INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST II and HODGES CAPITAL MANAGEMENT, INC.Investment Advisory Agreement • September 28th, 2023 • Northern Lights Fund Trust Ii
AGREEMENT, made as of September 20, 2023, between Northern Lights Fund Trust II, a Delaware statutory trust (the "Trust"), and Hodges Capital Management, Inc. a Texas corporation (the "Adviser"), located at 2905 Maple Avenue, Dallas, TX 75201
SUBADVISORY AGREEMENTSubadvisory Agreement • June 16th, 2017 • Northern Lights Fund Trust Ii • Delaware
THIS AGREEMENT is made and entered into as of the 17th day of May, 2017 by and among Balter Liquid Alternatives, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), Invenomic Capital Management LP, a Delaware limited liability company which is registered under the Advisers Act (the “Subadviser”), with respect to the Balter Invenomic Fund (the “Fund, a series of the NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”).
CUSTODY AGREEMENTCustody Agreement • August 25th, 2017 • Northern Lights Fund Trust Ii • New York
THIS AGREEMENT is made and entered into as of this August 25, 2017, by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
UNDERWRITING AGREEMENTUnderwriting Agreement • March 29th, 2019 • Northern Lights Fund Trust Ii • Nebraska
THIS UNDERWRITING AGREEMENT effective the 1st day of February, 2019, by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust, having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17645 Wright Street, Suite 200, Omaha, Nebraska 68130 (“NLD”).
FUND SERVICES AGREEMENT between NORTHERN LIGHTS FUND TRUST IIFund Services Agreement • September 27th, 2016 • Northern Lights Fund Trust Ii • New York
THIS FUND SERVICES AGREEMENT (the “Agreement”) made as of the 17th day of May, 2011, by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust having its principal office and place of business at 4020 South 147th Street, Omaha, NE 68137 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”). This Agreement replaces and supersedes all prior understandings and agreements between the parties hereto for the services described below.
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTAnd Security Agreement • December 23rd, 2020 • Northern Lights Fund Trust Ii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of December 9, 2020, by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”), on behalf of WOA All Asset I, (the “Fund”) a series of the Trust, and the advisor of such Fund, EATON VANCE WATEROAK ADVISORS (FORMERLY KNOW AS EATON VANCE INVESTMENT COUNSEL) (the “Advisor”).
AGREEMENT AND DECLARATION OF TRUSTAgreement and Declaration • June 16th, 2011 • Northern Lights Fund Trust Ii • Delaware
DISTRIBUTION PLAN PURSUANT TO RULE 12B-1 UNDER THE INVESTMENT COMPANY ACT OF 1940 NORTHERN LIGHTS FUND TRUST II On behalf of its series Aftershock Strategies FundDistribution Plan • December 28th, 2012 • Northern Lights Fund Trust Ii
DISTRIBUTION PLAN made as of May 3, 2012 by and between Northern Lights Fund Trust II (the "Trust") on behalf of its separate series, AFTERSHOCK STRATEGIES FUND (the “Fund”) and the distributor for the Funds, Northern Lights Distributors, LLC (the “DISTRIBUTOR”).
SUBADVISORY AGREEMENTSubadvisory Agreement • June 28th, 2012 • Northern Lights Fund Trust Ii • Illinois
THIS AGREEMENT is made and entered into as of the 3rd day of May, 2012 by and between LONGBOARD ASSET MANAGEMENT, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and HORIZON CASH MANAGEMENT, LLC, an Illinois limited liability company organized under the laws of Illinois (the “Subadviser”) and also registered under the Advisers Act, with respect to LONGBOARD MANAGED FUTURES STRATEGY FUND (the “Fund”), a series of the NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • August 9th, 2021 • Northern Lights Fund Trust Ii • Nebraska
This ETF Distribution Agreement (this “Agreement”) is effective the 27th day of April, 2021, between Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a “Fund”, and collectively, the “Funds”), and Northern Lights Distributors, LLC a Nebraska limited liability company (the “Distributor”).
SUBADVISORY AGREEMENTSubadvisory Agreement • June 25th, 2014 • Northern Lights Fund Trust Ii • Illinois
THIS AGREEMENT is made and entered into as of the 25th day of April, 2014 by and between KKM FINANCIAL, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and EQUITY ARMOR INVESTMENTS, LLC, an Illinois limited liability company organized under the laws of Illinois (the “Subadviser”) and also registered under the Advisers Act, with respect to KKM ARMOR FUND and KKM U.S. EQUITY ARMOR FUND (the “Funds”), each a series of the NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”).
CONSULTING AGREEMENTConsulting Agreement • June 29th, 2022 • Northern Lights Fund Trust Ii • Nebraska
THIS CONSULTING AGREEMENT (this “Agreement”) dated January 1, 2017 (the “Original Effective Date”) as amended and restated on April 1, 2022 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (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”).
CUSTODIAN AND TRANSFER AGENT AGREEMENTFunds Transfer Services Agreement • July 21st, 2021 • Northern Lights Fund Trust Ii • New York
THIS AGREEMENT (this Agreement), dated as of July 19, 2021 between NORTHERN LIGHTS FUND TRUST II (the “Fund”), an open-end management investment company organized under the laws of the State of Delaware as a statutory trust and registered with the U.S. Securities and Exchange Commission (the “Commission”) under the Investment Company Act of 1940 (the “1940 Act”), for itself and on behalf of each series, separately and not jointly, listed on Schedule I to this Agreement as may be amended from time to time (each a “Portfolio” and collectively the “Portfolios”) and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or, when referring to BBH&Co. in its capacity as custodian, the Custodian, and when referring to BBH&Co. in its capacity as transfer agent, the “TA”). All references herein to a “Portfolio” are to each of the Portfolios listed on the attached Schedule I individually, as if this Agreement were between the Fund on behalf o
CUSTODY AGREEMENTCustody Agreement • December 23rd, 2020 • Northern Lights Fund Trust Ii • Ohio
THIS AGREEMENT, is made as of December 4, 2020 (the “Agreement”), by and between Northern Lights Fund Trust II, a statutory trust organized under the laws of the State of Delaware (the “Company”), and Fifth Third Bank, National Association (“Fifth Third Bank”) (the “Custodian”).
SUBADVISORY AGREEMENTSubadvisory Agreement • September 20th, 2011 • Northern Lights Fund Trust Ii • Delaware
THIS AGREEMENT is made and entered into as of the 17th day of May, 2011, by and between Advisors Preferred, LLC (the “Adviser”), a Maryland limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and Hundredfold Advisors, LLC, a Virginia limited liability company organized under the laws of Virginia (the “Subadviser”) and also registered under the Advisers Act, with respect to Hundredfold Select Alternative Fund, Hundredfold Select Global Fund, Hundredfold Select Equity Fund (each a “Fund”, collectively the “Funds”), a series of the NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”).
CONSULTING AGREEMENTConsulting Agreement • June 28th, 2011 • Northern Lights Fund Trust Ii • New York
This Consulting Agreement (the “Agreement”) is effective May 17, 2011, between NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company located at 450 Wireless Boulevard, Hauppauge, NY 11788 (“NLCS”), and NORTHERN LIGHTS FUND TRUST II, a registered investment company organized as a Delaware business trust, located at 4020 South 147th Street, Omaha, NE 68137 (the "Trust"), on behalf of each portfolio series listed on the attached Appendix A, as may be amended from time to time (each a “Fund” and collectively “Funds”).
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTAnd Security Agreement • July 21st, 2021 • Northern Lights Fund Trust Ii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 27th day of April, 2021, by and between Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), on behalf of The Future Fund Active ETF, (the “Fund”) a series of the Trust, and the advisor of such Fund, The Future Fund, LLC (the “Advisor”).
FORM OF DISTRIBUTION PLAN PURSUANT TO RULE 12B-1 UNDER THE INVESTMENT COMPANY ACT OF 1940 NORTHERN LIGHTS FUND TRUST II On behalf of its series ALTERNATIVE STRATEGIES MUTUAL FUNDNorthern Lights Fund Trust Ii • August 3rd, 2011
DISTRIBUTION PLAN made as of May 17, 2011 by and between Northern Lights Fund Trust II (the "Trust") on behalf of its separate series, ALTERNATIVE STRATEGIES MUTUAL FUND, (the “Fund”) and the distributor for the Fund, Northern Lights Distributors, LLC (the “DISTRIBUTOR”).
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • June 28th, 2011 • Northern Lights Fund Trust Ii • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 17th day of May, 2011, by and among Trust for Professional Managers (“TPM”), a Delaware statutory trust, with its principal place of business at 615 East Michigan Street, Milwaukee, WI 53202, with respect to the Alternative Strategies Mutual Fund, a separate series of TPM (the “Acquired Fund”), Northern Lights Fund Trust II (“Northern Lights II”), a Delaware statutory trust, with its principal place of business at 4020 South 147th Street, Omaha, NE 68137, with respect to the Alternative Strategies Mutual Fund, a separate series of Northern Lights II (the “Acquiring Fund” and, collectively with the Acquired Fund, the “Funds”) and Ascentia Capital Partners, LLC, the investment advisor to the Acquired Fund, located at 5485 Kietzke Lane, Reno, NV 89511.
Master Securities Loan AgreementSecurities Loan Agreement • February 1st, 2013 • Northern Lights Fund Trust Ii • New York
ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • August 9th, 2021 • Northern Lights Fund Trust Ii • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 27th day of April, 2021 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“GFS”).
SUBADVISORY AGREEMENTSubadvisory Agreement • June 26th, 2015 • Northern Lights Fund Trust Ii • Delaware
THIS AGREEMENT is made and entered into as of the 26th day of May 2015, by and between BALTER LIQUID ALTERNATIVES LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and WILLOWBRIDGE ASSOCIATES INC., incorporated under the laws of Delaware (the “Subadviser”) which is registered under the Advisers Act, with respect to BALTER DISCRETIONARY GLOBAL MACRO OFFSHORE FUND LTD., incorporated as an exempted company with limited liability in the Cayman Islands (the “Fund”).
SUBADVISORY AGREEMENTSubadvisory Agreement • April 13th, 2023 • Northern Lights Fund Trust Ii • Delaware
THIS SUBADVISORY AGREEMENT (the “Agreement”) made as of this 24th day of February 2023 by and between Beacon Capital Management, Inc., an Ohio Corporation (the “Adviser”) and Exchange Traded Concepts, LLC, an Oklahoma limited liability company, with its principal place of business at 10900 Hefner Pointe Dr. Ste. 400 Oklahoma City, OK 73120 (the “Sub-Adviser”), with respect to each series of the Trust identified on Schedule A to this Agreement (each a “Fund” and collectively, the “Funds”).
CEROS FINANCIAL SERVICES INC DISTRIBUTION AGREEMENTCeros Financial Services • October 3rd, 2011 • Northern Lights Fund Trust Ii • Maryland
THIS AGREEMENT is by and between Hundredfold Select Alternative Fund, Hundredfold Select Global Fund and Hundredfold Select Equity Fund (each a “Fund” and collectively “the Funds”), each a series of Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), and Ceros Financial Services Inc. (“Ceros”), a corporation organized and existing under the laws of the State of Massachusetts (the “Distributor”).
PENSERRA CAPITAL MANAGEMENT LLC SUB-ADVISORY AGREEMENTCapital Management LLC Sub-Advisory Agreement • September 15th, 2023 • Northern Lights Fund Trust Ii • New York
Sub-Advisory Agreement (this “Agreement”) entered into as of the XX day of XX, 2023, by and between Grant/Gross Mendelsohn Investment Advisory Services, LLC (dba GGM Wealth Advisors), a limited liability company with its principal place of business at 1801 Portee Street, Suite 500, Baltimore, MD 21230 (the “Adviser”), and Penserra Capital Management LLC, a registered investment advisor organized under the laws of the State of New York (the “Sub-Adviser”).
DISTRIBUTION AGREEMENT BetweenDistribution Agreement • September 26th, 2014 • Northern Lights Fund Trust Ii • Nebraska
THIS DISTRIBUTION AGREEMENT effective the 30th day of July, 2014, by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust, having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (the “Trust”), and CEROS FINANCIAL SERVICES INC., a Massachusetts corporation having its principal office and place of business at 1445 Research Boulevard, Suite 530, Rockville, Maryland 20850 (“CEROS”).
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATIONAgreement and Plan of Reorganization and Termination • July 24th, 2015 • Northern Lights Fund Trust Ii • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Agreement”) is made as of June 24, 2015, among Northern Lights Fund Trust II, a Delaware statutory trust, with its principal place of business at 17605 Wright Street, Omaha, NE 68130 (“New Trust”), on behalf of a single segregated portfolio of assets (“series”) thereof listed under the heading “New Fund” on Schedule A attached hereto (“Schedule A”) (“New Fund”), and PROFESSIONALLY MANAGED PORTFOLIOS, a Massachusetts business trust, with its principal place of business at 615 East Michigan Street, Milwaukee, Wisconsin 53202 (“Old Trust”), on behalf of the series thereof listed under the heading “Existing Fund” on Schedule A (“Existing Fund”), and solely with respect to paragraph 6, Balter Liquid Alternatives, LLC (the “Manager”) (Each of the New Trust and Old Trust is sometimes referred to herein, each as an “Investment Company” and collectively, as “Investment Companies,” and the New Fund and Existing Fund are sometimes referr
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AGREEMENTExpenses Limitation Agreement • December 28th, 2012 • Northern Lights Fund Trust Ii • New York
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 28th day of November, 2012, by and between NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”), on behalf of the Mariner Hyman Beck Fund, (the “Fund”) a series of the Trust and the Advisor of such Fund, RJO Investment Management, LLC (the “Advisor”).
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT INNEALTA CAPITAL RISK BASED OPPORTUNITY MODERATE FUND INNEALTA CAPITAL RISK BASED OPPORTUNITY CONSERVATIVE FUND INNEALTA CAPITAL RISK BASED OPPORTUNITY GROWTH FUND...And Security Agreement • March 28th, 2014 • Northern Lights Fund Trust Ii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective January 28, 2014 by and between NORTHERN LIGHTS FUND TRUST II, a Delaware business trust (the “Trust”), on behalf of INNEALTA CAPITAL RISK BASED OPPORTUNITY MODERATE FUND, INNEALTA CAPITAL RISK BASED OPPORTUNITY CONSERVATIVE FUND, INNEALTA CAPITAL RISK BASED OPPORTUNITY GROWTH FUND and the INNEALTA CAPITAL TACTICAL FIXED INCOME FUND (the “Funds”) each a series of the Trust, and the advisor of such Fund, AFAM Capital, Inc. (the “Advisor”).
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AGREEMENTOperating Expenses Limitation Agreement • September 28th, 2023 • Northern Lights Fund Trust Ii • Delaware
THIS OPERATING EXPENSES LIMITATION AGREEMENT (this “Agreement”) is effective as of the 20th of September 2023, by and between Northern Lights Fund Trust II, a Delaware statutory trust (the “Trust”), on behalf of the series of the Trust listed on Appendix A which may be amended from time to time (each a “Fund” and, collectively, the “Funds”), and the Adviser of the Funds, Hodges Capital Management, Inc. (the “Adviser”).
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT FORMULAFOLIOS US EQUITY FUND FORMULAFOLIOS US EQUITY PORTFOLIOOperating Expenses Limitation and Security Agreement • March 26th, 2019 • Northern Lights Fund Trust Ii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 1st day of April, 2019 by and between NORTHERN LIGHTS FUND TRUST II, a Delaware business trust (the “Trust”), on behalf of the FORMULAFOLIOS US EQUITY FUND and the FORMULAFOLIOS US EQUITY PORTFOLIO, (the “Funds”) a series of the Trust, and the advisor of the Fund, FORMULAFOLIO INVESTMENTS, LLC (the “Advisor”).
APPENDIX IV-32 LIST OF FUNDS SERVICES & FEESFund Services Agreement • October 31st, 2018 • Northern Lights Fund Trust Ii
This Appendix IV-32 is part of the Fund Services Agreement (the “Agreement”), dated May 17, 2011, between Northern Lights Fund Trust II (the “Trust”) and Gemini Fund Services, LLC (“GFS”) and supersedes and replaces any existing Appendix IV to the Agreement relating to the Fund(s) identified below. Set forth below are the Services elected by the Fund(s) identified on this Appendix IV-32 along with the associated Fees. Capitalized terms used herein that are not otherwise defined shall have meanings ascribed to them in the Agreement.
NORTHERN LIGHTS FUND TRUST II OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT INNEALTA CAPITAL RISK BASED OPPORTUNITY MODERATE FUND INNEALTA CAPITAL RISK BASED OPPORTUNITY CONSERVATIVE FUND INNEALTA CAPITAL RISK BASED OPPORTUNITY GROWTH FUND...And Security Agreement • June 25th, 2014 • Northern Lights Fund Trust Ii • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective January 28, 2014 by and between NORTHERN LIGHTS FUND TRUST II, a Delaware business trust (the “Trust”), on behalf of INNEALTA CAPITAL RISK BASED OPPORTUNITY MODERATE FUND, INNEALTA CAPITAL RISK BASED OPPORTUNITY CONSERVATIVE FUND, INNEALTA CAPITAL RISK BASED OPPORTUNITY GROWTH FUND and the INNEALTA CAPITAL TACTICAL FIXED INCOME FUND (the “Funds”) each a series of the Trust, and the advisor of such Fund, AFAM Capital, Inc. (the “Advisor”).
SUBADVISORY AGREEMENTSubadvisory Agreement • February 25th, 2020 • Northern Lights Fund Trust Ii • Delaware
THIS AGREEMENT is made and entered into as of the 11th day of October, 2019 by and between F/m INVESTMENTS, LLC (the “Adviser”), a Delaware limited liability company registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and S.W. MITCHELL CAPITAL LLP, a limited liability partnership incorporated in England and Wales (the “Subadviser”) and also registered under the Advisers Act, with respect to F/m INVESTMENTS EUROPEAN L/S SMALL CAP FUND (the “Fund”), a series of the NORTHERN LIGHTS FUND TRUST II, a Delaware statutory trust (the “Trust”).
AMENDMENT TO CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • April 17th, 2023 • Northern Lights Fund Trust Ii
THIS AMENDMENT TO CUSTODIAN AND TRANSFER AGENT AGREEMENT (this “Amendment”) is made as of March 30, 2023 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (“BBH&Co.” or, when referring to BBH&Co. in its capacity as custodian, the “Custodian,” and when referring to BBH&Co. in its capacity as transfer agent, the “TA”), and NORTHERN LIGHTS FUND Trust II (the “Fund”), an open-end management investment company organized under the laws of the State of Delaware and registered with the Securities and Exchange Commission under the Investment Company Act of 1940, for itself and on behalf of each of its Portfolios listed on Schedule I to the Agreement (as defined below).
