DISTRIBUTION AGREEMENTDistribution Agreement • December 14th, 2022 • RM Opportunity Trust • Ohio
This Distribution Agreement (this “Agreement”), dated November 22, 2022, is made by and among RM Opportunity Trust, a Delaware statutory trust (the “Trust”), Rocky Mountain Private Wealth Management, L.L.C., a Texas limited liability company (the “Advisor”), and Ultimus Fund Distributors, LLC, a limited liability company organized under the laws of the state of Ohio (“Distributor”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 14th, 2022 • RM Opportunity Trust • Delaware
This INVESTMENT ADVISORY AGREEMENT is made as of November 22, 2022, between RM Opportunity Trust (the “Trust”), a Delaware statutory trust, and Rocky Mountain Private Wealth Management, LLC, a Texas limited liability company located at located 2245 Texas Dr., Suite 300, Sugar Land, TX 77479 (the “Adviser”).
CONSULTING AGREEMENTConsulting Agreement • December 14th, 2022 • RM Opportunity Trust • Nebraska
THIS CONSULTING AGREEMENT (this “Agreement”) dated November 22, 2022 (the “Effective Date”), is entered into by and between RM OPPORTUNITY TRUST, a Delaware statutory trust having its office and principal place of business at 2245 Texas Dr., Suite 300, Sugar Land, TX 77479 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 14th, 2022 • RM Opportunity Trust • Delaware
THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made and entered into as of November 22, 2022, by and between Rocky Mountain Private Wealth Management L.L.C. (the “Adviser”), a Texas limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), with its principle place of business located at 2245 Texas Dr., Suite 300, Sugar Land, TX 77479, RM Opportunity Trust, a Delaware statutory trust (the “Trust”), and Spectrum Asset Management, Inc. (the “Sub-Adviser”), a Connecticut corporation registered under the Advisers Act, with its principle place of business located at 2 High Ridge Park, Stamford, CT 06905, with respect to RM Greyhawk Fund (the “Fund”), a series of the Trust.
Custody AgreementCustody Agreement • December 14th, 2022 • RM Opportunity Trust • Ohio
This Custody Services Agreement (collectively with all schedules, exhibits, amendments, and addenda hereto, this “Agreement”) is made by and between Fifth Third Bank, National Association, 38 Fountain Square Plaza, MD 1090C7, Cincinnati, OH 45202 (“Fifth Third” or “Custodian”), and the undersigned company (“Company”), and is made effective as of the date assets are first received by Fifth Third. Alternatively, if Fifth Third already holds the assets, this Agreement is effective upon the date this Agreement is executed by both client and Fifth Third.
MASTER SERVICES AGREEMENTMaster Services Agreement • December 14th, 2022 • RM Opportunity Trust • Ohio
This Master Services Agreement (this “Agreement”), dated November 22, 2022, is between RM Opportunity Trust (the “Trust”), a Delaware statutory trust, and Ultimus Fund Solutions, LLC (“Ultimus”), a limited liability company organized under the laws of the state of Ohio.
RM OPPORTUNITY TRUSTPrivate Offering (Seed Money) Agreement • December 14th, 2022 • RM Opportunity Trust
This Private Offering (Seed Money) Agreement (the "Agreement") made this 22nd day of November, 2022, by and between RM Opportunity Trust, a statutory trust organized and existing under the laws of the State of Delaware (the “Trust”), on behalf of the RM Greyhawk Fund (the “Fund”), and Rocky Mountain Private Wealth Management, LLC (the "Subscriber").
