SEC Info - Northern Lights Fund Trust, et al. - ‘485BPOS’ on 1/23/15

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Northern Lights Fund Trust, et al. – ‘485BPOS’ on 1/23/15 – EX-99.D ADVSR CONTR

On: Friday, 1/23/15, at 5:26pm ET · Effective: 1/28/15 · Accession #: 1580642-15-315 · File #s: 811-21720, 333-122917

Previous ‘485BPOS’: ‘485BPOS’ on 1/6/15 · Next: ‘485BPOS’ on 1/26/15 · Latest: ‘485BPOS’ on 4/25/24 · 131 References:

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 1/23/15  Northern Lights Fund Trust        485BPOS     1/28/15   27:1.7M                                   GemCom of New York/FA
          → Patriot Fund ⇒ Patriot Fund Class A Shares (TRFAX) — Patriot Fund Class C Shares (TRFCX) — Patriot Fund Class I Shares (TRFTX)

Post-Effective Amendment
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485BPOS     Post-Effective Amendment                            HTML    732K 
 2: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     40K 
 3: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     42K 
 4: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     13K 
 5: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     14K 
 6: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     13K 
 7: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     14K 
 8: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     11K 
 9: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     11K 
10: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     11K 
11: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     11K 
12: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     12K 
13: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     11K 
14: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     26K 
15: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     17K 
16: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     26K 
17: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     17K 
18: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     26K 
19: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     26K 
20: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     27K 
21: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     18K 
22: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     26K 
23: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     25K 
24: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     26K 
25: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     26K 
26: EX-99.I LEGAL OPININ  Miscellaneous Exhibit                     HTML     10K 
27: EX-99.J OTHER OPININ  Miscellaneous Exhibit                     HTML     10K

EX-99.D ADVSR CONTR — Miscellaneous Exhibit

This exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

GemCom, LLC

AMENDMENT NO. 1 TO

INVESTMENT ADVISORY AGREEMENT

Between

NORTHERN LIGHTS FUND TRUST

And

BTS ASSET MANAGEMENT, INC.

THIS INVESTMENT ADVISORY AGREEMENT AMENDMENT is made and entered into as of December 10, 2014 between Northern Lights Fund Trust, a Delaware statutory trust (the "Trust"), and BTS Asset Management, Inc., a corporation organized and existing under the laws of the State of Massachusetts (the "Adviser") located at 420 Bedford Street, Suite 340, Lexington, MA 02420.

WHEREAS, the parties have entered into an Investment Advisory Agreement dated as of December 11, 2012 (the “Agreement”);

WHEREAS, the Trust’s Board of Trustees subsequently changed the name of the BTS Diversified Income Fund to BTS Hedged Income Fund;

WHEREAS, the parties now desire to amend the Agreement as set forth below.

NOW, THEREFORE, the parties hereto agree as follows:

All references in the Agreement to “BTS Diversified Income Fund” shall be replaced with “BTS Hedged Income Fund”.

Appendix A to the Agreement is deleted in its entirety and replaced with Appendix A attached hereto.

All other terms of the Agreement shall remain in full force and effect.

IN WITNESS WHEREOF, the parties have executed this Advisory Agreement Amendment as of the date set forth above.

NORTHERN LIGHTS FUND TRUST	BTS ASSET MANAGEMENT, INC.

By: /s/ *Andrew Rogers*		By: /s/ *Matthew Pasts*
Name: Andrew Rogers		Name: Matthew Pasts
Title: President		Title: Chief Executive Officer

NORTHERN LIGHTS FUND TRUST

INVESTMENT ADVISORY AGREEMENT

APPENDIX A

FUNDS OF THE TRUST AS OF DECEMBER 10, 2014

NAME OF FUND

ANNUAL ADVISORY FEE AS A % OF

AVERAGE NET ASSETS OF THE FUND

BTS Hedged Income Fund

0.75%

Dates Referenced Herein and Documents Incorporated by Reference

This ‘485BPOS’ Filing	Date	Other Filings

Effective on:	1/28/15
Filed on:	1/23/15	497
	12/10/14	497, N-CSR, N-CSRS, PRE 14A
	12/11/12
		List all Filings

131 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/25/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:3.5M                                   Blu Giant, LLC/FA
 4/25/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:4.1M                                   Blu Giant, LLC/FA
 4/24/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:3M                                     Blu Giant, LLC/FA
 4/24/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:4.2M                                   Blu Giant, LLC/FA
 4/24/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:3.2M                                   Blu Giant, LLC/FA
 4/23/24  Northern Lights Fund Trust        485BPOS     4/29/24   14:2.9M                                   Blu Giant, LLC/FA
 4/15/24  Northern Lights Fund Trust        485APOS                1:1.1M                                   Blu Giant, LLC/FA
 4/10/24  Northern Lights Fund Trust        485APOS                2:1.1M                                   Blu Giant, LLC/FA
 2/23/24  Northern Lights Fund Trust        485BPOS     2/28/24   14:8.1M                                   Blu Giant, LLC/FA
 2/05/24  Northern Lights Fund Trust        485BPOS     2/05/24   14:4M                                     Blu Giant, LLC/FA
 1/26/24  Northern Lights Fund Trust        485BPOS     1/29/24   15:11M                                    Blu Giant, LLC/FA
 1/25/24  Northern Lights Fund Trust        485BPOS     1/29/24   14:2.7M                                   Blu Giant, LLC/FA
 1/25/24  Northern Lights Fund Trust        485BPOS     1/29/24   14:3.4M                                   Blu Giant, LLC/FA
 1/23/24  Northern Lights Fund Trust        485BPOS     1/29/24   14:3.2M                                   Blu Giant, LLC/FA
 1/23/24  Northern Lights Fund Trust        485BPOS     1/29/24   15:2.9M                                   Blu Giant, LLC/FA
 1/08/24  Northern Lights Fund Trust        POS EX      1/08/24    2:470K                                   Blu Giant, LLC/FA
11/28/23  Northern Lights Fund Trust        485BPOS    11/28/23   14:2.6M                                   Blu Giant, LLC/FA
11/22/23  Northern Lights Fund Trust        485APOS                1:1.2M                                   Blu Giant, LLC/FA
11/17/23  Northern Lights Fund Trust        485BPOS    11/17/23   14:5.1M                                   Blu Giant, LLC/FA
10/26/23  Northern Lights Fund Trust        485BPOS    10/30/23   14:6.9M                                   Blu Giant, LLC/FA
10/26/23  Northern Lights Fund Trust        485BPOS    10/30/23   19:4.1M                                   Blu Giant, LLC/FA
10/24/23  Northern Lights Fund Trust        485BPOS    10/30/23   14:7.7M                                   Blu Giant, LLC/FA
 9/29/23  Northern Lights Fund Trust        485APOS                1:1M                                     Blu Giant, LLC/FA
 9/27/23  Northern Lights Fund Trust        485BPOS     9/27/23   15:2.6M                                   Blu Giant, LLC/FA
 8/28/23  Northern Lights Fund Trust        485BPOS     8/28/23   14:3.7M                                   Blu Giant, LLC/FA
 8/28/23  Northern Lights Fund Trust        485BPOS     8/28/23   15:2.5M                                   Blu Giant, LLC/FA
 8/25/23  Northern Lights Fund Trust        485BPOS     8/28/23   14:11M                                    Blu Giant, LLC/FA
 8/25/23  Northern Lights Fund Trust        485BPOS     8/28/23   14:2.9M                                   Blu Giant, LLC/FA
 7/21/23  Northern Lights Fund Trust        485BPOS     7/21/23   14:10M                                    Blu Giant, LLC/FA
 7/14/23  Northern Lights Fund Trust        485APOS                1:1.1M                                   Blu Giant, LLC/FA
 7/10/23  Northern Lights Fund Trust        485BPOS     7/10/23   14:4.5M                                   Blu Giant, LLC/FA
 5/11/23  Northern Lights Fund Trust        485APOS                1:1.5M                                   Blu Giant, LLC/FA
 4/26/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:3M                                     Blu Giant, LLC/FA
 4/26/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:3.2M                                   Blu Giant, LLC/FA
 4/26/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.6M                                   Blu Giant, LLC/FA
 4/25/23  Northern Lights Fund Trust        485BPOS     5/01/23   15:4.4M                                   Blu Giant, LLC/FA
 4/25/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.7M                                   Blu Giant, LLC/FA
 4/19/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.4M                                   Blu Giant, LLC/FA
 4/19/23  Northern Lights Fund Trust        485BPOS     5/01/23   14:2.8M                                   Blu Giant, LLC/FA
 2/24/23  Northern Lights Fund Trust        485BPOS     2/28/23   14:6.8M                                   Blu Giant, LLC/FA
 1/30/23  Northern Lights Fund Trust        485BPOS     1/30/23   14:3.1M                                   Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   16:3M                                     Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   15:3.2M                                   Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   15:10M                                    Blu Giant, LLC/FA
 1/26/23  Northern Lights Fund Trust        485BPOS     1/30/23   15:3.2M                                   Blu Giant, LLC/FA
12/27/22  Northern Lights Fund Trust        485BPOS    12/27/22   16:3.2M                                   Blu Giant, LLC/FA
11/25/22  Northern Lights Fund Trust        485BPOS    11/28/22   15:4.7M                                   Blu Giant, LLC/FA
11/23/22  Northern Lights Fund Trust        485BPOS    11/28/22   14:2.4M                                   Blu Giant, LLC/FA
11/01/22  Northern Lights Fund Trust        485BPOS    11/01/22   15:3.2M                                   Blu Giant, LLC/FA
10/25/22  Northern Lights Fund Trust        485BPOS    10/28/22   15:6.6M                                   Blu Giant, LLC/FA
10/24/22  Northern Lights Fund Trust        485BPOS    10/28/22   15:6.8M                                   Blu Giant, LLC/FA
10/24/22  Northern Lights Fund Trust        485BPOS    10/28/22   15:3.2M                                   Blu Giant, LLC/FA
 9/23/22  Northern Lights Fund Trust        485APOS                1:1.3M                                   Blu Giant, LLC/FA
 8/29/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:8.2M                                   Blu Giant, LLC/FA
 8/29/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:4.4M                                   Blu Giant, LLC/FA
 8/25/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:3.4M                                   Blu Giant, LLC/FA
 8/25/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:3.1M                                   Blu Giant, LLC/FA
 8/25/22  Northern Lights Fund Trust        485BPOS     8/29/22   14:8.6M                                   Blu Giant, LLC/FA
 8/10/22  Northern Lights Fund Trust        485BPOS     8/10/22   14:3.2M                                   Blu Giant, LLC/FA
 6/29/22  Northern Lights Fund Trust        485APOS                1:1.4M                                   Blu Giant, LLC/FA
 6/29/22  Northern Lights Fund Trust        485BPOS     6/29/22   13:2.5M                                   Blu Giant, LLC/FA
 4/28/22  Northern Lights Fund Trust        485BPOS     5/01/22   14:2.9M                                   Blu Giant, LLC/FA
 4/27/22  Northern Lights Fund Trust        485BPOS     5/01/22   14:3M                                     Blu Giant, LLC/FA
 4/27/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:3.2M                                   Blu Giant, LLC/FA
 4/27/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:3M                                     Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:2.6M                                   Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:2.8M                                   Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   15:3.3M                                   Blu Giant, LLC/FA
 4/26/22  Northern Lights Fund Trust        485BPOS     5/01/22   16:4.3M                                   Blu Giant, LLC/FA
 2/23/22  Northern Lights Fund Trust        485BPOS     2/28/22   14:6.4M                                   Blu Giant, LLC/FA
 1/26/22  Northern Lights Fund Trust        485BPOS     1/28/22   18:2.9M                                   Blu Giant, LLC/FA
 1/26/22  Northern Lights Fund Trust        485BPOS     1/28/22   17:3.2M                                   Blu Giant, LLC/FA
 1/25/22  Northern Lights Fund Trust        485BPOS     1/28/22   16:3.1M                                   Blu Giant, LLC/FA
 1/25/22  Northern Lights Fund Trust        485BPOS     1/28/22   17:8.2M                                   Blu Giant, LLC/FA
 1/25/22  Northern Lights Fund Trust        485BPOS     1/28/22   17:3.3M                                   Blu Giant, LLC/FA
11/23/21  Northern Lights Fund Trust        485BPOS    11/29/21   14:2.3M                                   Blu Giant, LLC/FA
10/27/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:6.1M                                   Blu Giant, LLC/FA
10/26/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:3.1M                                   Blu Giant, LLC/FA
10/25/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:2.8M                                   Blu Giant, LLC/FA
10/22/21  Northern Lights Fund Trust        485BPOS    10/28/21   14:4.8M                                   Blu Giant, LLC/FA
10/15/21  Northern Lights Fund Trust        485BPOS    10/15/21   14:4.5M                                   Blu Giant, LLC/FA
10/06/21  Northern Lights Fund Trust        485BPOS    10/06/21   14:3M                                     Blu Giant, LLC/FA
 8/27/21  Northern Lights Fund Trust        485BPOS     8/28/21   14:7.7M                                   Blu Giant, LLC/FA
 8/27/21  Northern Lights Fund Trust        485BPOS     8/28/21   19:7.9M                                   Blu Giant, LLC/FA
 8/26/21  Northern Lights Fund Trust        485BPOS     8/28/21    3:1.2M                                   Blu Giant, LLC/FA
 8/25/21  Northern Lights Fund Trust        485BPOS     8/28/21    3:1.1M                                   Blu Giant, LLC/FA
 8/25/21  Northern Lights Fund Trust        485BPOS     8/28/21    3:1.1M                                   Blu Giant, LLC/FA
 8/16/21  Northern Lights Fund Trust        485APOS¶   11/23/21    2:1.1M                                   Blu Giant, LLC/FA
 7/30/21  Northern Lights Fund Trust        485BPOS     7/30/21    4:1.5M                                   Blu Giant, LLC/FA
 7/23/21  Northern Lights Fund Trust        485APOS¶   11/08/21    3:1.2M                                   Blu Giant, LLC/FA
 6/04/21  Northern Lights Fund Trust        485BPOS     6/05/21    3:1.2M                                   Blu Giant, LLC/FA
 5/21/21  Northern Lights Fund Trust        POS EX      5/21/21    2:463K                                   Blu Giant, LLC/FA
 5/14/21  Northern Lights Fund Trust        485BPOS     5/15/21    4:1.4M                                   Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1M                                     Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:968K                                   Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    4:1.4M                                   Blu Giant, LLC/FA
 4/28/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1.1M                                   Blu Giant, LLC/FA
 4/27/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1M                                     Blu Giant, LLC/FA
 4/27/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1.1M                                   Blu Giant, LLC/FA
 4/27/21  Northern Lights Fund Trust        485BPOS     4/30/21    4:1.2M                                   Blu Giant, LLC/FA
 4/26/21  Northern Lights Fund Trust        485BPOS     4/30/21    3:1.3M                                   Blu Giant, LLC/FA
 4/06/21  Northern Lights Fund Trust        485APOS¶    4/06/21    2:1.2M                                   Blu Giant, LLC/FA
 3/26/21  Northern Lights Fund Trust        485BPOS     3/26/21    2:1.3M                                   Blu Giant, LLC/FA
 3/24/21  Northern Lights Fund Trust        485APOS¶    3/24/21    8:1.4M                                   Blu Giant, LLC/FA
 3/01/21  Northern Lights Fund Trust        485APOS¶    3/01/21    2:1.3M                                   Blu Giant, LLC/FA
 2/24/21  Northern Lights Fund Trust        485BPOS     2/28/21    4:2.3M                                   Blu Giant, LLC/FA
 2/04/21  Northern Lights Fund Trust        485BPOS     2/04/21    4:1.3M                                   Blu Giant, LLC/FA
 1/28/21  Northern Lights Fund Trust        485BPOS     1/28/21   14:5.5M                                   Blu Giant, LLC/FA
 1/28/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1.1M                                   Blu Giant, LLC/FA
 1/27/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1.1M                                   Blu Giant, LLC/FA
 1/26/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1M                                     Blu Giant, LLC/FA
 1/26/21  Northern Lights Fund Trust        485APOS¶    1/26/21    2:1.2M                                   Blu Giant, LLC/FA
 1/25/21  Northern Lights Fund Trust        485BPOS     1/28/21    4:1.1M                                   Blu Giant, LLC/FA
 1/25/21  Northern Lights Fund Trust        485BPOS     1/28/21    3:1.2M                                   Blu Giant, LLC/FA
12/07/20  Northern Lights Fund Trust        485BPOS    12/07/20    3:1.2M                                   Blu Giant, LLC/FA
11/30/20  Northern Lights Fund Trust        485APOS¶   11/30/20    2:1.1M                                   Blu Giant, LLC/FA
11/24/20  Northern Lights Fund Trust        485BPOS    11/30/20    3:1.5M                                   Blu Giant, LLC/FA
11/24/20  Northern Lights Fund Trust        485BPOS    11/30/20    3:950K                                   Blu Giant, LLC/FA
11/13/20  Northern Lights Fund Trust        485APOS                2:3.5M                                   Blu Giant, LLC/FA
10/27/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:1.5M                                   Blu Giant, LLC/FA
10/26/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:1.2M                                   Blu Giant, LLC/FA
10/26/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:2.1M                                   Blu Giant, LLC/FA
10/23/20  Northern Lights Fund Trust        485BPOS    10/28/20    4:2.1M                                   Blu Giant, LLC/FA
10/08/20  Northern Lights Fund Trust        485APOS¶   10/08/20    2:1.1M                                   Blu Giant, LLC/FA
 8/28/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:2M                                     Blu Giant, LLC/FA
 8/27/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:2.1M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.1M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.3M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.4M                                   Blu Giant, LLC/FA
 8/26/20  Northern Lights Fund Trust        485BPOS     8/28/20    3:1.1M                                   Blu Giant, LLC/FA
 8/10/20  Northern Lights Fund Trust        485BPOS     8/10/20    3:1.3M                                   Blu Giant, LLC/FA

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Filing Submission 0001580642-15-000315 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)