SUB-ADVISORY AGREEMENTSub-Advisory Agreement • May 10th, 2017 • Financial Investors Trust • Delaware
This SUB-ADVISORY AGREEMENT (the “Agreement”) is made this 25th day of January, 2017, by and among Financial Investors Trust (the “Trust”), on behalf of each of its separate series set forth in Schedule A hereto (each such series, the “Fund”), Highland Associates, Inc. (the “Adviser”), and Chatham Asset Management, LLC (the “Sub-Adviser”).
FINANCIAL INVESTORS TRUSTS AMENDED AND RESTATED PRINCIPAL FINANCIAL OFFICER SERVICES AGREEMENTPrincipal Financial Officer Services Agreement • May 10th, 2017 • Financial Investors Trust • Colorado
This Amended and Restated Principal Financial Officer Services Agreement (this “Agreement”) is effective as of January 1, 2016 (the “Effective Date”) by and among 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 (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 ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTAdministration, Bookkeeping and Pricing Services Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of January 29, 2016 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated December 29, 2011, as amended (the “Agreement”), by and between ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation, and Financial Investors Trust (the “Trust”), organized as a Delaware statutory trust.
Amendment to Fund Accounting and Administration AgreementFund Accounting and Administration Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of May 10, 2017 (this “Amendment”) is to the Fund Accounting and Administration Agreement dated October 1, 2007, as amended (the “Agreement”), by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
AMENDMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of January 29, 2016 (this “Amendment”) is to the Transfer Agency and Services Agreement dated December 29, 2011, as amended (the “Agreement”), by and between ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation, and Financial Investors Trust (the “Trust”), organized as a Delaware statutory trust.
Amendment to Administration, Bookkeeping and Pricing Services AgreementAdministration, Bookkeeping and Pricing Services Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of August 2, 2015 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated August 2, 2011, as amended (the “Agreement”), by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”), Financial Investors Trust, a Delaware statutory trust (the “Trust”), and Aspen Partners, Ltd., a Delaware S-Corporation (the “Adviser”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
ALPS ADVISORS, INC.Sub-Advisory Agreement • May 10th, 2017 • Financial Investors Trust
This letter confirms the agreement by ALPS Advisors, Inc. (the “Adviser”) and Kotak Mahindra Asset Management (Singapore) Pte. Ltd. (the “Sub-Adviser”) and the Trust with respect to the Fund.
AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of January 29, 2016 (this “Amendment”) is to the Distribution Agreement dated December 29, 2011 (the “Agreement”), by and between ALPS Distributors, Inc. (“ALPS”), a Colorado corporation, and Financial Investors Trust (the “Trust”), organized as Delaware statutory trust.
ALPS ADVISORS, INC.Management Fee Agreement • May 10th, 2017 • Financial Investors Trust
This letter confirms the agreement of ALPS Advisors, Inc. (the “Adviser”) and Red Rocks Capital LLC (the “Sub-Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” and “Other Expenses” that they are entitled to receive from the Fund.
Amendment to Distribution AgreementDistribution Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of May 10, 2017 (this “Amendment”) is to the Distribution Agreement dated April 30, 2013, as amended (the “Agreement”), by and 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 the Funds, and ALPS Portfolio Solutions Distributor, Inc. (the “Distributor”), a Colorado corporation and a registered broker-dealer under the Securities Exchange Act of 1934, as amended. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of May 10, 2017 (this “Amendment”) is to the Transfer Agency and Service Agreement dated October 1, 2007, as amended (the “Agreement”), by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
FINANCIAL INVESTORS TRUST NOVATION AGREEMENTNovation Agreement • May 10th, 2017 • Financial Investors Trust • New York
THIS NOVATION AGREEMENT (the “Agreement”) is made as of the 1st day of April, 2017 by and among Financial Investors Trust, a Delaware statutory trust (the “Trust”), acting solely with respect to its series the ALPS/Kotak India Growth Fund (the “Fund”), ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), Kotak Mahindra (UK) Limited, a corporation organized under the laws of the United Kingdom (“KMUK”), and Kotak Mahindra Asset Management (Singapore) Pte. Ltd., a corporation organized under the laws of Singapore (“KMAMS”).
Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • May 10th, 2017 • Financial Investors Trust
This Amendment dated as of August 2, 2015 (this “Amendment”) is to the Transfer Agency and Service Agreement dated August 2, 2011, as amended (the “Agreement”), by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
ALPS ADVISORS, INC.Expense Reimbursement Agreement • May 10th, 2017 • Financial Investors Trust
This letter confirms ALPS Advisors, Inc.’s (“ALPS Advisors”) and Metis Global Partners, LLC (the “Sub-Adviser”) agreement with the Trust to contractually limit the total amount of the “Management Fee” and “Other Expenses” that they are entitled to receive from the Fund.
