a “Fund” and together, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado, 80203.
Amendment to Transfer Agency and Services AgreementTransfer Agency and Services Agreement • December 27th, 2016 • Financial Investors Trust
This Amendment, dated as of December 16, 2016 (this “Amendment”), is to the Transfer Agency and Services Agreement dated August 2, 2011, as amended (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
Amendment to Distribution AgreementDistribution Agreement • December 27th, 2016 • Financial Investors Trust
This Amendment, dated as of December 16, 2016 (this “Amendment”), is to the Distribution Agreement dated November 1, 2011 (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, and ALPS Distributors, Inc. (“ALPS”), a Colorado corporation.
Amendment to Global Custody Agreement (For Foreign and Domestic Securities)Global Custody Agreement • December 27th, 2016 • Financial Investors Trust
This Amendment is dated December 14, 2016 (“Effective Date”) to the Global Custody Agreement (For Foreign and Domestic Securities), dated December 26, 2012 (the “Agreement”), and is entered into by and between Financial Investors Trust, a Delaware statutory trust (the “Trust”), and MUFG Union Bank, National Association (f/k/a Union Bank, N.A.) (the “Custodian”).
ASPEN PARTNERS, LTD.Management Fee Waiver Agreement • December 27th, 2016 • Financial Investors Trust
This letter confirms the agreement of Aspen Partners, Ltd. (the “Adviser”) with the Trust to contractually waive a portion of the Management Fee (as defined in the Prospectus for the Fund) that it is entitled to receive from the Fund, all in accordance with the terms and conditions hereof.
Amendment to Amended and Restated Chief Compliance Officer Services AgreementChief Compliance Officer Services Agreement • December 27th, 2016 • Financial Investors Trust
This Amendment, dated as of December 16, 2016 (this “Amendment”), is to the Amended and Restated Chief Compliance Officer Services Agreement dated December 13, 2011, as amended (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and together, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
