INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST III and PLANROCK INVESTMENT MANAGEMENT, LLCInvestment Advisory Agreement • December 19th, 2023 • Northern Lights Fund Trust Iii • New York
This AGREEMENT is made as of December 12, 2023 between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), and PlanRock Investment Management, LLC, a Tennessee limited liability company (the “Adviser”) located at 1850 General George Patton Drive, Suite 205, Franklin TN 37067.
NORTHERN LIGHTS FUND TRUST III OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT PLANROCK INVESTMENT MANAGEMENT, LLCOperating Expenses Limitation and Security Agreement • December 19th, 2023 • Northern Lights Fund Trust Iii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 18th day of December, 2023, between and among NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), on behalf of PlanRock Market Neutral Income ETF and PlanRock Alternative Growth ETF (each a “Fund” and collectively the “Funds”), series of the Trust; PLANROCK INVESTMENT MANAGEMENT LLC, advisor of the Funds (the “Advisor”); and STEPHEN HAMMERS, Managing Member of the Advisor.
