ALPS ADVISORS, INC.Management Fee Limitation Agreement • February 28th, 2018 • 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.
ALPS ADVISORS, INC.Expense Limitation Agreement • February 28th, 2018 • Financial Investors Trust
This letter confirms the agreement of ALPS Advisors, Inc. (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” and “Other Expenses” that it is entitled to receive from the Fund.
FINANCIAL INVESTORS TRUST THE DISCIPLINED GROWTH INVESTORS FUND INTERIM INVESTMENT ADVISORY AGREEMENTInterim Investment Advisory Agreement • February 28th, 2018 • Financial Investors Trust • Colorado
This Interim Investment Advisory Agreement (the "Agreement") is made and entered into as of this 1st day of January, 2018, by and between Disciplined Growth Investors, Inc., a Minnesota S corporation (the "Adviser"), and Financial Investors Trust, a Delaware statutory trust (the "Trust"), regarding the fund listed in Appendix A (the "Fund").
ALPS FUND SERVICES, INC.Transfer Agency and Service Agreement • February 28th, 2018 • Financial Investors Trust
This letter confirms the agreement between ALPS Fund Services, Inc. (“ALPS”) and the Trust that ALPS’ Annual Open Account Fee, Annual Inactive Account Fee and Annual Closed Account Fee, as set forth in Schedule B (Fee Schedule) of the Transfer Agency and Service Agreement between ALPS and the Trust, dated October 1, 2007, as amended, with respect to the Fund (the “Agreement”), shall be reduced as follows for the period beginning March 1, 2018 through February 28, 2019:
ALPS ADVISORS, INC.Expense Limitation Agreement • February 28th, 2018 • Financial Investors Trust
This letter confirms the agreement by ALPS Advisors, Inc. (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” and “Other Expenses” that it is entitled to receive from the Fund. To the extent the Total Annual Fund Operating Expenses (as defined in Item 3 to Form N-1A), after such expense reimbursement and/or fee waiver (exclusive of distribution and service (12b-1) fees, shareholder services fees, acquired fund fees and expenses, brokerage commissions, taxes and extraordinary expenses) exceed 0.85% for each of the Investor Class, Class C and Class I shares of the Fund, the Adviser will reduce the fee payable with respect to the Fund to the extent of such excess and/or shall reimburse the Fund (or class as applicable) by the amount of such excess. The waiver or reimbursement shall be allocated to each class of the Fund in the same manner as the underlying expenses or fees were allocated.
Amendment to Investment Advisory AgreementInvestment Advisory Agreement • February 28th, 2018 • Financial Investors Trust
This Amendment dated as of February 28, 2018 (this “Amendment”) is to the Investment Advisory Agreement dated as of November 1, 2011, as amended, (the “Agreement”), between Financial Investors Trust (the “Trust”), a Delaware statutory trust, and ALPS Advisors, Inc. (the “Adviser”), a Colorado corporation. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
Amendment to Sub-Advisory AgreementSub-Advisory Agreement • February 28th, 2018 • Financial Investors Trust
This Amendment dated as of February 28, 2018 (this “Amendment”) is to the Sub-Advisory Agreement dated as of November 1, 2011, as amended, (the “Agreement”), by and among Financial Investors Trust (the “Trust”), a Delaware statutory trust, ALPS Advisors, Inc. (the “Adviser”), a Colorado corporation, and RiverFront Investment Group, LLC (the “Sub-Adviser”), a Delaware limited liability company. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
ALPS ADVISORS, INC.Sub-Advisory Agreement • February 28th, 2018 • 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.
ALPS ADVISORS, INC.Management Fee Waiver Agreement • February 28th, 2018 • 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.
ALPS ADVISORS, INC.Advisory Fee Agreement • February 28th, 2018 • Financial Investors Trust
This letter confirms ALPS Advisors, Inc.’s (the “Adviser”) agreement with the Trust to contractually limit the total amount of the “Advisory Fee” and “Other Expenses” that it is entitled to receive from the Fund.
Amendment to Fund Accounting and Administration AgreementFund Accounting and Administration Agreement • February 28th, 2018 • Financial Investors Trust
This Amendment dated as of February 28, 2018 (this “Amendment”) is to the Fund Accounting and Administration Agreement dated as of October 1, 2007, as amended, (the “Agreement”), between ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation, and Financial Investors Trust (the “Trust”), a Delaware statutory trust. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
