SEC Info - Northern Lights Fund Trust, et al. - ‘485BPOS’ on 12/23/13

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Northern Lights Fund Trust, et al. – ‘485BPOS’ on 12/23/13 – EX-99.D ADVSR CONTR

On: Monday, 12/23/13, at 5:09pm ET · Effective: 12/30/13 · Accession #: 910472-13-5433 · File #s: 811-21720, 333-122917

Previous ‘485BPOS’: ‘485BPOS’ on 12/23/13 · Next: ‘485BPOS’ on 12/26/13 · Latest: ‘485BPOS’ on 4/25/24 · 131 References:

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

12/23/13  Northern Lights Fund Trust        485BPOS    12/30/13   17:2.0M                                   Gemini Fund Svcs, LLC.
          → Altegris/AACA Opportunistic Real Estate Fund ⇒ 4 Classes/Contracts

Post-Effective Amendment
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485BPOS     Post-Effective Amendment                            HTML    769K 
 2: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     13K 
 3: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     51K 
 4: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     58K 
 5: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     51K 
 6: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     67K 
 7: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     57K 
 8: EX-99.D ADVSR CONTR  Miscellaneous Exhibit                      HTML     60K 
 9: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     51K 
10: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     17K 
11: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     15K 
12: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     20K 
13: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     20K 
14: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     16K 
15: EX-99.H OTH MAT CONT  Miscellaneous Exhibit                     HTML     22K 
16: EX-99.I LEGAL OPININ  Miscellaneous Exhibit                     HTML     18K 
17: EX-99.P CODE ETH  Miscellaneous Exhibit                         HTML     46K

EX-99.D ADVSR CONTR — Miscellaneous Exhibit

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

GemCom, LLC

FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENT

Between

NORTHERN LIGHTS FUND TRUST

and

MAKEFIELD CAPITAL MANAGEMENT, LLC

(FORMERLY MOSAIC CAPITAL MANAGEMENT, LLC)

THIS FIRST AMENDMENT TO THE INVESTMENT ADVISORY AGREEMENT is made and entered into as of November 22, 2013, between Northern Lights Fund Trust, a Delaware statutory trust (the "Trust"), and Makefield Capital Management, LLC (formerly Mosaic Capital Management, LLC)., a Pennsylvania, limited liability company (the "Adviser") located at 7535 Windsor Drive, Suite A205, Allentown, PA 18195.

RECITALS:

WHEREAS, the parties previously entered into that certain Investment Advisory Agreement between Northern Lights Fund Trust and Mosaic Capital Management, LLC dated as of March 23, 2011 (the “Agreement”);

WHEREAS, the Adviser subsequently changed its name from Mosaic Capital Management, LLC to Makefield Capital Management, LLC and the Mosaic Managed Futures Strategy Fund was renamed the Makefield Managed Futures Strategy Fund and the purpose of this Amendment is acknowledge and reflect the new name of the Adviser and the Fund;

NOW, THEREFORE, the parties hereto agree as follows:

The Agreement is hereby Amended to reflect the new name of the Adviser, Makefield Capital Management, LLC, and all references to Mosaic Capital Management, LLC shall be replaced with Makefield Capital Management, LLC.

All references in the Agreement to “Mosaic Managed Futures Strategy Fund” shall be replaced with “Makefield Managed Futures Strategy Fund”.

3. The parties acknowledge and agree that all provisions of the Agreement remain in full force and effect.

4. The Adviser hereby represents and confirms that there has not been any change in the ownership or management of the Adviser since the execution of the Agreement, nor any event or action that may constitute a change in “control,” as that term is defined in Section 2 of the Investment Company Act of 1940 ..

IN WITNESS WHEREOF, the parties have caused this First Amendment to be signed by their respective officers thereunto duly authorized as of the date and year first above written.

NORTHERN LIGHTS FUND TRUST

By: /s/ Andew Rogers

Name: Andrew Rogers

Title: President

MAKEFIELD CAPITAL MANAGEMENT, LLC

By: /s/ William P. Lynn

Name: William P. Lynn

Title: Chief Executive Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘485BPOS’ Filing	Date	Other Filings

Effective on:	12/30/13	485BPOS, N-Q, NSAR-A, NSAR-A/A
Filed on:	12/23/13	24F-2NT, 485BPOS, 497, AW
	11/22/13	N-14
	3/23/11
		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 0000910472-13-005433 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)