INVESTMENT ADVISORY AGREEMENT Between NORTHERN LIGHTS FUND TRUST III and SWAN CAPITAL MANAGEMENT, LLCInvestment Advisory Agreement • November 16th, 2018 • Northern Lights Fund Trust Iii • New York
This AGREEMENT is made as of August 22, 2018 between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), and Swan Capital Management, LLC, a Colorado limited liability company (the “Adviser”) located at 1099 Main Ave., Suite 206, Durango, CO 81301.
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 16th, 2018 • Northern Lights Fund Trust Iii • New York
THIS AGREEMENT (“Agreement”) is made and entered into as of August 22, 2018, by and between SWAN CAPITAL MANAGEMENT, INC., (the “Adviser”), a Colorado Corporation registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) located at 1099 Main Avenue, Suite 206, Durango, Colorado 81301, and Swan Global Management, LLC a limited liability company organized under the laws of Puerto Rico (the “Subadviser”) and also registered under the Advisers Act, with respect to the Fund listed on Schedule A hereto (the “Fund”), series of the NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”).
NORTHERN LIGHTS FUND TRUST III OPERATING EXPENSES LIMITATION AGREEMENT SWAN DEFINED RISK ENHANCED FUNDAgreement • November 16th, 2018 • Northern Lights Fund Trust Iii • New York
THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) is effective as of the 22nd day of August, 2018, by and between NORTHERN LIGHTS FUND TRUST III, a Delaware statutory trust (the “Trust”), on behalf of the Swan Defined Risk Enhanced Fund (the “Fund”) a series of the Trust, and the Advisor of the Fund, Swan Capital Management, LLC, (the “Advisor”).
