TRUST FORM OF INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • June 25th, 2010 • Financial Investors Trust • Colorado
This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this day of , 2010, by and between ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and Trust, a Delaware statutory trust (the “Trust”), regarding the Fund(s) listed in Appendix A (the “Funds”).
TRUST FORM OF SUB-ADVISORY AGREEMENTSub-Advisory Agreement • June 25th, 2010 • Financial Investors Trust • California
AGREEMENT, dated as of , 2010 by and between ALPS Advisors, Inc. (the “Investment Adviser”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a corporation (the “Sub-Adviser”), having its principal place of business at .
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • June 25th, 2010 • Financial Investors Trust • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this th day of , 2010 by Financial Investors Trust, a Delaware statutory trust (the “Acquiring Trust”), on behalf of the RiverFront Long-Term Growth Fund (the “Acquiring Fund”); Baird Funds, Inc., a Wisconsin corporation (the “Selling Corporation”), on behalf of the RiverFront Long-Term Growth Fund (the “Selling Fund”) (the Acquiring Fund and Selling Fund referred to herein as a “Fund” and collectively, the “Funds”); ALPS Advisors, Inc. (“ALPS”), the investment adviser to the Acquiring Fund (for purposes of Sections 5.11, 5.12, 5.13, 5.14, and 9.1 of the Agreement only); and Robert W. Baird & Co. Incorporated (“Baird”), the investment adviser to the Selling Fund (for purposes of Sections 5.14 and 9.1 of the Agreement only). The principal place of business of the Acquiring Trust and ALPS is 1290 Broadway, Suite 1100, Denver, Colorado 80203; the principal place of business of the Selling Corporation and Baird is 77
ALPS ADVISORS, INC.Financial Investors Trust • June 25th, 2010
This letter confirms ALPS Advisors, Inc.’s (the “Adviser”) agreement with the Trust to contractually limit the total amount of the “Advisory Fee” and “Other Expenses” that they are entitled to receive from each of the following funds: the RiverFront Long-Term Growth Fund, the RiverFront Moderate Growth Fund, the RiverFront Long-Term Growth & Income Fund and the RiverFront Moderate Growth & Income Fund (a “Fund” or, collectively, the “Funds”).
