INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST III and SWAN CAPITAL MANAGEMENT, LLCInvestment Advisory Agreement • November 16th, 2018 • Northern Lights Fund Trust Iii • New York
This AGREEMENT is made as of August 22, 2018 between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), and Swan Capital Management, LLC, a Colorado limited liability company (the “Adviser”) located at 1099 Main Ave., Suite 206, Durango, CO 81301.
NORTHERN LIGHTS FUND TRUST III OPERATING EXPENSES LIMITATION AGREEMENT SWAN DEFINED RISK ENHANCED FUNDOperating Expenses Limitation Agreement • November 16th, 2018 • Northern Lights Fund Trust Iii • New York
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 22nd day of August, 2018, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), on behalf of the Swan Defined Risk Enhanced Fund (the “Fund”) a series of the Trust, and the Advisor of the Fund, Swan Capital Management, LLC, (the “Advisor”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 16th, 2018 • Northern Lights Fund Trust Iii • New York
THIS AGREEMENT (“Agreement”) is made and entered into as of August 22, 2018, by and between SWAN CAPITAL MANAGEMENT, INC., (the “Adviser”), a Colorado Corporation registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 1099 Main Avenue, Suite 206, Durango, Colorado 81301, and Swan Global Management, LLC a limited liability company organized under the laws of Puerto Rico (the “Subadviser”) and also registered under the Advisers Act, with respect to the Fund listed on Schedule A hereto (the “Fund”), series of the NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”).
