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Document Preview Portfolio Research Consultant Agreement |
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Title: |
Portfolio Research Consultant Agreement |
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Entities: |
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Date: |
2007 |
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Size: |
20KB total |
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Price: |
$34 |
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ID: |
#3270947 |
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PORTFOLIO RESEARCH CONSULTANT AGREEMENT
THIS AGREEMENT is made and entered into as of this 21st day of December, 2007, by and between Envestnet Asset Management, Inc., a Delaware corporation (the ?Adviser?) and III to I Financial Management Research, LP a limited partnership (the ?PRC?) regarding the 3 to 1 Funds (each a ?Fund,? collectively, the ?Funds?), each a series of Unified Series Trust, an Ohio business trust located at 2960 N. Meridian St., Suite 300, Indianapolis, IN 46208 (the ?Trust?).
WHEREAS, the Fund is registered as an open-end, management investment company under the Investment Company Act of 1940, as amended (the ?1940 Act?); and
WHEREAS, the Adviser has been appointed investment adviser to the Funds, pursuant to an Investment Advisory Agreement dated December 21, 2007, which has been approved by the Trust?s Board of Trustees (the ?Advisory Agreement?); and
WHEREAS, the Adviser desires to retain the PRC to assist the Adviser in providing a continuous investment program for each Fund?s portfolio and the PRC is willing to do so; and
WHEREAS, the Board of Trustees of the Trust has approved this Agreement, and the PRC is willing to furnish such services upon the terms and conditions herein set forth;
NOW, THEREFORE, in consideration of the premises and mutual covenants herein contained, it is agreed between the parties hereto as follows:
1. Appointment. The Adviser hereby appoints the PRC to serve as consultant to the Adviser with respect to the Funds. Intending to be legally bound, the PRC accepts such appointment and agrees to render the services herein set forth for the compensation herein provided.
2. Advisory Services. Subject to the supervision of the Trust?s Board of Trustees, the PRC will assist the Adviser in providing a continuous investment program for the Funds, including investment research and management with respect to the Adviser?s selection of sub-advisers to the Adviser (the ?Sub-Advisers?) and the Adviser?s allocations of Fund assets to Sub-Advisers by security type and investment strategy. The PRC will provide services under this Agreement in accordance with each Fund?s investment objective, policies and restrictions as stated in the Funds? Prospectus and resolutions of the Funds? Board of Trustees applicable to the Funds (as attached hereto on Annex I).
Without limiting the generality of the foregoing, the PRC further agrees that its role will include the following:
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(a) |
Determining the number and types of funds to create; | ||
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(b) |
Developing the investment policy statement for the Funds; | ||
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(c) |
Determining the expense cap and related fees of the Funds; | ||
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(d) |
Initial selection of the Sub-Advisers (subject to Adviser approval); | ||
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(e) |
Determination of ongoing allocation changes (or other investment policy changes), subject to Adviser?s approval; |
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(f) |
Ongoing recommendations for changes in Sub-Advisers (subject to Adviser approval); |
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(g) |
Determination of certain operational issues with respect to conversion/transfer to initially fund the Funds (i.e. coordinating transfers with the administrator of the Funds, Unified Fund Services, Inc. (the ?Fund Administrator?) and the Adviser); | |
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