SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 23rd, 2019 • Financial Investors Trust • Delaware
This SUB-ADVISORY AGREEMENT (the “Agreement”) is made this 1st day of August, 2019, 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 Parametric Portfolio Associates LLC (the “Sub-Adviser”).
FINANCIAL INVESTORS TRUST HIGHLAND RESOLUTE FUND INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 23rd, 2019 • Financial Investors Trust • Colorado
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this 16th day of September, 2019, by and between Highland Associates, Inc. (the “Adviser”) and Financial Investors Trust, a Delaware statutory trust (the “Trust”), regarding the fund(s) listed in Appendix A (each, a “Fund” and together, the “Funds”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 23rd, 2019 • Financial Investors Trust • Delaware
This SUB-ADVISORY AGREEMENT (the "Agreement") is made this 1st day of August, 2019, 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 Incline Global Management, LLC (the "Sub-Adviser").
Amendment to Administration, Bookkeeping and Pricing Services Agreement Financial Investors Trust - Emerald FundsFinancial Investors Trust • December 23rd, 2019
This Amendment dated as of November 29, 2019 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated March 16, 2012, 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 Investment Sub-Advisory AgreementInvestment Sub-Advisory Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of November 29, 2019 (this “Amendment”) is to the Investment Advisory Agreement dated as of September 10, 2019, as amended (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, Emerald Mutual Fund Advisers Trust (the “Adviser”), a Delaware statutory trust and Liberty Cove LLC, a Delaware limited liability company (the “Sub-Adviser”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
Amendment to Chief Compliance Officer Services Agreement Financial Investors Trust - Emerald FundsServices Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of November 29, 2019 (this “Amendment”) is to the Chief Compliance Officer Services Agreement dated March 16, 2012, 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 Investment Advisory AgreementInvestment Advisory Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of November 29, 2019 (this “Amendment”) is to the Investment Advisory Agreement dated as of September 10, 2019, as amended (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, and Emerald Mutual Fund Advisers Trust (the “Adviser”), a Delaware statutory trust and investment adviser registered under the Investment Advisers Act of 1940. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
AMENDMENT 4Financial Investors Trust • December 23rd, 2019
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B.
Amendment to Investment Advisory AgreementInvestment Advisory Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of December 2, 2019 (this “Amendment”) is to the Investment Advisory Agreement dated as of August 21, 2018 (the “Agreement”), between ALPS Advisors, Inc., a Colorado Corporation (the “Adviser”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”), on behalf of the ALPS/Kotak India Growth Fund. 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 • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of December 2, 2019 (this “Amendment”) is to the Transfer Agency and Service Agreement dated as of October 1, 2007, as amended, (the “Agreement”), 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 Fund Accounting and Administration AgreementAccounting and Administration Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of December 2, 2019 (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.
Amendment to Sub-Advisory AgreementSub-Advisory Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of December 2, 2019 (this “Amendment”) is to the Sub-Advisory Agreement dated as of August 21, 2018 (the “Agreement”), between ALPS Advisors, Inc. (the “Investment Adviser”), Kotak Mahindra Asset Management (Singapore) Pte. Ltd. (the “Sub-Adviser”), and Financial Investors Trust (the “Trust”), on behalf of the ALPS/Kotak India Growth Fund (the “Fund”), a Delaware statutory trust. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
EMERALD LETTERHEAD] Amendment to Expense Limitation Letter AgreementLimitation Letter Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of November 29, 2019 (this “Amendment”) is to the Expense Limitation Letter dated as of September 10, 2019 (the “Agreement”), by and between Financial Investors Trust (the “Trust”), Emerald Mutual Fund Advisers Trust (the “Adviser”), and Liberty Cove LLC (the “Sub-Adviser”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
SIXTH AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • December 23rd, 2019 • Financial Investors Trust
This Sixth Amendment to the Custodian Agreement (the “Agreement”) dated December 16, 2013 between Financial Investors Trust (the “Trust”), a management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the “Fund”) on behalf of each series listed on Schedule I attached thereto, and Brown Brothers Harriman & Co., a limited partnership organized under the laws of the State of New York (“BBH” or the “Custodian”), previously amended on June 4, 2015, April 15, 2016, May 18, 2016, March 14, 2017 and again on September 12, 2019 is hereby made as of December 23, 2019.
Amendment to Amended and Restated Principal Financial Officer Services Agreement Financial Investors Trust – Grandeur Peak FundsFinancial Investors Trust • December 23rd, 2019
This Amendment dated as of December 23, 2019 (this “Amendment”) is to the Amended and Restated Principal Financial Officer Services Agreement dated December 13, 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.
ADVISORY AGREEMENTAdvisory Agreement • December 23rd, 2019 • Financial Investors Trust • Delaware
This SUB-ADVISORY AGREEMENT (the "Agreement") is made this 1st day of August, 2019, 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").
Amendment to Transfer Agency and Services Agreement Financial Investors Trust – Grandeur Peak FundsAgency and Services Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of December 23, 2019 (this “Amendment”) is to the Transfer Agency and Services Agreement dated September 13, 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.
Amendment to Investment Advisory AgreementInvestment Advisory Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of December 23, 2019 (this “Amendment”) is to the Investment Advisory Agreement dated as of September 13, 2011, as amended (the “Agreement”), by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, and Grandeur Peak Global Advisors, LLC (the “Adviser”), a Delaware limited liability company and investment adviser registered under the Investment Advisers Act of 1940. Any items not herein defined shall have the meaning ascribed to them in the Agreement.
Amendment to Administration, Bookkeeping and Pricing Services Agreement Financial Investors Trust – Grandeur Peak FundsFinancial Investors Trust • December 23rd, 2019
This Amendment dated as of December 23, 2019 (this “Amendment”) is to the Administration, Bookkeeping and Pricing Services Agreement dated September 13, 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.
Amendment to Transfer Agency and Services Agreement Financial Investors Trust – Emerald FundsAgency and Services Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of November 29, 2019 (this “Amendment”) is to the Transfer Agency and Services Agreement dated March 16, 2012, 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 Amended and Restated Chief Compliance Officer Services Agreement Financial Investors Trust – Grandeur Peak FundsFinancial Investors Trust • December 23rd, 2019
This Amendment dated as of December 23, 2019 (this “Amendment”) is to the Amended and Restated Chief Compliance Officer Services Agreement dated December 13, 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.Financial Investors Trust • December 23rd, 2019
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.
FEE WAIVER LETTER GRANDEUR PEAK GLOBAL ADVISORS, LLC Salt Lake City, UT 84101Letter Agreement • December 23rd, 2019 • Financial Investors Trust
This expense limitation letter agreement (the “Letter Agreement”) confirms the agreement of Grandeur Peak Global Advisors, LLC (the “Adviser”) with the Financial Investors Trust (the “Trust”) to contractually limit the total amount of the “Management Fees” and “Other Expenses” that it is entitled to receive from the Grandeur Peak US Stalwarts Fund (the “Fund”), a series of the Trust.
Amendment to Principal Financial Officer Services Agreement Financial Investors Trust - Emerald FundsServices Agreement • December 23rd, 2019 • Financial Investors Trust
This Amendment dated as of November 29, 2019 (this “Amendment”) is to the Principal Financial Officer Services Agreement dated March 16, 2012, 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.
