INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 10th, 2023 • Northern Lights Fund Trust IV • New York
This AGREEMENT is made as of October 25, 2022 between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), and FULCRUM ASSET MANAGEMENT LLP, a United Kingdom limited liability partnership (the "Adviser"), located at Marble Arch House, 66 Seymour Street, London, United Kingdom W1H5BT.
SUBADVISORY AGREEMENTSubadvisory Agreement • May 12th, 2017 • Northern Lights Fund Trust IV • Delaware
THIS AGREEMENT is made and entered into as of the 27th day of July, 2016 by and between Regents Park Funds, LLC, a limited liability company organized under the laws of California registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), (the “Adviser”) and Affinity Investment Advisors, LLC a limited liability company organized under the laws of California registered under the Advisers Act (the “Subadviser”), with respect to the Affinity Global Franchise Equity Fund (the “Fund”) a series of the Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”).
CUSTODY AGREEMENTCustody Agreement • January 25th, 2021 • Northern Lights Fund Trust IV • Minnesota
THIS AGREEMENT is made and entered into as of this 13th day of October 2020, by and between NORTHERN LIGHTS FUND TRUST IV, 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”).
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Moerus Capital Management LLCAnd Security Agreement • November 3rd, 2023 • Northern Lights Fund Trust IV • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 2nd day of November, 2023, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the Moerus Worldwide Value Fund (the “Fund”) a series of the Trust, and the advisor of the Fund, Moerus Capital Management LLC (the “Advisor”).
UNDERWRITING AGREEMENTUnderwriting Agreement • March 25th, 2019 • Northern Lights Fund Trust IV • Nebraska
THIS UNDERWRITING AGREEMENT (this “Agreement”) dated the 1st day of February, 2019 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, 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”). Capitalized terms used herein and not otherwise defined shall have the meaning prescribed to them in Section 16 of this Agreement.
DISTRIBUTION AGREEMENTDistribution Agreement • May 20th, 2016 • Northern Lights Fund Trust IV • Delaware
THIS AGREEMENT is made and entered into as of this 20th day of May, 2016 by and between Northern Lights Funds Trust IV, a Delaware statutory trust (the “Client”) and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
AMENDED AGREEMENT AND DECLARATION OF TRUST of Northern Lights Fund Trust IV a Delaware Statutory TrustAgreement and Declaration of Trust • March 24th, 2020 • Northern Lights Fund Trust IV • Delaware
AGREEMENT AND DECLARATION OF TRUST made this 2nd day of June, 2015, as amended July 18, 2019, by the Trustees hereunder, and by the holders of shares of beneficial interest to be issued hereunder as hereinafter provided. This Amended Agreement and Declaration of Trust shall be effective upon the filing of the Certificate of Trust in the office of the Secretary of State of the State of Delaware.
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • July 2nd, 2020 • Northern Lights Fund Trust IV • Delaware
This Distribution Agreement (the “Agreement”) is made this 14 day of April 2020, 2020, by and between Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”) having its principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246, and Foreside Financial Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
INVESTMENT SUB-ADVISORY AGREEMENT with Vident Investment Advisory, LLCInvestment Sub-Advisory Agreement • April 25th, 2022 • Northern Lights Fund Trust IV • Delaware
This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this 20th day of April, 2022 by and among First Manhattan Co., a limited partnership organized under the laws of the State of New York, with its principal place of business at 399 Park Avenue, New York, New York 10022 (the “Adviser”), and Vident Investment Advisory, LLC, a limited liability company organized under the laws of the State of Delaware, with its principal place of business located at 1125 Sanctuary Parkway, Suite 515, Alpharetta, GA 30009 (the “Sub-Adviser”).
FUND SERVICES AGREEMENTFund Services Agreement • August 14th, 2015 • Northern Lights Fund Trust IV • New York
THIS FUND SERVICES AGREEMENT (this “Agreement”) dated the 29th day of July, 2015 (the “Effective Date”), is entered into by and between Northern Lights Fund Trust IV, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Omaha, NE 68130 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • March 26th, 2019 • Northern Lights Fund Trust IV • Nebraska
This ETF Distribution Agreement (this “Agreement”) is effective the 1st day of February, 2019, between Northern Lights Fund Trust IV, 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”).
CUSTODIAN AND TRANSFER AGENT AGREEMENTCustodian and Transfer Agent Agreement • January 20th, 2017 • Northern Lights Fund Trust IV • New York
THIS AGREEMENT, dated as of October 20, 2016, between Northern Lights Fund Trust IV (the Fund, on behalf of its series listed hereto on Schedule V, the Portfolios), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), 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, TA).
CUSTODY AGREEMENTCustody Agreement • October 6th, 2017 • Northern Lights Fund Trust IV • Ohio
THIS CUSTODY AGREEMENT (this "Agreement"), is made as of July 20, 2017, by and between NORTHERN LIGHTS FUND TRUST IV, a statutory trust organized under the laws of the State of Delaware (the "Company"), and FIFTH THIRD BANK, an Ohio banking corporation (the "Custodian").
CUSTODY AGREEMENTCustody Agreement • December 21st, 2015 • Northern Lights Fund Trust IV • Ohio
THIS CUSTODY AGREEMENT (“Agreement”), dated as of October 7, 2015, is entered into by and between THE HUNTINGTON NATIONAL BANK, a national bank organized under the laws of the United States (the “Custodian” or “Bank”), and NORTHERN LIGHTS FUND TRUST IV, a trust formed under the laws of the State of Delaware (the “Company”).
Northern Lights Fund Trust IV 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246Northern Lights Fund Trust IV • September 16th, 2022
Re: AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION, DATED AS OF September 7, 2022 (THE “AGREEMENT”), BY AND AMONG Northern Lights FUnd Trust IV (“Northern Lights”) on behalf of ITS SERIES, Main BuyWrite Fund (THE “EXISTING FUND”) and on behalf of ITS SERIES, Main BuyWrite ETF (THE “new fund”) AND, SOLELY FOR PURPOSES OF Article IX THEREOF, Main Management Advisors, LLC (The “Advisor”)
FUND SERVICES AGREEMENT between NORTHERN LIGHTS FUND TRUST IVFund Services Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • New York
THIS FUND SERVICES AGREEMENT (this "Agreement") dated the 20th day of October, 2021 (the "Effective Date"), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 ("UFS").
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT Moerus Capital Management LLC THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION ANDOperating Expenses Limitation and Security Agreement • March 29th, 2023 • Northern Lights Fund Trust IV • New York
WHEREAS, the Advisor renders advice and services to the Fund pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of the 20th day of April, 2016 (the “Advisory Agreement”); and
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT CWM ADVISORS, LLC dba INSPIREAnd Security Agreement • March 27th, 2018 • Northern Lights Fund Trust IV • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 20th day of March, 2018, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the series listed on Appendix A hereto (each a “Fund”, collectively the “Funds”), and the advisor of the Funds, CWM ADVISORS, LLC dba INSPIRE (the “Advisor”).
SUBADVISORY AGREEMENTSubadvisory Agreement • November 24th, 2020 • Northern Lights Fund Trust IV • Delaware
THIS AGREEMENT is made and entered into as of the 13th day of October, 2020, by and between CWM Advisors, LLC (d/b/a Inspire), a limited liability company organized under the laws of California and registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) (the “Adviser”), and SevenOneSeven Capital Management, LTD, a limited liability company organized under the laws of Pennsylvania and registered under the Advisers Act (the “Subadviser”), with respect to the series set forth in Exhibit A of the Agreement (each a “Fund” and, collectively, the “Funds”), each of which are series of the Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”).
INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST IV and TUTTLE CAPITAL MANAGEMENT LLCInvestment Advisory Agreement • September 18th, 2023 • Northern Lights Fund Trust IV • New York
This INVESTMENT ADVISORY AGREEMENT is made as of January 20, 2023, between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), and TUTTLE CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the "Adviser"), located at 155 Lockwood Road, Riverside, CT 06878.
ETF FUND SERVICES AGREEMENTEtf Fund Services Agreement • October 6th, 2016 • Northern Lights Fund Trust IV • New York
THIS ETF FUND SERVICES AGREEMENT (this “Agreement”) dated the 27th day of July, 2016 (the “Effective Date”), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Omaha, NE 68130 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”).
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENTOperating Expenses Limitation • August 18th, 2022 • Northern Lights Fund Trust IV • New York
THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 20th day of January 2022, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the series listed on Appendix A hereto (each a “Fund”, collectively the “Funds”), and the advisor of the Funds, INSPIRE (CWM ADVISORS, LLC) (the “Advisor”).
CUSTODY AGREEMENT by and between NORTHERN LIGHTS FUND TRUST IV and THE BANK OF NEW YORK MELLONCustody Agreement • October 9th, 2020 • Northern Lights Fund Trust IV • New York
ETF FUND SERVICES AGREEMENT between Northern Lights Fund Trust IV andEtf Fund Services Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • New York
THIS ETF FUND SERVICES AGREEMENT (this "Agreement") dated the 20th day of October, 2021 (the "Effective Date"), is entered into by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the "Trust") and ULTIMUS FUND SOLUTIONS, LLC, an Ohio limited liability company having its principal office and place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 ("UFS").
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT LGM Capital Management LLCAnd Security Agreement • September 27th, 2018 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 19th day of July, 2018, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the Low Beta Tactical 500 Fund (the “Fund”) a series of the Trust, and the advisor of the Fund, LGM Capital Management LLC (the “Advisor”).
PENSERRA CAPITAL MANAGEMENT LLC SUB-ADVISORY AGREEMENTCapital Management LLC Sub-Advisory Agreement • March 12th, 2021 • Northern Lights Fund Trust IV • New York
Sub-Advisory Agreement (this “Agreement”) entered into as of the 21st day of January, 2021, by and between Kingsview Wealth Management LLC, a limited liability company with its principal place of business at 509 SE 7th Street, 2nd Floor, Grants Pass, Oregon 97526 (the “Adviser”), and Penserra Capital Management LLC, a registered investment advisor organized under the laws of the State of New York (the “Sub-Adviser”).
NORTHERN LIGHTS FUND TRUST IV AMENDED AND RESTATED OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT MAIN MANAGEMENT ETF ADVISORS, LLC THIS AMENDED AND RESTATED OPERATING EXPENSES LIMITATION ANDOperating Expenses Limitation and Security Agreement • February 27th, 2024 • Northern Lights Fund Trust IV • New York
WHEREAS, the Advisor renders advice and services to the Funds pursuant to the terms and provisions of an Investment Advisory Agreement between the Trust and the Advisor dated as of the 27th day of April, 2017 (the “Advisory Agreement”); and
SUBADVISORY AGREEMENTSubadvisory Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • Delaware
THIS SUBADVISORY AGREEMENT is made and entered into as of November 24, 2021, by and between Sterling Capital Management LLC (the “Adviser”), a limited liability company organized under the laws of North Carolina and registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), and EARNEST Partners, LLC (the “Subadviser”), a limited liability company organized under the laws of Delaware and registered under the Advisers Act, with respect to the series set forth in Exhibit A of the Agreement (each a “Fund” and, collectively, the “Funds”), each of which are series of the Northern Lights Fund Trust IV, a Delaware statutory trust (the “Trust”).
CUSTODIAN AGREEMENTCustodian Agreement • December 7th, 2021 • Northern Lights Fund Trust IV • New York
THIS AGREEMENT, dated as of June 21, 2021, between NORTHERN LIGHTS FUND TRUST IV (the Fund, including on behalf of each of its separate series listed on Schedule A hereto, the Portfolios), a management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or the Custodian). It is acknowledged and agreed that the terms of this Agreement shall apply separately and respectively to the Fund in respect of each Portfolio, and for purposes of this Agreement, references hereafter to the “Fund” shall mean the Fund and/or the respective Portfolio(s), as the context requires. All capitalized terms shall have the meaning ascribed to them in this Agreement.
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT USA Mutuals Advisors, Inc.And Security Agreement • July 27th, 2023 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is made as of the 24th day of July, 2023, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the series listed on Appendix A hereto (each a “Fund,” collectively the “Funds”), and the advisor of the Funds, USA Mutuals Advisors, Inc, (the “Advisor”).
INDEX SUB-LICENSING AGREEMENTIndex Sub-Licensing Agreement • September 22nd, 2022 • Northern Lights Fund Trust IV • New York
This AGREEMENT, dated as of August 16, 2022, is made by and between Inspire Investing, LLC (“Inspire”), 3597 E. Monarch Sky Lane, Suite 330, Meridian, ID 83646, and Northern Lights Fund Trust IV (the “Trust”, and together with Inspire, the “Parties”), on behalf of Inspire Fidelis Multi Factor ETF (the “ETF”), 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246.
DISTRIBUTION AGREEMENTDistribution Agreement • March 24th, 2016 • Northern Lights Fund Trust IV • Nebraska
THIS DISTRIBUTION AGREEMENT effective the 20th day of January, 2016, by and between NORTHERN LIGHTS FUND TRUST IV, 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”).
FUND SERVICES AGREEMENTFund Services Agreement • January 20th, 2017 • Northern Lights Fund Trust IV • New York
THIS FUND SERVICES AGREEMENT (this “Agreement”) dated the 20th day of October, 2016 (the “Effective Date”), is entered into by and between Northern Lights Fund Trust IV, a Delaware statutory trust having its principal office and place of business at 17605 Wright Street, Omaha, NE 68130 (the "Trust") and GEMINI FUND SERVICES, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“GFS”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 25th, 2022 • Northern Lights Fund Trust IV • New York
This AGREEMENT is made as of April 20, 2022, between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), and FIRST MANHATTAN CO., a New York limited partnership (the “Adviser”), located at 399 Park Avenue, 27th floor, New York, NY 10022.
NORTHERN LIGHTS FUND TRUST IV OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT ANCHOR CAPITAL MANAGEMENT GROUP, INC.And Security Agreement • September 4th, 2020 • Northern Lights Fund Trust IV • New York
THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of the 13th day of July, 2020, by and between NORTHERN LIGHTS FUND TRUST IV, a Delaware statutory trust (the “Trust”), on behalf of the Anchor Risk Managed Credit Strategies Fund, Anchor Risk Managed Equity Strategies Fund, Anchor Risk Managed Global Strategies Fund, and Anchor Risk Managed Municipal Strategies Fund (each a “Fund”, collectively the “Funds”) each a series of the Trust, and the Advisor of the Funds, Anchor Capital Management Group, Inc. (the “Advisor”).
