FINANCIAL INVESTORS TRUST SUB-ADVISORY AGREEMENTSub-Advisory Agreement • September 14th, 2020 • Financial Investors Trust • Colorado
AGREEMENT, dated as of June 17, 2020 by and among ALPS Advisors, Inc. (the “Investment Adviser”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1000, Denver, Colorado, Financial Investors Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed in Appendix A hereto, as amended from time to time, each a series of the Trust (each, a “Fund” and collectively, the “Funds”), and Smith Capital Investors, LLC, a Colorado limited liability company (the “Sub-Adviser”), having its principal place of business at 1430 Blake Street, Denver, Colorado.
FINANCIAL INVESTORS TRUST INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 14th, 2020 • Financial Investors Trust • Colorado
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this 17th day of June, 2020, by and between ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”), regarding the Funds listed in Appendix A (each, a “Fund” or together, the “Funds”)).
ALPS ADVISORS, INC.Advisory Agreement • September 14th, 2020 • Financial Investors Trust
This letter confirms the agreement of ALPS Advisors, Inc. (the “Adviser”) and Clough Capital Partners LP (the “Sub-Adviser”) with the Trust with respect to the Fund. This letter agreement supersedes any prior agreement or understanding between the parties, whether oral or written, relating to the subject matter herein.
AMENDMENT TO LIQUIDITY RISK MANAGEMENT ADDENDUM to Fund Accounting and Administration AgreementLiquidity Risk Management Addendum • September 14th, 2020 • Financial Investors Trust
This Amendment dated June 17, 2020 (this “Amendment”) is to the Liquidity Risk Management Addendum dated May 21, 2018 (the “Addendum”) 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”).
Amendment to Fund Accounting and Administration AgreementFund Accounting and Administration Agreement • September 14th, 2020 • Financial Investors Trust
This Amendment dated as of June 17, 2020 (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.
FINANCIAL INVESTORS TRUST AMENDMENT TO SUB-ADVISORY AGREEMENT Clough China FundSub-Advisory Agreement • September 14th, 2020 • Financial Investors Trust
This Amendment, dated as of August 18, 2020 (this “Amendment”), is to the Sub-Advisory Agreement dated August 31, 2018 (the “Agreement”) by and among ALPS Advisors, Inc. (the “Adviser”), a Colorado corporation, Financial Investors Trust (the “Trust”), a Delaware statutory trust, on behalf of the funds listed in Appendix A to the Agreement, each a series of the Trust, and Clough Capital Partners L.P., a Delaware limited partnership (the “Sub-Adviser”).
Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • September 14th, 2020 • Financial Investors Trust
This Amendment dated as of June 17, 2020 (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.
ALPS ADVISORS, INC.Management Fee Limitation Agreement • September 14th, 2020 • Financial Investors Trust
This letter confirms the agreement of ALPS Advisors, Inc. (the “Adviser”) and Smith Capital Investors, 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 Funds. This letter agreement supersedes any prior agreement or understanding between the parties, whether oral or written, relating to the subject matter herein.
Amendment to Fund Accounting and Administration AgreementFund Accounting and Administration Agreement • September 14th, 2020 • Financial Investors Trust
This Amendment dated as of August 25, 2020 (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.
AMENDMENTDistribution Agreement • September 14th, 2020 • Financial Investors Trust
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.
FINANCIAL INVESTORS TRUST AMENDMENT TO INVESTMENT ADVISORY AGREEMENT Clough China FundInvestment Advisory Agreement • September 14th, 2020 • Financial Investors Trust
This Amendment, dated as of August 18, 2020 (this “Amendment”), is to the Investment Advisory Agreement dated August 31, 2018 (the “Agreement”) by and between ALPS Advisors, Inc. (the “Adviser”), a Colorado corporation, and Financial Investors Trust (the “Trust”), a Delaware statutory trust, on behalf of the funds listed in Appendix A to the Agreement, each a series of the Trust.
