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(a)(1)
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Agreement and Declaration of Trust dated January 19, 2005, as amended December 14, 2009 previously filed on March 24, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 133, and hereby incorporated by reference.
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(a)(2)
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Certificate of Trust as filed with the State of Delaware on January 19, 2005. Previously filed on February 18, 2005 to the Registrant's Registration Statement on Form N-1A, and hereby incorporated by reference.
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(b)
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By-Laws, effective as of January 19, 2005, as amended December 14, 2009, previously filed on March 24, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 133, and hereby incorporated by reference
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(c)
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Instruments Defining Rights of Security Holders. See Article III, Shares and Article V Shareholders Voting Powers and Meetings of the Registrants Agreement and Declaration of Trust. See also, Article II, Meetings of Shareholders of the Registrants By-Laws.
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(d)(1)
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Investment Advisory Agreement between the Registrant, with respect to the Adaptive Allocation Fund (previously known as Critical Math Fund), and Critical Math Advisors LLC, previously filed on January 30, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 8, and hereby incorporated by reference.
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(d)(2)
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Investment Advisory Agreement between the Registrant, with respect to The Biondo Growth Fund, and Biondo Investment Advisors, LLC, previously filed on April 24, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 11, and hereby incorporated by reference.
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(d)(3)
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Investment Advisory Agreement between Arrow Investment Advisors, LLC and the Registrant, with respect to the Arrow DWA Balanced Fund and Arrow DWA Tactical Fund, previously filed on June 2, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 45, and hereby incorporated by reference. Updated Investment Advisory Agreement to include Arrow DWA Systematic RS Fund to be filed by amendment.
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(d)(4)
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Sub-Advisory Agreement between Arrow Investment Advisors, LLC and Dorsey, Wright & Associates, Inc., with respect to Arrow DWA Balanced Fund, is incorporated by reference to Post-Effective Amendment No. 17 to the Registrants Registration Statement on Form N-1A, filed on March 2, 2007.
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(d)(5)
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Investment Advisory Agreement between the Registrant, with respect to the Autopilot Managed Growth Fund, and Rhoads Lucca Capital Partners, LP, previously filed on January 12, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 16, and hereby incorporated by reference.
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(d)(6)
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Investment Advisory Agreement between the Registrant, with respect to the Changing Parameters Fund, and Changing Parameters, LLC, previously filed on January 12, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 16, and hereby incorporated by reference.
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(d)(7)
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Investment Advisory Agreement between the Registrant, with respect to the Pacific Financial Core Equity Fund, the Pacific Financial Explorer Fund, the Pacific Financial International Fund, the Pacific Financial Strategic Conservative Fund and the Pacific Financial Tactical Fund, and The Pacific Financial Group, Inc., previously filed on May 10, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 21, and hereby incorporated by reference.
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(d)(8)
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Investment Advisory Agreement between the Registrant, with respect to Gratio Values Fund, and Sherwood Advisors, LLC (D.B.A. Gratio Capital) previously filed on October 20, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 109, and hereby incorporated by reference.
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(d)(9)
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Investment Advisory Agreement between the Registrant, with respect to Arrow Alternative Solutions Fund, and Arrow Investment Advisors, LLC, previously filed on July 31, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 27, and hereby incorporated by reference.
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(d)(10)
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Investment Advisory Agreement between the Registrant, with respect to Sierra Core Retirement Fund and Wright Fund Management, LLC, previously filed on December 17, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 35, and hereby incorporated by reference.
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(d)(11)
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Investment Advisory Agreement between the Registrant and Wintrust Capital Management Company, LLC (formerly known as Wayne Hummer Asset Management Company), with respect to Wintrust Capital Disciplined Equity Fund (formerly known as Wayne Hummer Large Cap Core Fund), Wayne Hummer Real Estate 130/30 Fund and Wintrust Capital Small Cap Opportunity Fund (formerly known as Wayne Hummer Small Cap Core Fund) previously filed on November 28, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 72, and hereby incorporated by reference.
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(d)(12)
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Investment Sub-Advisory Agreement between Arrow Investment Advisors, LLC and Dorsey, Wright & Associates, Inc., with respect to Arrow DWA Tactical Fund, previously filed on April 18, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 41, and hereby incorporated by reference.
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(d)(13)
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Interim Investment Advisory Agreement between the Registrant, with respect to EAS Crow Point Alternatives Fund and Crow Point Partners, LLC, previously filed on March 7, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 469, and hereby incorporated by reference.
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(d)(14)
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Investment Advisory Agreement between the Registrant, with respect to KCM Macro Trends Fund and Kerns Capital Management, Inc., previously filed on April 18, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 41, and hereby incorporated by reference.
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(d)(15)
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Investment Advisory Agreement between the Registrant, with respect to EM Capital India Gateway Fund and EM Capital Management, LLC, previously filed on September 8, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 61, and hereby incorporated by reference.
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(d)(16)
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Investment Advisory Agreement between the Registrant, with respect to the MutualHedge Event Driven Legends Fund and MutualHedge Long-Short Legends Fund, and Equinox Fund Management, LLC, previously filed on October 10, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 65, and hereby incorporated by reference.
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(d)(17)
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Investment Advisory Agreement between the Registrant, with respect to the Generations Multi-Strategy Fund and Three G Financial, LLC, previously filed on August 21, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 58, and hereby incorporated by reference.
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(d)(18)
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Investment Advisory Agreement between the Registrant, with respect to the Wade Tactical L/S Fund and Wade Financial Group, previously filed on November 28, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 436, and hereby incorporated by reference.
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(d)(19)
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Form of Investment Advisory Agreement between SouthernSun Asset Management, Inc. and the Registrant, on behalf of SouthernSun Small Cap Fund and SouthernSun U.S. Equity Fund, previously filed on July 22, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 285, and hereby incorporated by reference.
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(d)(20)
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Investment Advisory Agreement between the Registrant, with respect to the Toews Hedged Emerging Markets Fund and Toews Corporation previously filed on May 14, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 87, and hereby incorporated by reference.
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(d)(21)
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Investment Advisory Agreement between the Registrant, with respect to the Leader Short Term Bond Fund and Leader Capital Corp., previously filed on October 20, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 66, and hereby incorporated by reference.
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(d)(22)
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Investment Sub-Advisory Agreement between Arrow Investment Advisors, LLC and Dorsey, Wright & Associates, Inc., with respect to Arrow DWA Systematic RS Fund to be filed by amendment.
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(d)(23)
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Investment Advisory Agreement between the Registrant, with respect to the CMG Absolute Return Strategies Fund and CMG Capital Management Group, Inc., previously filed on March 9, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 80, and hereby incorporated by reference. Form of Investment Advisory Agreement between the Registrant, with respect to the CMG SR Tactical Bond Fund and CMG Capital Management Group, Inc. as last updated on June 17, 2013 previously filed on June 17, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 496, and hereby incorporated by reference.
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(d)(24)
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Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and Anchor Capital Management Group, LLC, with respect to CMG Absolute Return Strategies Fund previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
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(d)(25)
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Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and Traub Capital Management, LLC, with respect to CMG Absolute Return Strategies Fund previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
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(d)(26)
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Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and Heritage Capital, LLC, with respect to CMG Absolute Return Strategies Fund previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
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(d)(27)
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Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and Scotia Partners, Ltd., with respect to CMG Absolute Return Strategies Fund previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
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(d)(28)
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Investment Advisory Agreement between the Registrant, with respect to the Incline Capital Smart Switch Fund and Incline Asset Management, LLC previously filed on January 14, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 121, and hereby incorporated by reference.
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(d)(29)
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Investment Advisory Agreement between the Registrant, with respect to The Currency Strategies Fund and Sarasota Capital Partners, LLC previously filed on April 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 83, and hereby incorporated by reference.
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(d)(30)
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Investment Advisory Agreement between Bull Path Capital Management LLC and the Registrant, with respect to The Long-Short Fund and Bull Path Mid-Cap Growth Fund previously filed on April 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 83, and hereby incorporated by reference.
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(d)(31)
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Investment Advisory Agreement between Summit Portfolio Advisors, LLC and the Registrant, with respect to The Collar Fund previously filed on May 11, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 85, and hereby incorporated by reference.
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(d)(32)
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Investment Advisory Agreement between Montebello Partners, LLC and the Registrant, with respect to the GMG Defensive Beta Fund previously filed on June 24, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 91, and hereby incorporated by reference.
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(d)(33)
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Investment Advisory Agreement between Chariot Advisors, LLC and the Registrant, with respect to the Chariot Absolute Return Currency Fund previously filed on July 10, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 93, and hereby incorporated by reference.
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(d)(34)
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Investment Sub-Advisory Agreement between Wintrust Capital Management Company, LLC (formerly known as Wayne Hummer Asset Management Company, LLC) and Advanced Investment Partners, LLC, with respect to Wintrust Capital Disciplined Equity Fund (formerly known as Wayne Hummer Large Cap Core Fund) previously filed on June 24, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 91, and hereby incorporated by reference.
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(d)(35)
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Investment Advisory Agreement between BTS Asset Management, Inc. and the Registrant, with respect to the BTS Bond Asset Allocation Fund previously filed on July 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 94, and hereby incorporated by reference.
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(d)(36)
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Investment Advisory Agreement between Astor Asset Management, LLC and the Registrant, with respect to the Astor Long/Short Fund previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
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(d)(37)
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Investment Advisory Agreement between Rady Asset Management, LLC and the Registrant, with respect to the Rady Opportunistic Value Fund and Rady Contrarian Long/Short Fund (formerly known as Rady Opportunistic Fund and Rady Contrarian Fund) previously filed on September 25, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 106, and hereby incorporated by reference.
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(d)(38)
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Investment Advisory Agreement between Lacerte Capital Advisors, LLC and the Registrant, with respect to The Guardian Fund previously filed on September 25, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 106, and hereby incorporated by reference.
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(d)(39)
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Investment Advisory Agreement between Equinox Fund Management, LLC and the Registrant, with respect to MutualHedge Frontier Legends Fund previously filed on January 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 122, and hereby incorporated by reference.
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(d)(40)
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Interim Investment Advisory Agreement between Winans International Investment Management, Inc. and the Registrant, with respect to Winans Long/Short Fund (known previously as Biltmore Momentum/Dynamic ETF Fund) previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
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(d)(41)
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Investment Advisory Agreement between WI Mutual Funds, LLC and the Registrant, with respect to Winans Long/Short Fund previously filed on November 20, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 113, and hereby incorporated by reference.
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(d)(42)
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Investment Sub-Advisory Agreement between WI Mutual Funds, LLC and Winans International, Inc., with respect to Winans Long/Short Fund previously filed on November 20, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 113, and hereby incorporated by reference.
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(d)(43)
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Investment Advisory Agreement between Investment Partners Asset Management, Inc. and the Registrant, with respect to Investment Partners Opportunities Fund previously filed on October 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 111, and hereby incorporated by reference.
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(d)(44)
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Sub-Advisory Agreement between the Registrant, with respect to the Generations Multi-Strategy Fund and FocusPoint Solutions, Inc. previously filed on January 14, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 121, and hereby incorporated by reference.
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(d)(45)
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Investment Advisory Agreement between Biondo Investment Advisors, LLC and the Registrant, with respect to The Biondo Focus Fund previously filed on January 14, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 121, and hereby incorporated by reference.
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(d)(46)
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Investment Advisory Agreement between Toews Corporation and the Registrant, with respect to Toews Hedged International Fund, Toews Hedged High Yield Fund, Toews Hedged Large-Cap Fund and Toews Hedged Small & Mid Cap Fund previously filed on June 4, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 156, and hereby incorporated by reference.
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(d)(47)
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Investment Advisory Agreement between Strategic Investing Funds, LLC and the Registrant, with respect to the Strategic Investing Long/Short Fund previously filed on January 28, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 124, and hereby incorporated by reference.
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(d)(48)
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Investment Advisory Agreement between Arrow Investment Advisors, LLC and the Registrant, with respect to Arrow Managed Futures Trend Fund previously filed on April 28, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 146, and hereby incorporated by reference.
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(d)(49)
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Investment Advisory Agreement between Capstone Investment Financial Group, Inc. and the Registrant, with respect to CIFG MaxBalanced
SM
Fund previously filed on March 24, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 133, and hereby incorporated by reference
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(d)(50)
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Sub-Advisory Agreement between Capstone Investment Financial Group, Inc and Dunn Warren Investment Advisors, LLC, with respect to the CIFG MaxBalanced
SM
Fund previously filed on March 24, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 133, and hereby incorporated by reference
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(d)(51)
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Investment Advisory Agreement between Mount Yale Asset Management, LLC and the Registrant, with respect to Princeton Futures Strategy Fund previously filed on July 8, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 164, and hereby incorporated by reference.
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(d)(52)
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Sub-Advisory Agreement between Mount Yale Asset Management, LLC and 6800 Capital, LLC, with respect to the Princeton Futures Strategy Fund previously filed on June 15, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 161, and hereby incorporated by reference
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(d)(53)
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Sub-Advisory Agreement between Mount Yale Asset Management, LLC and Congress Asset Management Company, LLP, with respect to the Princeton Futures Strategy Fund previously filed on June 15, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 161, and hereby incorporated by reference.
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(d)(54)
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Investment Advisory Agreement between Chadwick & DAmato, LLC and the Registrant, with respect to Chadwick & DAmato Fund previously filed on June 10, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 157, and hereby incorporated by reference.
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(d)(55)
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Investment Advisory Agreement between 13D Management, LLC and the Registrant, with respect to 13D Activist Fund previously filed on December 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 345, and hereby incorporated by reference.
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(d)(56)
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Investment Advisory Agreement between Capstone Investment Financial Group, Inc. and the Registrant, with respect to CIFG MaxOpp
SM
Fund previously filed on July 14, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 165, and hereby incorporated by reference.
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(d)(57)
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Sub-Advisory Agreement between Capstone Investment Financial Group, Inc and Dunn Warren Investment Advisors, LLC, with respect to the CIFG MaxOpp
SM
Fund previously filed on July 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 167, and hereby incorporated by reference.
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(d)(58)
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Investment Advisory Agreement between Leader Capital Corp. and the Registrant, with respect to Leader Total Return Fund previously filed on June 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 162, and hereby incorporated by reference.
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(d)(59)
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Investment Advisory Agreement between Altegris Advisors, LLC and the Registrant, with respect to Altegris Managed Futures Strategy Fund previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
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(d)(60)
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Investment Sub-Advisory Agreement between Altegris Advisors, LLC and Rodney Square Management Corporation, with respect to Altegris Managed Futures Strategy Fund previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference
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(d)(61)
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Investment Advisory Agreement between W.E. Donoghue & Co., Inc. and the Registrant, with respect to Power Income Fund previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
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(d)(62)
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Investment Advisory Agreement between Portfolio Strategies, Inc. and the Registrant, with respect to PSI Market Neutral Fund, PSI Total Return Fund, PSI Strategic Growth Fund and PSI Tactical Growth Fund previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
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(d)(63)
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Investment Advisory Agreement between RAM Capital Management, LLC and the Registrant, with respect to RAM Risk-Managed Growth Fund previously filed on July 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 166, and hereby incorporated by reference
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(d)(64)
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Investment Advisory Agreement between Gratio Capital, Inc. and the Registrant, with respect to GoalMine Fixed Income Fund and GoalMine Balanced Growth Fund previously filed on July 8, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 164, and hereby incorporated by reference.
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(d)(65)
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Investment Advisory Agreement between Bishop Asset Management, LLC and the Registrant, with respect to Bishop Volatility Flex Fund is previously filed on October 7, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 180, and hereby incorporated by reference.
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(d)(66)
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Investment Advisory Agreement between CWC Advisors, LLC and the Registrant, with respect to CWC Small Cap Aggressive Value Fund previously filed on November 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 186, and hereby incorporated by reference.
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(d)(67)
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Investment Advisory Agreement between Traub Capital Management, LLC and the Registrant, with respect to The FX Strategy Fund previously filed on January 20, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 201, and hereby incorporated by reference.
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(d)(68)
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Investment Advisory Agreement between Arrow Investment Advisors, LLC and the Registrant, with respect to Arrow Commodity Strategy Fund was previously filed on June 10, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 272, and hereby incorporated by reference.
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(d)(69)
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Investment Advisory Agreement between BBW Capital Advisors and the Registrant, with respect to TransWestern Institutional Short Duration Government Bond Fund previously filed on December 2, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 187, and hereby incorporated by reference.
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(d)(70)
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Investment Sub-Advisory Agreement between BBW Capital Advisors and Loomis, Sayles & Company, L.P., with respect to TransWestern Institutional Short Duration Government Bond Fund previously filed on December 2, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 187, and hereby incorporated by reference.
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(d)(71)
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Investment Advisory Agreement between 7Twelve Advisors, LLC, and the Registrant, with respect to 7Twelve Balanced Fund previously filed on February 3, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 207, and hereby incorporated by reference.
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(d)(72)
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Investment Advisory Agreement between Bandon Capital Management, LLC, and the Registrant, with respect to Bandon Isolated Alpha Fixed Income Fund previously filed on December 3, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 189, and hereby incorporated by reference.
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(d)(73)
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Sub-Advisory Agreement between Bandon Capital Management, LLC and Dix Hills Partners, LLC, with respect to the Bandon Isolated Alpha Fixed Income Fund previously filed on December 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 193, and hereby incorporated by reference.
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(d)(74)
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Sub-Advisory Agreement between Bandon Capital Management, LLC and Logan Circle Partners, L.P. with respect to the Bandon Isolated Alpha Fixed Income Fund previously filed on December 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 193, and hereby incorporated by reference.
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(d)(75)
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Investment Advisory Agreement between Beech Hill Advisors, Inc., and the Registrant, with respect to Beech Hill Total Return Fund previously filed on January 5, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 196, and hereby incorporated by reference.
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(d)(76)
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Investment Advisory Agreement between Clark Capital Management Group, Inc., and the Registrant, with respect to Navigator Equity Hedged Fund previously filed on November 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 186, and hereby incorporated by reference.
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(d)(77)
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Investment Advisory Agreement between Tatro Capital, LLC, and the Registrant, with respect to Tatro Capital Tactical Appreciation Fund previously filed on February 3, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 207, and hereby incorporated by reference.
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(d)(78)
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Investment Advisory Agreement between Knollwood Investment Advisors, LLC, and the Registrant, with respect to Grant Park Managed Futures Strategy Fund previously filed on March 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 226, and hereby incorporated by reference. Transfer and Assumption Agreement between Knollwood Investment Advisors, LLC, and Dearborn Capital Management, L.L.C., with respect to the Investment Advisory Agreement specific as to the Grant Park Managed Futures Strategy Fund previously filed on May 31, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 491, and hereby incorporated by reference.
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(d)(79)
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Investment Advisory Agreement between GPS Capital Management, LLC, and the Registrant, with respect to GPS Multiple Strategy Fund previously filed on April 21, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 240, and hereby incorporated by reference.
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(d)(80)
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Investment Advisory Agreement between Risk Paradigm Group, LLC, and the Registrant, with respect to Diversified Risk Parity Fund previously filed on April 21, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 240, and hereby incorporated by reference.
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(d)(81)
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Investment Advisory Agreement between Genesis Capital LLC, and the Registrant, with respect to SCA Absolute Return Fund and SCA Directional Fund previously filed on April 21, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 240, and hereby incorporated by reference.
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(d)(82)
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Form of Investment Advisory Agreement between Avant Capital Management, LLC, and the Registrant, with respect to Avant Gold Bullion Strategy Fund previously filed on November 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 327, and hereby incorporated by reference.
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(d)(83)
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Sub-Advisory Agreement between Emerald Asset Advisors, LLC and CWM, LLC with respect to the EAS Funds to be filed by amendment.
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(d)(84)
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Form of Investment Advisory Agreement between Altegris Advisors, LLC and the Registrant, with respect to Altegris Macro Strategy Fund previously filed on May 16, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 251, and hereby incorporated by reference.
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(d)(85)
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Investment Advisory Agreement between Zeo Capital Advisors, LLC and the Registrant, with respect to Zeo Strategic Income Fund previously filed on May 27, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 261, and hereby incorporated by reference.
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(d)(86)
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Investment Advisory Agreement between Giralda Advisors, LLC. and the Registrant, with respect to The Giralda Fund previously filed on May 4, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 245, and hereby incorporated by reference.
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(d)(87)
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Form of Investment Advisory Agreement between Van Hulzen Asset Management, LLC and the Registrant, with respect to Iron Horse Fund previously filed on May 11, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 249, and hereby incorporated by reference.
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(d)(88)
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Investment Advisory Agreement between Mosaic Capital Management, LLC and the Registrant, with respect to Mosaic Managed Futures Strategy Fund previously filed on June 3, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 264, and hereby incorporated by reference.
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(d)(89)
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Form of Investment Advisory Agreement between Fusion Investment Group, LLC and the Registrant, with respect to Global Fusion Tactical Equity Fund and Global Fusion Long/Short Fund filed on May 23, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 255, and hereby incorporated by reference.
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(d)(90)
|
Form of Investment Advisory Agreement between Astor Asset Management, LLC and the Registrant, with respect to Astor Active Income ETF Fund and Astor Style Preferred Growth ETF Fund previously filed on May 24, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 256, and hereby incorporated by reference.
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(d)(91)
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Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and American Independence Financial Services, LLC, with respect to CMG Absolute Return Strategies Fund previously filed on March 14, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 230, and hereby incorporated by reference.
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(d)(92)
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Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and Howard Capital Management, Inc. with respect to CMG Absolute Return Strategies Fund previously filed on March 14, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 230, and hereby incorporated by reference.
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(d)(93)
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Form of Investment Advisory Agreement between Altrius Institutional Asset Management, LLC and the Registrant, with respect to Altrius Small Cap Value Fund previously filed on June 13, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 273, and hereby incorporated by reference.
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(d)(94)
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Form of Investment Advisory Agreement between Ascendant Advisors, LLC and the Registrant, with respect to Ascendant Balanced Fund, Ascendant Natural Resources Fund, Ascendant Natural Resources Master Fund, Ascendant MultiCap Equity Fund and Patriot Fund previously filed on March 19, 2012 to the Registrants Registration Statement in Amendment No. 366, and hereby incorporated by reference.
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(d)(95)
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Investment Advisory Agreement between Winch Advisory Services, LLC and the Registrant, with respect to Ginkgo Multi-Strategy Fund previously filed on July 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 282, and hereby incorporated by reference.
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(d)(96)
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Form of Investment Advisory Agreement between Absolute Private Wealth Management LLC and the Registrant, with respect to Quantitative Managed Futures Strategy Fund previously filed on July 22, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 284, and hereby incorporated by reference.
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(d)(97)
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Form of Investment Sub-Advisory Agreement between Absolute Private Wealth Management LLC and Horizon Cash Management LLC, with respect to Quantitative Managed Futures Strategy Fund previously filed on July 22, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 284, and hereby incorporated by reference.
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(d)(98)
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Form of Investment Advisory Agreement between Peregrine Capital Advisors, Inc. and the Registrant, with respect to Peregrine Gold Silver Alpha Strategy Fund previously filed on August 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 298, and hereby incorporated by reference.
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(d)(99)
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Investment Advisory Agreement between Triex Financial Services, Inc. and the Registrant, with respect to Triex Long/Short Fund previously filed on July 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 289, and hereby incorporated by reference.
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(d)(100)
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Investment Advisory Agreement between Toews Corporation and the Registrant, with respect to Toews Hedged Commodities Fund to be filed by amendment.
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(d)(101)
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Form of Investment Advisory Agreement between Avant Capital Management, LLC and the Registrant, with respect to Avant Gold Coin Strategy Fund previously filed on October 18, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 317, and hereby incorporated by reference.
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(d)(102)
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Investment Advisory Agreement between Altegris Advisors, LLC and the Registrant, with respect to Altegris Futures Evolution Strategy Fund previously filed on October 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 318, and hereby incorporated by reference.
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(d)(103)
|
Investment Sub-Advisory Agreement between Altegris Advisors, LLC and Doubleline Capital LP, with respect to Altegris Futures Evolution Strategy Fund previously filed on October 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 318, and hereby incorporated by reference.
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(d)(104)
|
Investment Advisory Agreement between Risk Paradigm Group, LLC and the Registrant, with respect to RPG Emerging Market Premium Sector Rotation Fund previously filed on November 28, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 341, and hereby incorporated by reference.
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(d)(105)
|
Form of Investment Sub-Advisory Agreement between Risk Paradigm Group, LLC and F-Squared Institutional Advisors, LLC, with respect to RPG Emerging Market Premium Sector Rotation Fund previously filed on November 28, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 341, and hereby incorporated by reference.
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(d)(106)
|
Interim Investment Advisory Agreement between Preservation Trust Advisors, LLC and the Registrant, with respect to The Long-Short Fund previously filed on September 2, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 304, and hereby incorporated by reference.
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(d)(107)
|
Form of Investment Advisory Agreement between Rady Asset Management, LLC and the Registrant, with respect to the Rady Monthly High Income Fund, Rady Bear Fund, Rady Commodity Equity Fund, Rady Small Cap Value Fund, Rady Growth and Income Fund, Rady Tactical Long/Short Fund and Rady Multi-Strategy Alternative Fund previously filed on December 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 344, and hereby incorporated by reference.
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(d)(108)
|
Investment Advisory Agreement between Ascendant Advisors, LLC and the Registrant, with respect to the Patriot Fund previously filed on January 9, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 346, and hereby incorporated by reference.
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(d)(109)
|
Investment Advisory Agreement between Preservation Trust Advisors, LLC and the Registrant, with respect to the PTA Comprehensive Alternatives Fund previously filed on November 25, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 336, and hereby incorporated by reference.
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(d)(110)
|
Investment Advisory Agreement between CMG Capital Management Group, Inc. and the Registrant, with respect to the CMG Tactical Equity Strategy Fund previously filed on March 12, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 363, and hereby incorporated by reference.
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(d)(111)
|
Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and Scotia Partners, LLC, with respect to the CMG Tactical Equity Strategy Fund previously filed on March 12, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 363, and hereby incorporated by reference.
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(d)(112)
|
Form of Investment Advisory Agreement between Altegris Advisors, L.L.C. and the Registrant, with respect to Altegris Equity Long Short Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 368, and hereby incorporated by reference.
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(d)(113)
|
Form of Investment Sub-Advisory Agreement between Altegris Advisors, L.L.C. and Harvest Capital Strategies, LLC, with respect to the Altegris Equity Long Short Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 368, and hereby incorporated by reference.
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(d)(114)
|
Form of Investment Sub-Advisory Agreement between Altegris Advisors, L.L.C. and OMT Capital Management LLC, with respect to the Altegris Equity Long Short Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 369, and hereby incorporated by reference.
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(d)(115)
|
Investment Advisory Agreement between Wright Fund Management, LLC and the Registrant, with respect to the Sierra Strategic Income Fund previously filed on December 21, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 343, and hereby incorporated by reference.
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(d)(116)
|
Form of Investment Advisory Agreement between Princeton Fund Advisors, LLC, Eagle Global Advisors, LLC and the Registrant, with respect to the Eagle MLP Strategy Fund previously filed on June 12, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 386, and hereby incorporated by reference.
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(d)(117)
|
Form of Investment Sub-Advisory Agreement between Altegris Advisors, L.L.C. and Visium Asset Management LP, with respect to the Altegris Equity Long Short Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 369, and hereby incorporated by reference.
|
(d)(118)
|
Form of Investment Advisory Agreement between Princeton Fund Advisors, LLC and the Registrant, with respect to the Sandalwood Opportunity Fund previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
|
(d)(119)
|
Form of Investment Sub-Advisory Agreement between Princeton Fund Advisors, LLC and Sandalwood Securities, Inc., with respect to the Sandalwood Opportunity Fund previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
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(d)(120)
|
Form of Investment Sub-Advisory Agreement between Princeton Fund Advisors, LLC and Deer Park Road Corporation, with respect to the Sandalwood Opportunity Fund previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
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(d)(121)
|
Form of Investment Sub-Advisory Agreement between Princeton Fund Advisors, LLC and Acuity Capital Management, LLC, with respect to the Sandalwood Opportunity Fund previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
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(d)(122)
|
Form of Investment Sub-Advisory Agreement between Princeton Fund Advisors, LLC and MidOcean Credit Fund Management, L.P., with respect to the Sandalwood Opportunity previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
|
(d)(123)
|
Form of Investment Sub-Advisory Agreement between Princeton Fund Advisors, LLC and Whippoorwill Associates, Inc., with respect to the Sandalwood Opportunity Fund previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
|
(d)(124)
|
Form of Investment Advisory Agreement between Altegris Advisors, L.L.C. and the Registrant, with respect to Altegris Fixed Income Long Short Fund previously filed on December 18, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 445, and hereby incorporated by reference.
|
(d)(125)
|
Form of Investment Sub-Advisory Agreement between Altegris Advisors, L.L.C. and RockView Management, LLC, with respect to the Altegris Fixed Income Long Short Fund previously filed on December 18, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 445, and hereby incorporated by reference..
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(d)(126)
|
Form of Investment Advisory Agreement between The Pacific Financial Group, Inc. and the Registrant, with respect to the Pacific Financial Alternative Strategies Fund, Pacific Financial Flexible Growth & Income Fund, Pacific Financial Balanced Fund, Pacific Financial Foundational Asset Allocation Fund, Pacific Financial Faith & Values Based Moderate Fund, Pacific Financial Faith & Values Based Conservative Fund and Pacific Financial Faith & Values Based Aggressive Fund previously filed on December 31, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 447, and hereby incorporated by reference...
|
(d)(127)
|
Form of Investment Advisory Agreement between Altegris Advisors, LLC and the Registrant, with respect to the Altegris Multi-Strategy Alternative Fund previously filed on February 20, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 462, and hereby incorporated by reference.
|
(d)(128)
|
Investment Advisory Agreement between BTS Asset Management, Inc. and the Registrant, with respect to the BTS Diversified Income Fund previously filed on February 12, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 459, and hereby incorporated by reference.
|
(d)(129)
|
Investment Advisory Agreement between CMG Capital Management Group, Inc. and the Registrant, with respect to the CMG Global Equity Fund previously filed on May 30, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 488, and hereby incorporated by reference..
|
(d)(130)
|
Form of Investment Sub-Advisory Agreement between CMG Capital Management Group, Inc. and Alpha Simplex Group, LLC, with respect to the CMG Global Equity Fund previously filed on May 1, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 485, and hereby incorporated by reference..
|
(d)(131)
|
Investment Advisory Agreement between BTS Asset Management, Inc. and the Registrant, with respect to the BTS Tactical Fixed Income Fund to be filed by amendment.
|
(d)(132)
|
Assignment and Consent between the Registrant, Emerald Asset Advisors, LLC and Crow Point Partners, LLC previously filed on March 7, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 469, and hereby incorporated by reference.
|
(d)(133)
|
Form of Investment Advisory Agreement between Toews Corporation and the Registrant, with respect to the Toews Unconstrained Income Fund previously filed on June 26, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 501, and hereby incorporated by reference.
|
(d)(134)
|
Investment Advisory Agreement between CMG Capital Management Group, Inc. and the Registrant, with respect to the CMG Managed High Yield Fund to be filed by amendment.
|
(d)(135)
|
Advisory Fee Waiver between Traub Capital Management, LLC. and the Registrant, with respect to The FX Strategy Fund previously filed on April 30, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 480, and hereby incorporated by reference.
|
(d)(136)
|
Investment Advisory Agreement between Giralda Advisors, LLC and the Registrant, with respect to The Giralda Fund previously filed on May 30, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 488, and hereby incorporated by reference
.
|
(d)(137)
|
Investment Advisory Agreement between Clark Capital Management Group, Inc. and the Registrant, with respect to Navigator Duration Neutral Municipal Bond Fund to be filed by amendment.
|
(d)(138)
|
Investment Sub-Advisory Agreement between Clark Capital Management Group, Inc. and Main Point Advisers, LLC, with respect to the Navigator Duration Neutral Municipal Bond Fund to be filed by amendment.
|
(d)(139)
|
Investment Advisory Agreement between Probabilities Fund Management, LLC and the Registrant, with respect to the Probabilities Fund to be filed by amendment.
|
(d)(140)
|
Investment Advisory Agreement between W.E. Donoghue & Co., Inc. and the Registrant, with respect to the Power Dividend Index Fund to be filed by amendment.
|
(d)(141)
|
Advisory Fee Waiver Agreement between Van Hulzen Asset Management, LLC and the Registrant, with respect to Iron Horse Fund is filed herewith.
|
(e)(1)
|
Underwriting Agreement between the Registrant and Northern Lights Distributors LLC, previously filed on March 15, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 471, and hereby incorporated by reference.
|
(e)(2)
|
Underwriting Agreement between the Registrant and Foreside Distribution Services, LP with respect to The Leader Short-Term Bond Fund, previously filed on October 20, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 66, and hereby incorporated by reference.
|
(f)
|
Bonus or Profit Sharing Contracts - NONE
|
(g)(1)
|
Custody Agreement between the Registrant and The Bank of New York Mellon, previously filed on October 3, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 29, and hereby incorporated by reference.
|
(g)(2)
|
Custody Agreement between the Registrant and the First National Bank of Omaha is hereby incorporated by reference to Post-Effective Amendment No. 17 to the Registrants Registration Statement on Form N-1A, filed on March 2, 2007.
|
(g)(3)
|
Custody Agreement between the Registrant and Union Bank, N.A., previously filed on October 20, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 66, and hereby incorporated by reference.
|
(g)(4)
|
Custody Agreement between the Registrant and Fifth Third Bank, previously filed on October 20, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 66, and hereby incorporated by reference.
|
(g)(5)
|
Custody Agreement between the Registrant and JPMorgan Chase Bank, N.A. previously filed on August 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 302, and hereby incorporated by reference.
|
(h)(1)
|
Fund Accounting Service Agreement between the Registrant and Gemini Fund Services, LLC, previously filed on October 3, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 29, and hereby incorporated by reference.
|
(h)(2)
|
Administration Service Agreement between the Registrant and Gemini Fund Services, LLC, previously filed on October 3, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 29, and hereby incorporated by reference.
|
(h)(3)
|
Transfer Agency Service Agreement between the Registrant and Gemini Fund Services, LLC, previously filed on October 3, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 29, and hereby incorporated by reference.
|
(h)(4)
|
Expense Limitation Agreement between the Registrant, with respect to the Adaptive Allocation Fund (previously known as Critical Math Fund), and Critical Math Advisors LLC, previously filed on January 30, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 8, and hereby incorporated by reference.
|
(h)(5)
|
Expense Limitation Agreement between the Registrant, with respect to The Biondo Growth Fund, and Biondo Investment Advisors, LLC, previously filed on April 24, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 11, and hereby incorporated by reference.
|
(h)(6)
|
Expense Limitation Agreement between the Registrant, with respect to the Winans Long/Short Fund (known previously as Biltmore Momentum/Dynamic ETF Fund) and Capital Group, Inc. (D.B.A. Biltmore Investment Group), previously filed on May 31, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 13, and hereby incorporated by reference.
|
(h)(7)
|
Expense Limitation Agreement between Arrow Investment Advisors, LLC and the Registrant, with respect to Arrow DWA Balanced Fund, Arrow DWA Tactical Fund and Arrow Alternative Solutions Fund, previously filed on May 30, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 45, and hereby incorporated by reference. Updated Expense Limitation Agreement to include Arrow DWA Systematic RS Fund previously filed on January 28, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 124, and hereby incorporated by reference. Updated Expense Limitation Agreement between Arrow Investment Advisors, LLC and the Registrant, with respect to Arrow Commodity Strategy Fund previously filed on October 14, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 314 and hereby incorporated by reference.
|
(h)(8)
|
Expense Limitation Agreement between the Registrant, with respect to the Autopilot Managed Growth Fund, and Rhoads Lucca Capital Partners, LP previously filed on January 12, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 16, and hereby incorporated by reference.
|
(h)(9)
|
Expense Limitation Agreement between the Registrant, with respect to the Pacific Financial Core Equity Fund, the Pacific Financial Explorer Fund, the Pacific Financial International Fund, the Pacific Financial Strategic Conservative Fund and the Pacific Financial Tactical Fund, and The Pacific Financial Group, Inc. previously filed on May 10, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 21, and hereby incorporated by reference.
|
(h)(10)
|
Expense Limitation Agreement between the Registrant, with respect to The Gratio Values Fund, and Sherwood Advisors, LLC (D.B.A. Gratio Capital) previously filed on October 20, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 109, and hereby incorporated by reference.
|
(h)(11)
|
Expense Limitation Agreement between the Registrant, with respect to Sierra Core Retirement Fund and Wright Fund Management, LLC, previously filed on December 17, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 35, and hereby incorporated by reference. Form of revised Expense Limitation Agreement between the Registrant, with respect to Sierra Core Retirement Fund and Wright Fund Management, LLC previously filed on June 1, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 380, and hereby incorporated by reference.
|
(h)(12)
|
Custody Administration Agreement between Registrant and the Administrator, with respect to certain Funds of the Trust that use First National Bank of Omaha as Custodian, is hereby incorporated by reference to Post-Effective Amendment No. 17 to the Registrants Registration Statement on Form N-1A, filed on March 2, 2007.
|
(h)(13)
|
Expense Limitation Agreement between the Registrant and Wintrust Capital Management Company, LLC (formerly known as Wayne Hummer Asset Management Company), with respect to Wintrust Capital Disciplined Equity Fund (formerly known as Wayne Hummer Large Cap Core Fund), Wayne Hummer Real Estate 130/30 Fund and Wintrust Capital Small Cap Opportunity Fund (formerly known as Wayne Hummer Small Cap Core Fund) previously filed on June 24, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 91, and hereby incorporated by reference.
|
(h)(14)
|
Advisory Fee Waiver Agreement between the Registrant and Wintrust Capital Management Company, LLC (formerly known as Wayne Hummer Asset Management Company), with respect to Wintrust Capital Disciplined Equity Fund (formerly known as Wayne Hummer Large Cap Core Fund) was previously filed on June 24, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 91, and hereby incorporated by reference.
|
(h)(15)
|
Amendment to Expense Limitation Agreement between the Registrant, with respect EAS Crow Point Alternatives Fund and Emerald Asset Advisors, LLC, previously filed on March 7, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 469, and hereby incorporated by reference.
|
(h)(16)
|
Expense Limitation Agreement between the Registrant, with respect to KCM Macro Trends Fund and Kerns Capital Management, Inc., previously filed on April 18, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 41, and hereby incorporated by reference.
|
(h)(17)
|
Expense Limitation Agreement between the Registrant, with respect to EM Capital India Gateway Fund and EM Capital Management, LLC, previously filed on September 8, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 61, and hereby incorporated by reference.
|
(h)(18)
|
Expense Limitation Agreement between the Registrant, with respect to the MutualHedge Funds and Equinox Fund Management, LLC, previously filed on October 10, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 65, and hereby incorporated by reference.
|
(h)(19)
|
Expense Limitation Agreement between the Registrant, with respect to the Generations Multi-Strategy Fund and Three G Financial, LLC, previously filed on December 4, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 119, and hereby incorporated by reference.
|
(h)(20)
|
Expense Limitation Agreement between the Registrant, with respect to the Wade Tactical L/S Fund and Wade Financial Group previously filed on August 21, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 58, and hereby incorporated by reference.
|
(h)(21)
|
Expense Limitation Agreement between SouthernSun Asset Management, Inc. and the Registrant, on behalf of SouthernSun Small Cap Fund and SouthernSun U. S. Equity Fund previously filed on July 22, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 285, and hereby incorporated by reference.
|
(h)(22)
|
Expense Limitation Agreement between the Registrant, with respect to the Toews Hedged Emerging Markets Fund and Toews Corporation previously filed on May 14, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 87, and hereby incorporated by reference.
|
(h)(23)
|
Expense Limitation Agreement between the Registrant, with respect to Leader Short-Term Bond Fund and Leader Capital Corp., previously filed on October 20, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 66, and hereby incorporated by reference.
|
(h)(24)
|
Expense Limitation Agreement between the Registrant, with respect to the CMG Absolute Return Strategies Fund and CMG Capital Management Group, Inc. previously filed on March 9, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 80, and hereby incorporated by reference. Form of Expense Limitation Agreement between the Registrant, with respect to the CMG SR Tactical Bond Fund and CMG Capital Management Group, Inc. as last updated on June 17, 2013 previously filed on June 17, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 496, and hereby incorporated by reference.
|
(h)(25)
|
Expense Limitation Agreement between the Registrant, with respect to the Incline Capital Smart Switch Fund and Incline Asset Management, LLC previously filed on March 9, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 80, and hereby incorporated by reference.
|
(h)(26)
|
Expense Limitation Agreement between the Registrant, with respect to The Currency Strategies Fund and Sarasota Capital Partners, LLC previously filed on January 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 122, and hereby incorporated by reference.
|
(h)(27)
|
Expense Limitation Agreement between Bull Path Capital Management, LLC and the Registrant, with respect to The Long-Short Fund and Bull Path Mid-Cap Growth Fund previously filed on April 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 83, and hereby incorporated by reference.
|
(h)(28)
|
Expense Limitation Agreement between the Registrant, with respect to the GMG Defensive Beta Fund and Montebello Partners, LLC previously filed on June 24, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 91, and hereby incorporated by reference.
|
(h)(29)
|
Expense Limitation Agreement between the Registrant, with respect to the Chariot Absolute Return Currency Fund and Chariot Advisors, LLC previously filed on July 10, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 93, and hereby incorporated by reference.
|
(h)(30)
|
Expense Limitation Agreement between the Registrant, with respect to the Astor Long/Short Fund and Astor Asset Management, LLC previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
|
(h)(31)
|
Expense Limitation Agreement between the Registrant, with respect Rady Opportunistic Value Fund and Rady Contrarian Long/Short Fund (formerly known as Rady Opportunistic Fund and Rady Contrarian Fund) and Rady Asset Management, LLC previously filed on August 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 98, and hereby incorporated by reference.
|
(h)(32)
|
Expense Limitation Agreement between the Registrant, with respect to The Guardian Fund and Lacerte Capital Advisors, LLC previously filed on September 25, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 106, and hereby incorporated by reference.
|
(h)(33)
|
Expense Limitation Agreement between the Registrant, with respect to MutualHedge Frontier Legends Fund and Equinox Fund Management, LLC previously filed on January 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 122, and hereby incorporated by reference.
|
(h)(34)
|
Interim Expense Limitation Agreement between the Registrant, with respect to Winans Long/Short Fund (known previously as Biltmore Momentum/Dynamic ETF Fund) previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
|
(h)(35)
|
Expense Limitation Agreement between the Registrant, with respect to Investment Partners Opportunities Fund and Investment Partners Asset Management, Inc. previously filed on January 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 122, and hereby incorporated by reference.
|
(h)(36)
|
Fund Services Agreement between the Registrant and Gemini Fund Services, LLC previously filed on October 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 111, and hereby incorporated by reference.
|
(h)(37)
|
Expense Limitation Agreement between the Registrant, with respect to Toews Hedged International Fund, Toews Hedged High Yield Fund, Toews Hedged Large-Cap Fund and Toews Hedged Small & Mid Cap Fund and Toews Corporation previously filed on June 4, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 156, and hereby incorporated by reference.
|
(h)(38)
|
Interim Expense Limitation Agreement between the Registrant, with respect to the Incline Capital Smart Switch Fund and Incline Asset Management, LLC, previously filed on December 4, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 119, and hereby incorporated by reference.
|
(h)(39)
|
Expense Limitation Agreement between the Registrant, with respect to Strategic Investing Long/Short Fund and Strategic Investing Funds, LLC previously filed on January 28, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 124, and hereby incorporated by reference.
|
(h)(40)
|
Advisory Fee Waiver Agreement between the Registrant and Summit Portfolio Advisors, LLC with respect to The Collar Fund previously filed on January 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 122, and hereby incorporated by reference.
|
(h)(41)
|
Expense Limitation Agreement between the Registrant, with respect to CIFG MaxBalanced
SM
Fund and Capstone Investment Financial Group, Inc previously filed on April 7, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 137, and hereby incorporated by reference.
|
(h)(42)
|
Expense Limitation Agreement between the Registrant, with respect to Princeton Futures Strategy Fund and Mount Yale Asset Management, LLC previously filed on June 15, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 161, and hereby incorporated by reference
|
(h)(43)
|
Expense Limitation Agreement between the Registrant, with respect to CIFG MaxOpp
SM
Fund and Capstone Investment Financial Group, Inc. previously filed on July 14, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 165, and hereby incorporated by reference.
|
(h)(44)
|
Expense Limitation Agreement between the Registrant, with respect to Leader Total Return Fund and Leader Capital Corp. previously filed on June 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 162, and hereby incorporated by reference.
|
(h)(45)
|
Expense Limitation Agreement between the Registrant, with respect to Altegris Managed Futures Strategy Fund and Altegris Advisors, LLC previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
|
(h)(46)
|
Expense Limitation Agreement between the Registrant, with respect to Power Income Fund and W.E. Donoghue & Co., Inc. previously filed on August 31, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 171, and hereby incorporated by reference.
|
(h)(47)
|
Expense Limitation Agreement between the Registrant, with respect to PSI Market Neutral Fund, PSI Total Return Fund, PSI Strategic Growth Fund and PSI Tactical Growth Power Income Fund previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
|
(h)(48)
|
Interim Expense Limitation Agreement between the Registrant, with respect to the SouthernSun Small Cap Fund and SouthernSun Asset Management, Inc., previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
|
(h)(49)
|
Expense Limitation Agreement between the Registrant, with respect to RAM Risk-Managed Growth Fund previously filed on July 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 166, and hereby incorporated by reference.
|
(h)(50)
|
Expense Limitation Agreement between the Registrant, with respect to GoalMine Fixed Income Fund and GoalMine Balanced Growth Fund previously filed on July 14, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 165, and hereby incorporated by reference.
|
(h)(51)
|
Expense Limitation Agreement between the Registrant, with respect to Bishop Volatility Flex Fund previously filed on November 1, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 185, and hereby incorporated by reference.
|
(h)(52)
|
Expense Limitation Agreement between the Registrant, with respect to CWC Small Cap Aggressive Value Fund previously filed on January 28, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 451, and hereby incorporated by reference.
|
(h)(53)
|
Expense Limitation Agreement between the Registrant, with respect to Arrow Commodity Strategy Fund previously filed on June 10, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 272 and hereby incorporated by reference.
|
(h)(54)
|
Expense Limitation Agreement between the Registrant, with respect to TransWestern Institutional Short Duration Government Bond Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 369, and hereby incorporated by reference.
|
(h)(55)
|
Expense Limitation Agreement between the Registrant, with respect to 7Twelve Balanced Fund previously filed on February 3, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 207, and hereby incorporated by reference.
|
(h)(56)
|
Expense Limitation Agreement between Bandon Capital Management, LLC and the Registrant, with respect to Bandon Isolated Alpha Fixed Income Fund previously filed on January 5, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 196, and hereby incorporated by reference.
|
(h)(57)
|
Expense Limitation Agreement between Beech Hill Advisors, Inc. and the Registrant, with respect to Beech Hill Total Return Fund previously filed on January 20, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 201, and hereby incorporated by reference.
|
(h)(58)
|
Expense Limitation Agreement between Clark Capital Management Group, Inc. and the Registrant, with respect to Navigator Equity Hedged Fund previously filed on January 5, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 197, and hereby incorporated by reference.
|
(h)(59)
|
Expense Limitation Agreement between Tatro Capital, LLC and the Registrant, with respect to Tatro Capital Tactical Appreciation Fund previously filed on February 3, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 207, and hereby incorporated by reference.
|
(h)(60)
|
Expense Limitation Agreement between Knollwood Investment Advisors, LLC and the Registrant, with respect to Grant Park Managed Futures Strategy Fund previously filed on March 9, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 229, and hereby incorporated by reference.
|
(h)(61)
|
Expense Limitation Agreement between GPS Capital Management, LLC and the Registrant, with respect to GPS Multiple Strategy Fund previously filed on April 21, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 240, and hereby incorporated by reference.
|
(h)(62)
|
Expense Limitation Agreement between Risk Paradigm Group, LLC and the Registrant, with respect to Diversified Risk Parity Fund previously filed on April 21, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 240, and hereby incorporated by reference.
|
(h)(63)
|
Expense Limitation Agreement between Genesis Capital LLC and the Registrant, with respect to SCA Absolute Return Fund and SCA Directional Fund previously filed on May 6, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 246, and hereby incorporated by reference.
|
(h)(64)
|
Form of Expense Limitation Agreement between Avant Capital Management, LLC and the Registrant, with respect to Avant Gold Bullion Strategy Fund previously filed on November 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 327, and hereby incorporated by reference.
|
(h)(65)
|
Form of Expense Limitation Agreement between Altegris Advisors, LLC and the Registrant, with respect to Altegris Macro Strategy Fund previously filed on May 16, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 251, and hereby incorporated by reference.
|
(h)(66)
|
Expense Limitation Agreement between Zeo Capital Advisors, LLC and the Registrant, with respect to Zeo Strategic Income Fund previously filed on May 27, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 261, and hereby incorporated by reference.
|
(h)(67)
|
Expense Limitation Agreement between Giralda Advisors, LLC and the Registrant, with respect to The Giralda Fund previously filed on May 31, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 491, and hereby incorporated by reference..
|
(h)(68)
|
Form of Expense Limitation Agreement between Van Hulzen Asset Management, LLC and the Registrant, with respect to Iron Horse Fund previously filed on May 11, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 249, and hereby incorporated by reference.
|
(h)(69)
|
Expense Limitation Agreement between Mosaic Capital Management, LLC and the Registrant, with respect to Mosaic Managed Futures Strategy Fund previously filed on June 3, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 264, and hereby incorporated by reference.
|
(h)(70)
|
Form of Expense Limitation Agreement between Fusion Investment Group, LLC and the Registrant, with respect to Global Fusion Tactical Equity Fund and Global Fusion Long/Short Fund filed on May 23, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 255, and hereby incorporated by reference.
|
(h)(71)
|
Form of Expense Limitation Agreement between Astor Asset Management, LLC and the Registrant, with respect to Astor Active Income ETF Fund and Astor Style Preferred Growth ETF Fund previously filed on May 24, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 256, and hereby incorporated by reference.
|
(h)(72)
|
Form of Expense Limitation Agreement between Altrius Institutional Asset Management, LLC and the Registrant, with respect to Altrius Small Cap Value Fund was previously filed on June 13, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 273, and hereby incorporated by reference.
|
(h)(73)
|
Expense Limitation Agreement between Ascendant Advisors, LLC and the Registrant, with respect to Ascendant Balanced Fund, Ascendant Natural Resources Fund, Ascendant MultiCap Equity Fund and Patriot Fund previously filed on March 19, 2012 to the Registrants Registration Statement in Amendment No. 366, and hereby incorporated by reference.
|
(h)(74)
|
Expense Limitation Agreement between Winch Advisory Services, LLC and the Registrant, with respect to Ginkgo Multi-Strategy Fund previously filed on July 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 282, and hereby incorporated by reference.
|
(h)(75)
|
Form of Expense Limitation Agreement between Absolute Private Wealth Management LLC and the Registrant, with respect to Quantitative Managed Futures Strategy Fund previously filed on July 22, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 284, and hereby incorporated by reference.
|
(h)(76)
|
Form of Expense Limitation Agreement between Peregrine Capital Advisors, Inc. and the Registrant, with respect to Peregrine Gold Silver Alpha Strategy Fund previously filed on August 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 298, and hereby incorporated by reference.
|
(h)(77)
|
Form of Expense Limitation Agreement between Triex Financial Services, Inc. and the Registrant, with respect to Triex Long/Short Fund previously filed on August 23, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 300, and hereby incorporated by reference.
|
(h)(78)
|
Expense Limitation Agreement between Toews Corporation and the Registrant, with respect to Toews Hedged Commodities Fund to be filed by amendment.
|
(h)(79)
|
Form of Expense Limitation Agreement between Avant Capital Management, LLC and the Registrant, with respect to Avant Gold Coin Strategy Fund previously filed on October 18, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 317, and hereby incorporated by reference.
|
(h)(80)
|
Expense Limitation Agreement between Altegris Advisors, LLC and the Registrant, with respect to Altegris Futures Evolution Strategy Fund was previously filed on October 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 318, and hereby incorporated by reference.
|
(h)(81)
|
Expense Limitation Agreement between Risk Paradigm Group, LLC and the Registrant, with respect to RPG Emerging Market Premium Sector Rotation Fund previously filed on November 28, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 341, and hereby incorporated by reference.
|
(h)(82)
|
Interim Expense Limitation Agreement between Preservation Trust Advisors, LLC and the Registrant, with respect to The Long-Short Fund was filed previously filed on September 2, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 304, and hereby incorporated by reference.
|
(h)(83)
|
Form of Expense Limitation Agreement between Rady Asset Management, LLC and the Registrant, with respect to Rady Monthly High Income Fund, Rady Bear Fund, Rady Commodity Equity Fund, Rady Small Cap Value Fund, Rady Growth and Income Fund, Rady Tactical Long/Short Fund and Rady Multi-Strategy Alternative Fund previously filed on December 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 344, and hereby incorporated by reference.
|
(h)(84)
|
Expense Limitation Agreement between Preservation Trust Advisors, LLC and the Registrant, with respect to the PTA Comprehensive Alternatives Fund previously filed on November 25, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 336, and hereby incorporated by reference.
|
(h)(85)
|
Expense Limitation Agreement between CMG Capital Management Group, Inc. and the Registrant, with respect to the CMG Tactical Equity Strategy Fund previously filed on March 12, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 363, and hereby incorporated by reference. Form of revised Expense Limitation Agreement between CMG Capital Management Group, Inc. and the Registrant, with respect to the CMG Tactical Equity Strategy Fund previously filed on June 4, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 381, and hereby incorporated by reference..
|
(h)(86)
|
Form of Expense Limitation Agreement between Altegris Advisors, L.L.C. and the Registrant, with respect to the Altegris Equity Long Short Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 368, and hereby incorporated by reference.
|
(h)(87)
|
Expense Limitation Agreement between Wright Fund Management and the Registrant, with respect to the Sierra Strategic Income Fund previously filed on June 11, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 385, and hereby incorporated by reference.
|
(h)(88)
|
Form of Expense Limitation Agreement between Princeton Fund Advisors, LLC, Eagle Global Advisors, LLC and the Registrant, with respect to the Eagle MLP Strategy Fund previously filed on June 12, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 386, and hereby incorporated by reference
|
(h)(89)
|
Expense Limitation Agreement between Ascendant Advisors, LLC, and the Registrant with respect to the Ascendant Natural Resources Master Fund previously filed on March 19, 2012 to the Registrants Registration Statement in Amendment No. 366, and hereby incorporated by reference.
|
(h)(89)
|
Form of Expense Limitation Agreement between Princeton Fund Advisors, LLC, and the Registrant with respect to the Sandalwood Opportunity Fund previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
|
(h)(90)
|
Form of Expense Limitation Agreement between Altegris Advisors, L.L.C., and the Registrant with respect to the Altegris Fixed Income Long Short Fund previously filed on December 18, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 445, and hereby incorporated by reference.
|
(h)(91)
|
Form of Expense Limitation Agreement between The Pacific Financial Group, Inc. and the Registrant with respect to the Pacific Financial Alternative Strategies Fund, Pacific Financial Flexible Growth & Income Fund, Pacific Financial Balanced Fund, Pacific Financial Foundational Asset Allocation Fund, Pacific Financial Faith & Values Based Moderate Fund, Pacific Financial Faith & Values Based Conservative Fund and Pacific Financial Faith & Values Based Aggressive Fund previously filed on December 31, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 447, and hereby incorporated by reference.
|
(h)(92)
|
Form of Expense Limitation Agreement between Altegris Advisors, LLC and the Registrant with respect to the Altegris Multi-Strategy Alternative Fund previously filed on February 20, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 462, and hereby incorporated by reference.
|
(h)(93)
|
Expense Limitation Agreement between BTS Asset Management, Inc. and the Registrant with respect to the BTS Diversified Income Fund previously filed on February 12, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 459, and hereby incorporated by reference.
|
(h)(94)
|
Expense Limitation Agreement between CMG Capital Management Group, Inc. and the Registrant with respect to the CMG Global Equity Fund previously filed on May 30, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 488, and hereby incorporated by reference.
|
(h)(95)
|
Expense Limitation Agreement between BTS Asset Management, Inc. and the Registrant with respect to the BTS Tactical Fixed Income Fund to be filed by amendment.
|
(h)(96)
|
Form of Expense Limitation Agreement between Toews Corporation and the Registrant with respect to the Toews Unconstrained Income Fund previously filed on June 26, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 501, and hereby incorporated by reference.
|
(h)(97)
|
Expense Limitation Agreement between CMG Capital Management Group, Inc. and the Registrant with respect to the CMG Managed High Yield Fund to be filed by amendment.
|
(h)(98)
|
Expense Limitation Agreement between Clark Capital Management Group, Inc. and the Registrant with respect to the Navigator Duration Neutral Municipal Bond Fund to be filed by amendment.
|
(h)(99)
|
Expense Limitation Agreement between Probabilities Fund Management, LLC and the Registrant with respect to the Probabilities Fund to be filed by amendment.
|
(h)(100)
|
Expense Limitation Agreement between W.E. Donoghue & Co., Inc., .and the Registrant with respect to the Power Dividend Index Fund to be filed by amendment.
|
(i)(1)
|
Opinion of Counsel previously filed on April 17, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 478, and hereby incorporated by reference.
|
(i)(2)
|
Consent of Counsel is filed herewith.
|
(j)(1)
|
Consent of Independent Auditor
is filed herewith
.
|
(j)(2)
|
Powers of Attorney of Andrew Rogers and Kevin Wolf previously filed on March 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 81, and hereby incorporated by reference. Powers of Attorney of Anthony J. Hertl, Michael Miola, L. Merill Bryan, Gary W. Lanzen, Mark Taylor previously filed on April 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 234, and hereby incorporated by reference. Power of Attorney of John V. Palancia previously filed on January 9, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 346, and hereby incorporated by reference.
|
(j)(3)
|
Powers of Attorney of Anthony J. Hertl, Gary W. Lanzen, Mark Taylor and John V. Palancia with respect to GPMFS Fund Ltd. previously filed on May 31, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 491, and hereby incorporated by reference..
|
(k)
|
Omitted Financial Statements - Not Applicable.
|
(l)
|
Initial Capital Agreements - Not Applicable.
|
(m)(1)
|
Rule 12b-1 Plan of the Adaptive Allocation Fund (previously known as Critical Math Fund), previously filed on January 30, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 8, and hereby incorporated by reference.
|
(m)(2)
|
Rule 12b-1 Plan of The Biondo Growth Fund, previously filed on April 24, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 11, and hereby incorporated by reference.
|
(m)(3)
|
Rule 12b-1 Plan of the Winans Long/Short Fund (known previously as Biltmore Momentum/Dynamic ETF Fund), previously filed on May 31, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 13, and hereby incorporated by reference.
|
(m)(4)
|
Rule 12b-1 Plan of the Arrow DWA Balanced Fund previously filed on July 19, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 15, and hereby incorporated by reference.
|
(m)(5)
|
Rule 12b-1 Plan of the Autopilot Managed Growth Fund previously filed on January 12, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 16, and hereby incorporated by reference.
|
(m)(6)
|
Rule 12b-1 Plan of the Pacific Financial Core Equity Fund, the Pacific Financial Explorer Fund, the Pacific Financial International Fund, the Pacific Financial Strategic Conservative Fund and the Pacific Financial Tactical Fund previously filed on May 10, 2007 in Post-Effective Amendment No. 21, and hereby incorporated by reference.
|
(m)(7)
|
Rule 12b-1 Plan of Gratio Values Fund, previously filed on May 6, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 43, and hereby incorporated by reference.
|
(m)(8)
|
Rule 12b-1 Plan of Investor Class Shares of The Biondo Growth Fund, previously filed on February 1, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 36, and hereby incorporated by reference.
|
(m)(9)
|
Rule 12b-1 Plan of Arrow Alternative Solutions Fund, previously filed on October 3, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 29, and hereby incorporated by reference.
|
(m)(10)
|
Rule 12b-1 Plan of Sierra Core Retirement Fund, previously filed on December 17, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 35, and hereby incorporated by reference. Form of revised Rule 12b-1 Plan of Sierra Core Retirement Fund previously filed on June 1, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 380, and hereby incorporated by reference.
|
(m)(11)
|
Rule 12b-1 Plan of Arrow DWA Tactical Fund, previously filed on May 6, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 43, and hereby incorporated by reference.
|
(m)(12)
|
Rule 12b-1 Plan of EAS Crow Point Alternatives Fund, previously filed on May 6, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 43, and hereby incorporated by reference.
|
(m)(13)
|
Rule 12b-1 Plan of KCM Macro Trends Fund, previously filed on May 6, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 43, and hereby incorporated by reference.
|
(m)(14)
|
Rule 12b-1 Plan of EM Capital India Gateway Fund, previously filed on September 8, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 61, and hereby incorporated by reference.
|
(m)(15)
|
Rule 12b-1 Plan of Wintrust Capital Disciplined Equity Fund (formerly known as Wayne Hummer Large Cap Core Fund), previously filed on May 22, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 44, and hereby incorporated by reference.
|
(m)(16)
|
Rule 12b-1 Plan of MutualHedge Funds previously filed on October 31, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 68, and hereby incorporated by reference.
|
(m)(17)
|
Rule 12b-1 Plan of Wade Tactical L/S Fund previously filed on October 10, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 65, and hereby incorporated by reference.
|
(m)(18)
|
Rule 12b-1 Plan of SouthernSun Small Cap Fund previously filed on October 31, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 68, and hereby incorporated by reference.
|
(m)(19)
|
Rule 12b-1 Plan of Leader Short-Term Bond Fund previously filed on October 31, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 68, and hereby incorporated by reference.
|
(m)(20)
|
Rule 12b-1 Plan of Arrow DWA Systematic RS Fund to be filed by amendment.
|
(m)(21)
|
Rule 12b-1 Plan of Wayne Hummer Real Estate 130/30 Fund and Wintrust Capital Small Cap Opportunity Fund (formerly known as Wayne Hummer Small Cap Core Fund) previously filed on November 28, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 72, and hereby incorporated by reference.
|
(m)(22)
|
Form of Rule 12b-1 Plan of SouthernSun U.S. Equity Fund previously filed on July 22, 2011, to the Registrants Registration Statement in Post-Effective Amendment No. 285, and hereby incorporated by reference.
|
(m)(23)
|
Rule 12b-1 Plan of CMG Absolute Return Strategies Fund previously filed on March 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 81, and hereby incorporated by reference.
|
(m)(24)
|
Rule 12b-1 Plan of Incline Capital Smart Switch Fund previously filed on March 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 81, and hereby incorporated by reference.
|
(m)(25)
|
Rule 12b-1 Plan of The Currency Strategies Fund previously filed on April 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 83, and hereby incorporated by reference.
|
(m)(26)
|
Rule 12b-1 Plan of The Long-Short Fund and Bull Path Mid-Cap Growth Fund previously filed on April 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 83, and hereby incorporated by reference.
|
(m)(27)
|
Rule 12b-1 Plan of GMG Defensive Beta Fund previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
|
(m)(28)
|
Rule 12b-1 Plan of Chariot Absolute Return Currency Fund previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
|
(m)(29)
|
Rule 12b-1 Plan of BTS Bond Asset Allocation Fund previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
|
(m)(30)
|
Rule 12b-1 Plan of Astor Long/Short Fund previously filed on August 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 96, and hereby incorporated by reference.
|
(m)(31)
|
Rule 12b-1 Plan of Rady Opportunistic Value Fund and Rady Contrarian Long/Short Fund (formerly known as Rady Opportunistic Fund and Rady Contrarian Fund) previously filed on October 20, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 109 and hereby incorporated by reference.
|
(m)(32)
|
Rule 12b-1 Plan of The Guardian Fund previously filed on October 20, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 109, and hereby incorporated by reference.
|
(m)(33)
|
Rule 12b-1 Plan of MutualHedge Frontier Legends Fund previously filed on January 28, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 124, and hereby incorporated by reference.
|
(m)(34)
|
Rule 12b-1 Plan of Investment Partners Opportunities Fund previously filed on November 16, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 112, and hereby incorporated by reference.
|
(m)(35)
|
Rule 12b-1 Plan of The Biondo Focus Fund previously filed on January 28, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 124, and hereby incorporated by reference.
|
(m)(36)
|
Rule 12b-1 Plan of Generations Multi-Strategy Fund, previously filed on December 4, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 119, and hereby incorporated by reference.
|
(m)(37)
|
Rule 12b-1 Plan of Strategic Investing Long/Short Fund previously filed on April 7, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 137, and hereby incorporated by reference.
|
(m)(38)
|
Rule 12b-1 Plan of Arrow Managed Futures Trend Fund previously filed on April 29, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 148 and hereby incorporated by reference.
|
(m)(39)
|
Rule 12b-1 Plan of CIFG MaxBalanced
SM
Fund previously filed on April 7, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 137, and hereby incorporated by reference.
|
(m)(40)
|
Rule 12b-1 Plan of Princeton Futures Strategy Fund previously filed on July 8, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 164, and hereby incorporated by reference.
|
(m)(41)
|
Rule 12b-1 Plan of Chadwick & DAmato Fund previously filed on June 10, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 157, and hereby incorporated by reference.
|
(m)(42)
|
Rule 12b-1 Plan of 13D Activist Fund previously filed on February 3, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 355, and hereby incorporated by reference.
|
(m)(43)
|
Rule 12b-1 Plan of CIFG MaxOpp
SM
Fund previously filed on July 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 167, and hereby incorporated by reference.
|
(m)(44)
|
Rule 12b-1 Plan of Leader Total Return Fund previously filed on June 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 162, and hereby incorporated by reference.
|
(m)(45)
|
Rule 12b-1 Plan of Altegris Managed Futures Strategy Fund previously filed on August 31, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 171, and hereby incorporated by reference.
|
(m)(46)
|
Rule 12b-1 Plan of Power Income Fund previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
|
(m)(47)
|
Rule 12b-1 Plan of PSI Market Neutral Fund, PSI Total Return Fund, PSI Strategic Growth Fund and PSI Tactical Growth Power Income Fund previously filed on August 27, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 170, and hereby incorporated by reference.
|
(m)(48)
|
Rule 12b-1 Plan of RAM Risk-Managed Growth Fund previously filed on September 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 179, and hereby incorporated by reference.
|
(m)(49)
|
Rule 12b-1 Plan of GoalMine Fixed Income Fund and GoalMine Balanced Growth Fund previously filed on July 14, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 165, and hereby incorporated by reference.
|
(m)(50)
|
Rule 12b-1 Plan of Bishop Volatility Flex Fund previously filed on November 1, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 185, and hereby incorporated by reference.
|
(m)(51)
|
Rule 12b-1 Plan of CWC Small Cap Aggressive Value Fund previously filed on December 3, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 189, and hereby incorporated by reference.
|
(m)(52)
|
Rule 12b-1 Plan of The FX Strategy Fund previously filed on January 28, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 204, and hereby incorporated by reference.
|
(m)(53)
|
Rule 12b-1 Plan of Arrow Commodity Strategy Fund previously filed on January 5, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 196, and hereby incorporated by reference.
|
(m)(54)
|
Rule 12b-1 Plan of 7Twelve Balanced Fund previously filed on February 11, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 210, and hereby incorporated by reference.
|
(m)(54)
|
Rule 12b-1 Plan of Bandon Isolated Alpha Fixed Income Fund previously filed on December 22, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 193, and hereby incorporated by reference.
|
(m)(56)
|
Rule 12b-1 Plan of Beech Hill Total Return Fund previously filed on January 5, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 197, and hereby incorporated by reference.
|
(m)(57)
|
Rule 12b-1 Plan of Navigator Equity Hedged Fund previously filed on January 13, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 199, and hereby incorporated by reference.
|
(m)(57)
|
Rule 12b-1 Plan of Tatro Capital Tactical Appreciation Fund previously filed on February 11, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 210, and hereby incorporated by reference.
|
(m)(59)
|
Rule 12b-1 Plan of Grant Park Managed Futures Strategy Fund previously filed on March 3, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 227, and hereby incorporated by reference.
|
(m)(60)
|
Rule 12b-1 Plan of GPS Multiple Strategy Fund previously filed on May 16, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 251, and hereby incorporated by reference.
|
(m)(61)
|
Rule 12b-1 Plan of Diversified Risk Parity Fund previously filed on May 23, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 254, and hereby incorporated by reference.
|
(m)(62)
|
Rule 12b-1 Plan of SCA Absolute Return Fund and SCA Directional Fund previously filed on May 23, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 254, and hereby incorporated by reference.
|
(m)(63)
|
Form of Rule 12b-1 Plan of Avant Gold Bullion Strategy Fund previously filed on November 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 327, and hereby incorporated by reference.
|
(m)(64)
|
Form of Rule 12b-1 Plan of Altegris Macro Strategy Fund previously filed on May 16, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 251, and hereby incorporated by reference.
|
(m)(65)
|
Rule 12b-1 Plan of Zeo Strategic Income Fund previously filed on July 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 279, and hereby incorporated by reference. .
|
(m)(66)
|
Rule 12b-1 Plan of The Giralda Fund previously filed on September 30, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 308 and hereby incorporated by reference.
|
(m)(67)
|
Form of Rule 12b-1 Plan of Iron Horse Fund previously filed on May 11, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 249, and hereby incorporated by reference.
|
(m)(68)
|
Rule 12b-1 Plan of Mosaic Managed Futures Strategy Fund previously filed on July 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 279, and hereby incorporated by reference.
|
(m)(69)
|
Form of Rule 12b-1 Plan of Astor Active Income ETF Fund and Astor Style Preferred Growth ETF Fund previously filed on May 24, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 256, and hereby incorporated by reference.
|
(m)(70)
|
Form of Rule 12b-1 Plan of Altrius Small Cap Value Fund was previously filed on June 13, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 273, and hereby incorporated by reference.
|
(m)(71)
|
Rule 12b-1 Plan of Ascendant Balanced Fund, Ascendant Natural Resources Fund, Ascendant MultiCap Equity Fund and Ascendant Patriot Fund previously filed on March 19, 2012 to the Registrants Registration Statement in Amendment No. 366, and hereby incorporated by reference.
|
(m)(72)
|
Rule 12b-1 Plan of Ginkgo Multi-Strategy Fund previously filed on July 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 279, and hereby incorporated by reference. .
|
(m)(73)
|
Form of Rule 12b-1 Plan of Quantitative Managed Futures Strategy Fund previously filed on July 22, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 285, and hereby incorporated by reference.
|
(m)(74)
|
Form of Rule 12b-1 Plan of Peregrine Gold Silver Alpha Strategy Fund previously filed on August 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 298, and hereby incorporated by reference.
|
(m)(75)
|
Form of Rule 12b-1 Plan of Triex Long/Short Fund previously filed on August 23, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 300, and hereby incorporated by reference.
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(m)(76)
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Form of Rule 12b-1 Plan of Avant Gold Coin Strategy Fund previously filed on October 18, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 317, and hereby incorporated by reference.
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(m)(77)
|
Rule 12b-1 Plan of Altegris Futures Evolution Strategy Fund was previously filed on October 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 318, and hereby incorporated by reference.
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(m)(78)
|
Form of Rule 12b-1 Plan of RPG Emerging Market Premium Sector Rotation Fund previously filed on November 28, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 341, and hereby incorporated by reference.
|
(m)(79)
|
Form of Rule 12b-1 Plan of Rady Monthly High Income Fund, Rady Bear Fund, Rady Commodity Equity Fund, Rady Small Cap Value Fund, Rady Growth and Income Fund, Rady Tactical Long/Short Fund and Rady Multi-Strategy Alternative Fund previously filed on December 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 344, and hereby incorporated by reference.
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(m)(80)
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Rule 12b-1 Plan of the CMG Tactical Equity Strategy Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 369, and hereby incorporated by reference. Revised 12b-1 Plan of the CMG Tactical Equity Strategy Fund previously filed on August 10, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 4026, and hereby incorporated by reference.
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(m)(81)
|
Form of Rule 12b-1 Plan of the Altegris Equity Long Short Fund previously filed on March 30, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 368, and hereby incorporated by reference.
|
(m)(82)
|
Form of Rule 12b-1 Plan of the Sierra Strategic Income Fund previously filed on December 21, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 343, and hereby incorporated by reference.
|
(m)(83)
|
Form of Rule 12b-1 Plan of the Eagle MLP Strategy Fund previously filed on June 12, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 386, and hereby incorporated by reference
|
(m)(84)
|
Revised Rule 12b-1 Plan of the Leader Short term Bond and Leader Total Return Fund previously filed on August 10, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 4026, and hereby incorporated by reference.
|
(m)(85)
|
Form of Rule 12b-1 Plan of the Sandalwood Opportunity Fund previously filed on September 20, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 416, and hereby incorporated by reference.
|
(m)(86)
|
Form of Rule 12b-1 Plan of the Altegris Fixed Income Long Short Fund previously filed on December 18, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 445, and hereby incorporated by reference.
|
(m)(87)
|
Form of Rule 12b-1 Plan of the Pacific Financial Alternative Strategies Fund, Pacific Financial Flexible Growth & Income Fund, Pacific Financial Balanced Fund, Pacific Financial Foundational Asset Allocation Fund, Pacific Financial Faith & Values Based Moderate Fund, Pacific Financial Faith & Values Based Conservative Fund and Pacific Financial Faith & Values Based Aggressive Fund previously filed on December 31, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 447, and hereby incorporated by reference..
|
(m)(88)
|
Form of Rule 12b-1 Plan of the Altegris Multi-Strategy Fund previously filed on February 20, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 462, and hereby incorporated by reference.
|
(m)(89)
|
Rule 12b-1 Plan of the BTS Diversified Income Fund previously filed on February 12, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 459, and hereby incorporated by reference.
|
(m)(90)
|
Form of Rule 12b-1 Plan of the CMG Global Equity Fund previously filed on May 1, 2013 to the Registrants Registration Statement in Post-Effective Amendment No. 485, and hereby incorporated by reference..
|
(m)(91)
|
Rule 12b-1 Plan of the BTS Tactical Fixed Income Fund to be filed amendment.
|
(m)(92)
|
Rule 12b-1 Plan of the CMG Managed High Yield Fund to be file by amendment.
|
(n)
|
Rule 18f-3 Plan to add BTS Tactical Fixed Income Fund, Toews Unconstrained Fixed Income Fund and CMG Managed High Yield to be filed by amendment.
|
(p)(1)
|
Code of Ethics of Northern Lights Distributors, LLC, previously filed on October 30, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 32, and hereby incorporated by reference.
|
(p)(2)
|
Code of Ethics of Critical Math Advisors LLC, previously filed on January 30, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 8, and hereby incorporated by reference.
|
(p)(3)
|
Code of Ethics of Biondo Investment Advisors, LLC, previously filed on April 24, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 11, and hereby incorporated by reference.
|
(p)(4)
|
Code of Ethics of Capital Group, Inc. (D.B.A. Biltmore Investment Group) previously filed on May 31, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 13, and hereby incorporated by reference.
|
(p)(5)
|
Code of Ethics of Arrow Investment Advisors, LLC previously filed on July 19, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 15, and hereby incorporated by reference.
|
(p)(6)
|
Code of Ethics of Dorsey, Wright & Associates, Inc previously filed on July 19, 2006 to the Registrants Registration Statement in Post-Effective Amendment No. 15, and hereby incorporated by reference.
|
(p)(7)
|
Code of Ethics of Rhoads Lucca Capital Partners, LP previously filed on January 12, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 16, and hereby incorporated by reference.
|
(p)(8)
|
Code of Ethics of Changing Parameters, LLC previously filed on January 12, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 16, and hereby incorporated by reference.
|
(p)(10)
|
Code of Ethics of The Pacific Financial Group, Inc. previously filed on May 10, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 21, and hereby incorporated by reference.
|
(p)(11)
|
Code of Ethics of Sherwood Advisors, LLC (D.B.A. Gratio Capital) previously filed on May 10, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 21, and hereby incorporated by reference.
|
(p)(12)
|
Code of Ethics of Wright Fund Management, LLC, previously filed on December 17, 2007 to the Registrants Registration Statement in Post-Effective Amendment No. 35, and hereby incorporated by reference.
|
(p)(13)
|
Code of Ethics of Anchor Capital Management Group, Inc., previously filed on February 12, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 37, and hereby incorporated by reference.
|
(p)(14)
|
Code of Ethics of Wintrust Capital Management Company, LLC (formerly known as Wayne Hummer Asset Management Company), previously filed on March 20, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 40, and hereby incorporated by reference.
|
(p)(15)
|
Code of Ethics of Emerald Asset Advisors, LLC, previously filed on April 18, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 41, and hereby incorporated by reference.
|
(p)(16)
|
Code of Ethics of Kerns Capital Management, Inc., previously filed on April 18, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 41, and hereby incorporated by reference.
|
(p)(17)
|
Code of Ethics of EM Capital Management, LLC previously filed on October 31, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 68, and hereby incorporated by reference.
|
(p)(18)
|
Code of Ethics of Equinox Fund Management, LLC, previously filed on July 9, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 51, and hereby incorporated by reference.
|
(p)(19)
|
Code of Ethics of Three G Financial, LLC, previously filed on August 21, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 58, and hereby incorporated by reference.
|
(p)(20)
|
Code of Ethics of Wade Financial Group, previously filed on August 21, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 58, and hereby incorporated by reference.
|
(p)(21)
|
Code of Ethics of SouthernSun Asset Management, Inc. previously filed on August 21, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 58, and hereby incorporated by reference.
|
(p)(22)
|
Code of Ethics of Toews Corporation, previously filed on November 7, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 70, and hereby incorporated by reference.
|
(p)(23)
|
Code of Ethics of Leader Capital Corp., previously filed on October 20, 2008 to the Registrants Registration Statement in Post-Effective Amendment No. 66, and hereby incorporated by reference.
|
(p)(24)
|
Code of Ethics of CMG Capital Management Group, Inc. previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
|
(p)(25)
|
Code of Ethics of Traub Capital Management, LLC
previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
|
(p)(26)
|
Code of Ethics of Bandon Capital Management, LLC previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
|
(p)(27)
|
Code of Ethics of Heritage Capital, LLC
previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
|
(p)(28)
|
Code of Ethics of Schreiner Capital Management, Inc. previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
|
(p)(29)
|
Code of Ethics of Scotia Partners, Ltd
.
previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
|
(p)(30)
|
Code of Ethics of Incline Asset Management, LLC previously filed on March 13, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 81, and hereby incorporated by reference.
|
(p)(31)
|
Code of Ethics of Sarasota Capital Partners, LLC previously filed on April 21, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 83, and hereby incorporated by reference.
|
(p)(32)
|
Code of Ethics of Bull Path Capital Management, LLC previously filed on April 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 84, and hereby incorporated by reference.
|
(p)(33)
|
Code of Ethics of Summit Portfolios Advisors, LLC previously filed on June 24, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 91, and hereby incorporated by reference.
|
(p)(34)
|
Code of Ethics of Montebello Partners, LLC previously filed on September 14, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 104, and hereby incorporated by reference.
|
(p)(35)
|
Code of Ethics of Chariot Advisors, LLC previously filed on June 24, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 91, and hereby incorporated by reference.
|
(p)(36)
|
Code of Ethics of BTS Asset Management, LLC previously filed on August 28, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 99, and hereby incorporated by reference.
|
(p)(37)
|
Code of Ethics of Astor Asset Management, LLC previously filed on August 28, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 99, and hereby incorporated by reference.
|
(p)(38)
|
Code of Ethics of Rady Asset Management, LLC previously filed on August 28, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 99, and hereby incorporated by reference.
|
(p)(39)
|
Code of Ethics of Lacerte Capital Advisors, LLC previously filed on October 30, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 111, and hereby incorporated by reference.
|
(p)(40)
|
Code of Ethics of Barclays Capital Fund Services-Americas previously filed on September 14, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 104, and hereby incorporated by reference.
|
(p)(41)
|
Code of Ethics of Winans International Investment Management, Inc. previously filed on August 28, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 99, and hereby incorporated by reference.
|
(p)(42)
|
Code of Ethics of Investment Partners Asset Management, Inc. previously filed on October 2, 2009 to the Registrants Registration Statement in Post-Effective Amendment No. 107, and hereby incorporated by reference.
|
(p)(43)
|
Code of Ethics of FocusPoint Solutions, Inc. previously filed on February 12, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 127, and hereby incorporated by reference.
|
(p)(44)
|
Code of Ethics of Strategic Investing Funds, LLC previously filed on April 7, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 137, and hereby incorporated by reference.
|
(p)(45)
|
Code of Ethics of Capstone Investment Financial Group, Inc previously filed on April 29, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 147, and hereby incorporated by reference.
|
(p)(46)
|
Code of Ethics of Dunn Warren Investment Advisors, LLC previously filed on April 7, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 137, and hereby incorporated by reference.
|
(p)(47)
|
Code of Ethics of Mount Yale Asset Management, LLC previously filed on June 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 162, and hereby incorporated by reference.
|
(p)(48)
|
Code of Ethics of 6800 Capital, LLC previously filed on June 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 162, and hereby incorporated by reference.
|
(p)(49)
|
Code of Ethics of Congress Asset Management Company, LLP previously filed on June 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 162, and hereby incorporated by reference.
|
(p)(50)
|
Code of Ethics of Chadwick & DAmato, LLC previously filed on June 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 162, and hereby incorporated by reference.
|
(p)(51)
|
Code of Ethics of 13D Management, LLC previously filed on July 8, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 164, and hereby incorporated by reference.
|
(p)(52)
|
Code of Ethics of Altegris Advisors, LLC previously filed on August 31, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 171, and hereby incorporated by reference.
|
(p)(53)
|
Code of Ethics of Rodney Square Management Corporation, previously filed on September 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 179, and hereby incorporated by reference.
|
(p)(54)
|
Code of Ethics of W.E. Donoghue & Co., Inc. previously filed on August 31, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 171, and hereby incorporated by reference.
|
(p)(55)
|
Code of Ethics of Portfolio Strategies, Inc. previously filed on August 31, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 171, and hereby incorporated by reference.
|
(p)(56)
|
Code of Ethics of RAM Capital Management, LLC previously filed on July 2, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 163, and hereby incorporated by reference.
|
(p)(57)
|
Code of Ethics of Bishop Asset Management, LLC previously filed on November 1, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 185, and hereby incorporated by reference.
|
(p)(58)
|
Code of Ethics of CWC Advisors, LLC previously filed on March 14, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 230, and hereby incorporated by reference.
|
(p)(59)
|
Code of Ethics of BBW Capital Advisors previously filed on November 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 186, and hereby incorporated by reference.
|
(p)(60)
|
Code of Ethics of Loomis, Sayles & Company, L.P. previously filed on March 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 232, and hereby incorporated by reference.
|
(p)(61)
|
Code of Ethics of 7Twelve Advisors, LLC previously filed on November 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 186, and hereby incorporated by reference.
|
(p)(62)
|
Code of Ethics of Beech Hill Advisors, Inc. previously filed on November 30, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 186, and hereby incorporated by reference.
|
(p)(63)
|
Code of Ethics of Clark Capital Management Group, Inc. previously filed on December 2, 2010 to the Registrants Registration Statement in Post-Effective Amendment No. 187, and hereby incorporated by reference.
|
(p)(64)
|
Code of Ethics of Tatro Capital, LLC previously filed on February 11, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 210, and hereby incorporated by reference.
|
(p)(65)
|
Code of Ethics of Knollwood Investment Advisors, LLC previously filed on March 14, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 230, and hereby incorporated by reference.
|
(p)(66)
|
Code of Ethics of GPS Capital Management, LLC previously filed on February 11, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 210, and hereby incorporated by reference.
|
(p)(67)
|
Code of Ethics of Risk Paradigm Group, LLC previously filed on March 14, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 230, and hereby incorporated by reference.
|
(p)(68)
|
Code of Ethics of Genesis Capital, LLC previously filed on March 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 232, and hereby incorporated by reference.
|
(p)(69)
|
Code of Ethics of Avant Capital Management, LLC previously filed on May 16, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 251, and hereby incorporated by reference.
|
(p)(70)
|
Code of Ethics of CWM, LLC previously filed on May 6, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 246, and hereby incorporated by reference.
|
(p)(71)
|
Code of Ethics of Zeo Capital Advisors, LLC previously filed on December 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 345, and hereby incorporated by reference.
|
(p)(72)
|
Code of Ethics of Giralda Advisors, LLC previously filed on March 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 232, and hereby incorporated by reference.
|
(p)(73)
|
Code of Ethics of Van Hulzen Asset Management, LLC previously filed on May 6, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 246, and hereby incorporated by reference.
|
(p)(74)
|
Code of Ethics of Mosaic Capital Management, LLC previously filed on May 6, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 246, and hereby incorporated by reference.
|
(p)(75)
|
Code of Ethics of Fusion Investment Group, LLC previously filed on May 6, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 246, and hereby incorporated by reference.
|
(p)(76)
|
Code of Ethics of Altrius Institutional Asset Management, LLC previously filed on May 16, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 251, and hereby incorporated by reference.
|
(p)(77)
|
Code of Ethics of Ascendant Advisors, LLC previously filed on June 14, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 274, and hereby incorporated by reference.
|
(p)(78)
|
Code of Ethics of Winch Advisory Services, LLC previously filed on December 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 345, and hereby incorporated by reference.
|
(p)(79)
|
Code of Ethics of Absolute Private Wealth Management, LLC previously filed on July 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 279, and hereby incorporated by reference.
|
(p)(80)
|
Code of Ethics of Horizon Cash Management LLC previously filed on July 1, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 279, and hereby incorporated by reference. .
|
(p)(81)
|
Code of Ethics of Peregrine Capital Advisors, Inc. previously filed on December 29, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 345, and hereby incorporated by reference.
|
(p)(82)
|
Code of Ethics of Triex Financial Services, Inc. previously filed on July 13, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 281, and hereby incorporated by reference.
|
(p)(83)
|
Code of Ethics of Doubleline Capital LP was previously filed on October 19, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 318, and hereby incorporated by reference.
|
(p)(84)
|
Code of Ethics of Preservation Trust Advisors, LLC previously filed on September 2, 2011 to the Registrants Registration Statement in Post-Effective Amendment No. 304, and hereby incorporated by reference.
|
(p)(85)
|
Code of Ethics of Princeton Fund Advisors, LLC to be filed by amendment.
|
(p)(86)
|
Code of Ethics of Eagle Global Advisors, LLC previously filed on June 12, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 386, and hereby incorporated by reference
|
(p)(87)
|
Code of Ethics of Sandalwood Securities, Inc. to be filed by amendment.
|
(p)(88)
|
Code of Ethics of RockView Management, LLC previously filed on December 18, 2012 to the Registrants Registration Statement in Post-Effective Amendment No. 445, and hereby incorporated by reference.
|
(p)(89)
|
Code of Ethics of Alpha Simplex Group, LLC to be filed by amendment.
|
(p)(90)
|
Code of Ethics of Probabilities Fund Management, LLC to be filed by amendment.
|
LOCATION OF ACCOUNTS AND RECORDS.
The following entities prepare, maintain and preserve the records required by Section 31 (a) of the 1940 Act for the Registrant. These services are provided to the Registrant for such periods prescribed by the rules and regulations of the Securities and Exchange Commission under the 1940 Act and such records are the property of the entity required to maintain and preserve such records and will be surrendered promptly on request.
Bank of New York Mellon (BONY), located at One Wall Street, New York, New York 10286, provides custodian services to The Biondo Growth Fund, Winans Long/Short Fund (known previously as Biltmore Momentum/Dynamic ETF Fund), Changing Parameters Fund, Gratio Values Fund, Pacific Financial Core Equity Fund, Pacific Financial Explorer Fund, Pacific Financial International Fund, Pacific Financial Strategic Conservative Fund, Pacific Financial Tactical Fund, The Biondo Focus Fund, Arrow Managed Futures Trend Fund, GoalMine Fixed Income Fund and GoalMine Balanced Growth Fund pursuant to a Custody Agreement between BONY and the Trust.
First National Bank of Omaha (FNBO), located at 1620 Dodge Street, Omaha, NE 68197, provides custodian services to the Adaptive Allocation Fund, the Autopilot Managed Growth Fund, Sierra Core Retirement Fund, Sierra Strategic Income Fund, Wintrust Capital Disciplined Equity Fund, EAS Crow Point Alternatives Fund, Wade Tactical L/S Fund, SouthernSun Small Cap Fund, SouthernSun U.S. Equity Fund, Wayne Hummer Real Estate 130/30 Fund, Wintrust Capital Small Cap Opportunity Fund and Incline Capital Smart Switch Fund pursuant to a Custody Agreement between FNBO and the Trust.
Union Bank, National Association, 350 California Street 6
th
Floor, San Francisco, California 94104 (Union), provides custodian services to the Arrow DWA Balanced Fund, Arrow DWA Tactical Fund, Arrow DWA Systematic RS Fund, Arrow Alternative Solutions Fund, MutualHedge Funds, The Long-Short Fund, The Collar Fund, BTS Bond Asset Allocation Fund, Astor Long/Short Fund, Rady Monthly High Income Fund, Rady Bear Fund, Rady Commodity Equity Fund, Rady Small Cap Value Fund, Rady Growth and Income Fund, Rady Tactical Long/Short Fund and Rady Multi-Strategy Alternative Fund, The Guardian Fund, GMG Defensive Beta Fund, Winans Long/Short Fund, Investment Partners Opportunities Fund, Strategic Investing Long/Short Fund. Arrow Managed Futures Trend Fund, CIFG MaxBalanced
SM
Fund, Princeton Futures Strategy Fund Power Income Fund, PSI Market Neutral Fund, PSI Total Return Fund, PSI Strategic Growth Fund, PSI Tactical Growth, CIFG MaxOpp
SM
Fund CWC Small Cap Aggressive Value Fund, Bandon Isolated Alpha-Fixed Income Fund, Chadwick & DAmato Fund, Arrow Commodity Strategy Fund, RAM Risk managed-Growth Fund, TransWestern Institutional Short Duration Government Bond Fund, Bishop Volatility Flex Fund. 7Twelve Balanced Fund, 13D Activist Fund, Beech Hill Total Return Fund, Navigator Equity Hedged Fund, GPS Multiple Strategy Fund, Diversified Risk Parity Fund, Peregrine Gold Silver Alpha Strategy Fund, Tatro Capital Appreciation Fund, Avant Gold Bullion Strategy Fund, Ginkgo Multi-Strategy Fund, Altrius Small Cap Value Fund, Triex Long/Short Fund, Ascendant Balanced Fund, Ascendant Natural Resources Fund, Ascendant Diversified Income & Growth Fund, Ascendant Natural Resources Master Fund, Patriot Fund, Eagle MLP Total Return Fund, Sandalwood Opportunity Fund, BTS Diversified Income Fund, BTS Tactical Fixed Income Fund, Navigator Duration Neutral Municipal Bond Fund and Power Dividend Index Fund pursuant to a Custody Agreement between Union and the Trust.
Fifth Third Bank (Fifth Third), 38 Fountain Squa-+-re Plaza Cincinnati, Ohio 45263, provides custodian services to KCM Macro Trends Fund, Generations Multi-Strategy Fund, the Leader Short-Term Bond Fund, Leader Total Return Fund, Toews Hedged Emerging Markets Fund, CMG SR Tactical Bond Fund, CMG Tactical Equity Strategy Fund, CMG Global Equity Fund, CMG Managed High Yield Fund, The Currency Strategies Fund, Chariot Absolute Return Currency Fund, Toews Hedged International Fund, Toews Hedged High Yield Fund, Toews Hedged Large-Cap Fund, Toews Hedged Small & Mid Cap Fund, Toews Commodities Fund and Toews Unconstrained Income Fund pursuant to a Custody Agreement between Fifth Third and the Trust.
JPMorgan Chase Bank (JPMorgan), 270 Park Avenue, New York, NY 10017, provides custodian services to Altegris Macro Strategy Fund, Altegris Managed Futures Strategy Fund, Altegris Futures Evolution Strategy Fund, Altegris Equity Long Short Fund, Altegris Fixed Income Long Short Fund and Altegris Multi-Strategy Alternative Fund pursuant to a Custody Agreement between JPMorgan and the Trust.
Gemini Fund Services, LLC (GFS), located at 17605 Wright Street, Suite 2, Omaha, Nebraska 68130, provides transfer agent and dividend disbursing services pursuant to a Transfer Agency and Service Agreements between GFS and the Trust. In such capacities, GFS provides pricing for each Funds portfolio securities, keeps records regarding securities and other assets in custody and in transfer, bank statements, canceled checks, financial books and records, and keeps records of each shareholders account and all disbursement made to shareholders. GFS also maintains all records required pursuant to Administrative Service Agreements with the Trust.
NLD, located at 17605 Wright Street, Omaha, Nebraska 68130, serves as principal underwriter for all series of Northern Lights Fund Trust, except Leader Short-Term Bond Fund and Leader Total Return Fund. NLD maintains all records required to be maintained pursuant to each Funds Distribution Plan and Agreement adopted pursuant to Rule 12b-1 under the 1940 Act.
Foreside Distribution Services, LP, located at 10 High Street, Suite 302, Boston, MA 02110, serves as principal underwriter for Leader Short-Term Bond Fund and Leader Total Return Fund and maintains all records required to be maintained pursuant to the Funds Distribution Plan and Agreements adopted pursuant to Rule 12b-1 under the 1940 Act.
Critical Math Advisors LLC, located at 29 Emmons Drive, Suite A-20, Princeton, NJ 08540, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Adaptive Allocation Fund.
Biondo Investment Advisors, LLC, located at 544 Routes 6 & 209, PO Box 909, Milford, Pennsylvania 18337, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The Biondo Growth Fund and The Biondo Focus Fund.
Arrow Investment Advisors, LLC, located at 2943 Olney-Sandy Spring Road, Suite A, Olney, Maryland 20832, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Arrow DWA Balanced Fund, Arrow DWA Systematic RS Fund, Arrow DWA Tactical Fund, Arrow Alternative Solutions Fund, Arrow Managed Futures Trend Fund and Arrow Commodity Strategy Fund.
Dorsey, Wright & Associates, Inc., located at with offices at 8014 Midlothian Turnpike, Richmond, Virginia 23235 and 595 East Colorado Blvd., Suite 307, Pasadena, CA 91101, pursuant to the Sub-Advisory Agreement with Arrow Investment Advisors, LLC, maintains all records required pursuant to such agreement with respect to the Arrow DWA Systematic RS Fund, Arrow DWA Balanced Fund and Arrow DWA Tactical Fund.
Rhoads Lucca Capital Partners, LP, located at 14911 Quorum Drive, Suite 380, Dallas Texas 75254, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Autopilot Managed Growth Fund.
Changing Parameters, LLC, located at 250 Oak Grove Avenue, Suite A, Menlo Park, California 94025, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Changing Parameters Fund.
The Pacific Financial Group, Inc., located at 10900 NE 8
th
Street, Suite 1523, Bellevue, WA 98004, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Pacific Financial Core Equity Fund, the Pacific Financial Explorer Fund, the Pacific Financial International Fund, the Pacific Financial Strategic Conservative Fund, the Pacific Financial Tactical Fund the Pacific Financial Alternative Strategies Fund, Pacific Financial Flexible Growth & Income Fund, Pacific Financial Balanced Fund, Pacific Financial Foundational Asset Allocation Fund, Pacific Financial Faith & Values Based Moderate Fund, Pacific Financial Faith & Values Based Conservative Fund and Pacific Financial Faith & Values Based Aggressive Fund.
Gratio Capital, Inc., located at 155 Water Street, Brooklyn, NY 11201 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Gratio Values Fund, GoalMine Fixed Income Fund and GoalMine Balanced Growth Fund.
Wright Fund Management, LLC, located at 3420 Ocean Park Boulevard, Santa Monica, CA 90405, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Sierra Core Retirement Fund and Sierra Strategic Income Fund.
Wintrust Asset Management Company, located at 222 South Riverside Plaza, 28
th
Floor, Chicago, Illinois 60606, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Wintrust Capital Disciplined Equity Fund, Wayne Hummer Real Estate 130/30 Fund and Wintrust Capital Small Cap Opportunity Fund.
Kerns Capital Management, Inc., located at Galleria Financial Center, 5075 Westheimer Road, Suite 1177, Houston, Texas 77056, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the KCM Macro Trends Fund.
Equinox Fund Management, LLC, 1660 Lincoln Street, Suite 100, Denver, CO 80264, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the MutualHedge Funds.
Three G Financial, LLC, 5940 South Rainbow Boulevard, Las Vegas, Nevada 89118, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Generations Multi-Strategy Fund.
Wade Financial Group, 5500 Wayzata Blvd, STE 200, Minneapolis, MN 55416, pursuant to the Advisory Agreement with the Trust, maintains all records, required pursuant to such agreement with respect to the Wade Tactical L/S Fund.
SouthernSun Asset Management, LLC, 6000 Poplar Avenue, Suite 220, Memphis, Tennessee 38119, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the SouthernSun Small Cap Fund and SouthernSun U.S. Equity Fund.
Toews Corporation, Cornerstone Commerce Center, 1201 New Road, Suite 111, Linwood, NJ 08221, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Toews Hedged Emerging Markets Fund, Toews Hedged International Fund, Toews Hedged High Yield Fund, Toews Hedged Large-Cap Fund, Toews Hedged Small & Mid Cap Fund, Toews Hedged Commodities Fund and Toews Unconstrained Income Fund.
Leader Capital Corp., 121 SW Morrison St., Suite 425, Portland, OR 97204, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Leader Short-Term Bond Fund and Leader Total Return Fund.
CMG Capital Management Group, LLC, 1000 Continental Drive, Suite 570, King of Prussia, PA 19406, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the CMG Absolute Return Strategies Fund, CMG Tactical Equity Strategy Fund, CMG Global Equity Fund and CMG Managed High Yield Fund.
Anchor Capital Management Group, LLC, 16140 Sand Canyon Avenue, Irvine, CA 92618, pursuant to the Sub-Advisory Agreement with CMG Capital Management Group, LLC, maintains all records required pursuant to such agreement with respect to the CMG Absolute Return Strategies Fund.
Traub Capital Management, LLC 97 Chapel Street 3rd Floor, Needham, MA 02492, pursuant to the Sub-Advisory Agreement with CMG Capital Management Group, LLC, maintains all records required pursuant to such agreement with respect to the CMG Absolute Return Strategies Fund. Also pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The FX Strategy Fund.
Bandon Capital Management, LLC, 818 SW 3rd Ave. #240, Portland OR 97204-2405, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Bandon Isolated Alpha Fixed Income Fund.
Scotia Partners, Ltd., 436 Ridge Road, Spring City, PA 19475, pursuant to the Sub-Advisory Agreement with CMG Capital Management Group, LLC, maintains all records required pursuant to such agreement with respect to the CMG Absolute Return Strategies Fund and CMG Tactical Equity Strategy Fund.
Sarasota Capital Partners, LLC,
460 South Tamiami Trail, Osprey, Florida 34229, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The Currency Strategies Fund.
Summit Portfolio Advisors, LLC 12606 Julian Street, Broomfield, Colorado 80020, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The Collar Fund.
Montebello Partners, LLC, 75 Montebello Road, Suffern, New York 10901,
pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to
the GMG Defensive Beta Fund.
Barclays Capital Fund Services,
745 Seventh Avenue, New York, NY 10021,
pursuant to the Sub-Advisory Agreement with Montebello Partners, LLC, maintains all records required pursuant to such agreement with respect to the GMG Defensive Beta Fund.
BTS Asset Management, Inc. located at 420 Bedford Street, Suite 340, Lexington, MA 02420, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the BTS Bond Asset Allocation Fund, BTS Diversified Income Fund and BTS Tactical Fixed Income Fund.
Astor Asset Management, LLC located at 111 South Wacker Drive, Suite 3950, Chicago, IL 60606, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Astor Long/Short Fund, Astor Active Income ETF Fund and Astor Style Preferred Growth ETF Fund.
Rady Asset Management, LLC located at 1020 Prospect Street, Suite 312, La Jolla, CA 92037 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Rady Monthly High Income Fund, Rady Bear Fund, Rady Commodity Equity Fund, Rady Small Cap Value Fund, Rady Growth and Income Fund, Rady Tactical Long/Short Fund and Rady Multi-Strategy Alternative Fund.
Lacerte Capital Advisors, LLC located at 2811 McKinney Avenue, Suite 206, Dallas, TX 75204, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The Guardian Fund.
Investment Partners Asset Management, Inc. located at 1 Highland Avenue, Metuchen, NJ 08840 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The Investment Partners Opportunities Fund.
FocusPoint Solutions, Inc., 3395 SW Gardenview Ave, Portland, OR 97225, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Generations Multi-Strategy Fund.
Capstone Investment Financial Group, Inc., 615 N. Nevada Avenue, Colorado Springs, CO 80903, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the CIFG MaxBalanced
SM
Fund.
Dunn Warren Investment Advisors, LLC, 6143 S. Willow Drive, Suite 102, Greenwood Village, CO 80111, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the CIFG MaxBalanced
SM
Fund.
Mount Yale Asset Management, LLC, 1125 17
th
Street, Suite 1400, Denver, CO 80202, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Princeton Futures Strategy Fund.
6800 Capital, LLC, One Palmer Square, Suite 530, Princeton, NJ 08542, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Princeton Futures Strategy Fund.
Congress Asset Management Company, LLP, 2 Seaport Lane, Floor 5, Boston, MA 02210-2001, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Princeton Futures Strategy Fund.
Chadwick & DAmato, LLC, 224 Main Street, PO Box 1978, New London, NH 03257, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Chadwick & DAmato Fund.
13D Management, LLC, 200 East 61 Street, Suite 17C, New York, NY 10065, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the 13D Activist Fund.
Altegris Advisors, LLC, 1200 Prospect Street, Suite 400, La Jolla, CA 92037, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Altegris Managed Futures Strategy Fund, Altegris Macro Strategy Fund, Altegris Evolution Strategy Fund, Altegris Equity Long Short Fund, Altegris Fixed Income Long Short Fund and Altegris Multi-Strategy Alternative Fund.
W. E. Donoghue & Inc., 629 Washington Street, Norwood, MA 02062 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Power Income Fund and Power Dividend Index Fund.
Portfolio Strategies, Inc., 1724 W Union Avenue, Suite 200, Tacoma, WA 98405 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the PSI Market Neutral Fund, PSI Total Return Fund, PSI Strategic Growth Fund and PSI Tactical Growth Power Income Fund.
Avant Capital Management, LLC, 458 S. Tamiami Trail, Osprey, FL 34229, pursuant to the Investment Management Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Avant Gold Bullion Strategy Fund and Avant Gold Coin Strategy Fund.
Bishop Asset Management LLC, 20 Park Plaza, Suite 606, Boston, MA 02116, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Bishop Volatility Flex Fund.
CWC Advisors, LLC, 5800 SW Meadows Road, Suite 230, Lake Oswego, OR 97035, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the CWC Small Cap Aggressive Value Fund.
BBW Capital Advisors, 1743 Wazee Street, Suite 250, Denver, CO 80202, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the TransWestern Institutional Short Duration Government Bond Fund.
Loomis, Sayles & Company, L.P., One Financial Center, Boston, MA 02111, pursuant to the Sub- Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the TransWestern Institutional Short Duration Government Bond Fund.
7Twelve Advisors, LLC, 1720 West End Ave., Suite 540 Nashville, TN 37203 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the 7Twelve Balanced Fund.
Bandon Capital Management, LLC, 317 SW Alder Street, Suite 1110, Portland, OR 97204 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Bandon Isolated Alpha Fixed Income Fund.
Beech Hill Advisors, Inc, 880 third Ave., 16
th
Floor, New York, NY 10022 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Beech Hill Total Return Fund.
Clark Capital Management Group, Inc., 1650 Market Street, 53
rd
Floor, Philadelphia, Pennsylvania 19103 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Navigator Equity Hedged Fund and Navigator Duration Neutral Municipal Bond Fund.
Tatro Capital, LLC, 104 Richmond Ave., Nicholasville, KY 40356 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Tatro Capital Tactical Appreciation Fund.
Knollwood Investment Advisors, LLC, 626 W. Jackson Street, Chicago, IL 60661 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Grant Park Managed Futures Strategy Fund.
GPS Capital Management, LLC, 2410 Camino Ramon, Suite 128, San Ramon, CA 94583 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the GPS Multiple Strategy Fund.
Risk Paradigm Group, LLC, 5900 Southwest Parkway, Building 5, Suite 500, Austin, TX 78735 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Diversified Risk Parity Fund and RPG Emerging Market Premium Sector Rotation Fund.
Genesis Capital LLC, 7191 Wagner Way NW, Suite 302, Gig Harbor, WA 98335 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the SCA Absolute Return Fund and SCA Directional Fund.
Zeo Capital Advisors, LLC, 555 California Street, Suite 5180 San Francisco, CA 94104, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Zeo Strategic Income Fund.
Giralda Advisors, LLC, One Giralda Farms, Suite 130, Madison, NJ 07940, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The Giralda Fund.
Van Hulzen Asset Management, LLC, 950 Iron Point Road, Suite 290, Folsom, CA 95630, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Iron Horse Fund.
Mosaic Capital Management, LLC, 7535 Windsor Drive, Suite A205, Allentown PA, 18195, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Mosaic Managed Futures Strategy Fund.
Altrius Institutional Asset Management, LLC, 1323 Commerce Drive, New Bern, NC, 28562, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Altrius Small Cap Value Fund.
Ascendant Advisors, LLC, Four Oaks Place, 1330 Post Oak Blvd, Suite 1550, Houston, TX, 77056, pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Ascendant Balanced Fund, Ascendant Natural Resources Fund, Ascendant Natural Resources Master Fund, Ascendant Diversified Income & Growth Fund and the Patriot Fund.
Winch Advisory Services, LLC, 424 East Wisconsin Avenue, Appleton, WI 54911 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Ginkgo Multi-Strategy Fund.
Absolute Private Wealth Management LLC, 1001 West Loop South, Suite 811, Houston, TX 77027 pursuant to the Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Quantitative Managed Futures Strategy Fund.
Horizon Cash Management LLC, 325 W. Huron Street, Suite 808, Chicago, IL 60654 pursuant to the Sub-Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to Quantitative Managed Futures Strategy Fund.
J.P. Morgan Investment Management, Inc., 270 Park Avenue, New York, NY 10036, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Altegris Macro Strategy Fund.
Peregrine Capital Advisors, Inc., 311 West Monroe Street, Suite 1300, Chicago, IL 60606, pursuant to the Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Peregrine Gold Silver Alpha Strategy Fund.
Triex Financial Services, Inc., 10470 W. 163
rd
Place, Orland Park, IL 60467, pursuant to the Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Triex Long/Short Fund.
Doubleline Capital LP, 333 South Grand Avenue, Suite 1800, Los Angeles, CA 90071, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Altegris Futures Evolution Strategy Fund.
F-Squared Institutional Advisors, LLC, 2221 Washington Street, Suite 201, Newton, MA 02462, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the RPG Emerging Market Premium Sector Rotation Fund.
Preservation Trust Advisors, LLC, One Embarcadero Center, Suite 1140, San Francisco, CA 94111, pursuant to the Interim Investment Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to The Long-Short Fund.
Harvest Capital Strategies, LLC, 600 Montgomery Street, 20
th
Floor, San Francisco, CA 94111, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Altegris Equity Long Short Fund.
OMT Capital Management LLC, One Montgomery Street, Suite 3300, San Francisco, CA 94104, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Altegris Equity Long Short Fund.
Princeton Fund Advisors, LLC, 1125 17
th
Street, Suite 1400, Denver CO 80202, pursuant to the Co-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Eagle MLP Total Return Fund.
Eagle Global Advisors, LLC, 5847 San Felipe, Suite 930, Houston TX 77057, pursuant to the Co-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Eagle MLP Total Return Fund.
Sandalwood Securities, Inc. 101 Eisenhower Parkway, 3
rd
Floor, Roseland, NJ 07068, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Sandalwood Opportunity Fund.
RockView Management, LLC Metro Center, One Station Place, 7
th
Floor, Stamford , CT 06902, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Altegris Fixed Income Long Short Fund.
Alpha Simplex Group, LLC One Cambridge Center, Cambridge, MA 02142, pursuant to the Sub-Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the CMG Global Equity Fund.
Crow Point Partners, LLC, 10 New Driftway, Suite 203, Scituate, MA 02066, pursuant to the Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the EAS Crow Point Alternatives Fund.
Probabilities Fund Management, LLC, 1665 Union Street, Suite A, San Diego, CA 92101, pursuant to the Advisory Agreement with the Trust, maintains all records required pursuant to such agreement with respect to the Probabilities Fund.
ITEM 34.