Mga Batayang Estadistika
| CIK | 1936157 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Elevation Series Trust - Sovereign's Capital Flourish Fund
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| September 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| August 12, 2025 |
As filed with the Securities and Exchange Commission on August 12, 2025 1933 Act Registration File No. |
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| August 12, 2025 |
Elevation Series Trust POS EX Exhibit 99(12) August 1, 2025 Elevation Series Trust 1700 Broadway Suite 1850 Denver, CO 80290 RiverNorth Funds 360 S. |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| July 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| June 25, 2025 |
Statement of Additional Information June 25, 2025 Mr. Daniel Greenspan Division of Investment Management— Disclosure Review and Accounting Office U.S. Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Elevation Series Trust; File Nos. 333-265972, 811-23812 Dear Mr. Greenspan: On April 4, 2025, Elevation Series Trust (the “Trust” or “Registrant”) filed an amendment to its Registration Statement under Form |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| June 24, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ELEVATION SERIES TRUST N-14/A Exhibit 99.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated June 28, 2024, relating to the financial statements and financial highlights of Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund, each a series of Financial Inve |
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| June 24, 2025 |
As filed with the Securities and Exchange Commission on June 24, 2025 1933 Act Registration File No. |
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| June 24, 2025 |
ELEVATION SERIES TRUST N-14/A Exhibit 99.11(b) June 24, 2025 Elevation Series Trust 1700 Broadway, Suite 1850 Denver, Colorado 80290 Re: Elevation Series Trust - File No. 333-287352 Ladies and Gentlemen: A legal opinion (the “Legal Opinion”) that we prepared was filed with the Elevation Series Trust Registration Statement on Form N-14. We hereby give you our consent to incorporate by reference the |
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| June 24, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ELEVATION SERIES TRUST N-14/A Exhibit 99.14(c) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our reports dated June 29, 2023, relating to the financial statements and financial highlights of Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund, each a series of Financial Investors |
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| June 24, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ELEVATION SERIES TRUST N-14/A Exhibit 99.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the references to our firm in this Registration Statement on Form N-14 of Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund, each a series of Elevation Series Trust, under the headings “Questions and Answers” and “Summary Comparison of the Funds”” in the Co |
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| June 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a−101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☑ Filed by a party other than the registrant ☐ Check the appropriate box: ☑ Preliminary proxy statement ☐ Confidential, for use of |
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| June 12, 2025 |
June 12, 2025 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 VIA EDGAR Re: Elevation Series Trust - N-14 (File No. 333-287352) Ladies and Gentlemen, Pursuant to Rule 473 under the Securities Act of 1933, as amended, the following delaying amendment is hereby added at the bottom of the Facing Page of the above-referenced N-14 (Accession No. 0001999371-25-006327), |
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| June 10, 2025 |
Elevation Series Trust N-14 Exhibit 99.(11) June 9, 2025 Elevation Series Trust 1700 Broadway, Suite 1850 Denver, CO 80290 Re: Opinion of Counsel Relating to the Registration Statement Filed on Form N-14 Under the Securities Act of 1933 Ladies and Gentlemen: We have been requested by Elevation Series Trust, an open-end investment company with transferable shares (the “Trust”) established under the |
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| June 10, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Elevation Series Trust N-14 Exhibit 99.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the references to our firm in this Registration Statement on Form N-14 of RiverNorth Active Income ETF, a series of Elevation Series Trust, under the headings “Questions and Answers” and “Summary Comparison of the Funds” in the Combined Proxy Statement and Prospectus and “Inde |
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| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| June 10, 2025 |
Appendix A List of Funds and CustodianEntities Elevation Series Trust N-14 Exhibit 99.9(b) State Street Bank and Trust Company 1 Congress Street Boston, MA 02114 Attention: Senior Vice President - Custody Operations with a copy to: State Street Bank and Trust Company Legal Division - Global Services Americas \ 1 Congress Street Boston, MA 02114 Re: TrueShares Structured Outcome (January) ETF (“JANZ”), TrueShares Structured Outcome (February) E |
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| June 10, 2025 |
Elevation Series Trust N-14 Exhibit 99.13(b) May 12, 2025 State Street Bank and Trust Company 1 Congress Street Boston, MA 02114 Attention: Senior Vice President - Custody Operations with a copy to: State Street Bank and Trust Company Legal Division – Global Services Americas 1 Congress Street Boston, MA 02114 Re: TrueShares Structured Outcome (January) ETF (“JANZ”), TrueShares Structured Outcome |
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| June 10, 2025 |
Elevation Series Trust N-14 Exhibit 99.12 Form of Tax Opinion , 20 Elevation Series Trust 1700 Broadway Suite 1850 Denver, CO 80290 RiverNorth Funds 360 S. Rosemary Avenue Suite 1420 West Palm Beach, FL 33401 RE: AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (THE “AGREEMENT”), DATED AS OF , 2025, BY AND AMONG ELEVATION SERIES TRUST (THE “ACQUIRING TRUST”), ON BEHALF OF RIVERNORTH ACTIVE INC |
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| June 10, 2025 |
AMENDMENT TO THE ELEVATION SERIES TRUST INVESTMENT ADVISORY AGREEMENT TRUEMARK INVESTMENTS, LLC Elevation Series Trust N-14 Exhibit 99.6(b) AMENDMENT TO THE ELEVATION SERIES TRUST INVESTMENT ADVISORY AGREEMENT with TRUEMARK INVESTMENTS, LLC THIS AMENDMENT dated as of [ ], to the Investment Advisory Agreement dated as of July 1, 2024 (the “Agreement”), entered into by and between ELEVATION SERIES TRUST (the “Trust”), a Delaware statutory trust, and TRUEMARK INVESTMENTS, LLC, a Delaware limite |
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| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| June 10, 2025 |
As filed with the Securities and Exchange Commission on June 10, 2025 1933 Act Registration File No. |
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| June 10, 2025 |
Elevation Series Trust N-14 Exhibit 99.6(c) ELEVATION SERIES TRUST INVESTMENT SUB-ADVISORY AGREEMENT With TRUEMARK INVESTMENTS, LLC AND RIVERNORTH CAPITAL MANAGEMENT, LLC This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this [DATE] by and among TRUEMARK INVESTMENTS, LLC, a Delaware limited liability company with its principal place of business at 433 W. Van Buren Street, 1100 |
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| June 10, 2025 |
Amendment #5 to the Distribution Agreement Elevation Series Trust N-14 Exhibit 99.7(b) Amendment #5 to the Distribution Agreement This Amendment #5 to the Distribution Agreement is entered into on [, 2024] (the “Amendment”) by and among each of Elevation Series Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed on Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), and Paralel Distributors |
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| June 10, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Elevation Series Trust N-14 Exhibit 99.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated November 27, 2024, relating to the financial statements and financial highlights of RiverNorth Core Opportunity Fund, a series of RiverNorth Funds, which are included in Form N-CSR f |
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| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| May 16, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Elevation Series Trust N-14 Exhibit 99.14(b) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the references to our firm in this Registration Statement on Form N-14 of Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund, each a series of Elevation Series Trust, under the headings “Questions and Answers” and “Summary Comparison of the Funds” in the Combi |
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| May 16, 2025 |
ELEVATION SERIES TRUST INVESTMENT ADVISORY AGREEMENT with Vulcan Value Partners, LLC Elevation Series Trust N-14 Exhibit 99.(6)(a) ELEVATION SERIES TRUST INVESTMENT ADVISORY AGREEMENT with Vulcan Value Partners, LLC This INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made effective as of this , 2025 by and between ELEVATION SERIES TRUST (the “Trust”), a Delaware statutory trust, and Vulcan Value Partners, LLC (the “Adviser”), a Delaware limited liability company with its princ |
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| May 16, 2025 |
Appendix A List of Funds and Custodian Entities Elevation Series Trust N-14 Exhibit 99.(9)(b) [Date , 2025] State Street Bank and Trust Company 1 Congress Street Boston, MA 02114 Attention: Senior Vice President - Custody Operations with a copy to: State Street Bank and Trust Company Legal Division - Global Services Americas 1 Congress Street Boston, MA 02114 Re: TrueShares Structured Outcome (January) ETF (“JANZ”), TrueShares Structured Outcom |
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| May 16, 2025 |
Elevation Series Trust N-14 Exhibit 99.(13)(d) ELEVEVATION SERIES TRUST VULCAN ADDENDUM DATED [ ] TO THE MASTER ADMINISTRATION AND FUND ACCOUNTING AGREEMENT BETWEEN ELEVATION SERIES TRUST AND PARALEL TEchnologies LLC 1. Relationship to Agreement: Except as specifically set forth herein, defined terms used in this Fund Addendum shall have the meaning set forth in the Master Administration and Fund |
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| May 16, 2025 |
Elevation Series Trust N-14 Exhibit 99.(12) Form of Tax Opinion , 2025 Financial Investors Trust 1290 Broadway, Suite 1100 Denver, CO 80203 Elevation Series Trust 1700 Broadway, Suite 1850 Denver, CO 80290 Re: REORGANIZATION of the Vulcan Value Partners Fund Ladies and Gentlemen: You have requested our opinion with respect to certain of the federal income tax consequences of a proposed transaction |
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| May 16, 2025 |
Elevation Series Trust N-14 Exhibit 99.11 May 15, 2025 Elevation Series Trust 1700 Broadway, Suite 1850 Denver, CO 80290 Re: Opinion of Counsel Relating to the Registration Statement Filed on Form N-14 Under the Securities Act of 1933 Ladies and Gentlemen: We have been requested by Elevation Series Trust, an open-end investment company with transferable shares (the “Trust”) established under the l |
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| May 16, 2025 |
AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION Elevation Series Trust N-14 Exhibit 99.(4) AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION THIS AGREEMENT AND PLAN OF REORGANIZATION AND TERMINATION (“Reorganization Agreement”) is made as of this 5th day of May, 2025 by Elevation Series Trust, a Delaware statutory trust (“Acquiring Trust”), separately on behalf of each of Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund, ( |
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| May 16, 2025 |
MASTER TRANSFER AGENCY AND SERVICES AGREEMENT Elevation Series Trust N-14 Exhibit 99.(13)(a) MASTER TRANSFER AGENCY AND SERVICES AGREEMENT THIS TRANSFER AGENCY AND SERVICES AGREEMENT (the “Agreement”) is made as of [DATE], between Elevation Series Trust, a Delaware statutory trust (the “Trust”), and Paralel Technologies LLC, a Delaware limited liability company (“Paralel”). WHEREAS, the Trust is registered under the Investment Company Act of |
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| May 16, 2025 |
ELEVATION SERIES TRUST RULE 18f-3 MULTIPLE CLASS PLAN Elevation Series Trust N-14 Exhibit 99.(10)(b) ELEVATION SERIES TRUST RULE 18f-3 MULTIPLE CLASS PLAN This Multiple Class Plan (the “Plan”) is adopted in accordance with Rule 18f-3 (the “Rule”) under the Investment Company Act of 1940, as amended (the “Act”), by Elevation Series Trust (the “Trust”) on behalf of each series of the Trust that has multiple classes of shares (each a “Fund”). A majority |
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| May 16, 2025 |
Elevation Series Trust N-14 Exhibit 99.(6)(b) Bradley Swenson Elevation Series Trust 1700 Broadway, Suite 1850 Denver, CO 80290 Re: Vulcan Value Partners Fund (the “Partners Fund”) and Vulcan Value Partners Small Cap Fund (the “Small Cap Fund” and together with the Partners Fund, the “Funds”) of the Elevation Series Trust (“EST”) Dear Mr. Swenson, This letter confirms Vulcan Value Partners, LLC’s |
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| May 16, 2025 |
Elevation Series Trust INVESTOR CLASS MASTER DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 Elevation Series Trust N-14 Exhibit 99.(10)(a) Elevation Series Trust INVESTOR CLASS MASTER DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 BACKGROUND A. Elevation Series Trust (the “Trust”) is an open-end management investment company registered as such under the Investment Company Act of 1940, as amended (the “1940 Act”), and is authorized to issue an unlimited number of shares of beneficial interest w |
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| May 16, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Elevation Series Trust N-14 Exhibit 99.14(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated June 28, 2024, relating to the financial statements and financial highlights of Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund, each a series of Financial Invest |
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| May 16, 2025 |
Elevation Series Trust N-14 Exhibit 99.(7) DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made effective this [ ], by and between Elevation Series Trust, a Delaware statutory trust (the “Trust”), on behalf of its Funds (defined below), and Paralel Distributors LLC, a Delaware limited liability company (the “Distributor”). WHEREAS, the Trust is a registered open-end managem |
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| May 16, 2025 |
As filed with the Securities and Exchange Commission on May 16, 2025 1933 Act Registration File No. |
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| May 16, 2025 |
Elevation Series Trust N-14 Exhibit 99.(13)(b) VULCAN FUND ADDENDUM DATED [ ] TO THE MASTER TRANSFER AGENCY AND SERVICES AGREEMENT (“AGREEMENT”) BETWEEN ELEVATION SERIES TRUST AND PARALEL TEchnologies LLC 1. Relationship to Agreement: Except as specifically set forth herein, defined terms used in this Fund Addendum shall have the meaning set forth in the Agreement. Upon executing this Fund Addendu |
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| January 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| January 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| January 15, 2025 |
CORRESP 1 filename1.htm January 15, 2025 Rebecca Marquigny Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Elevation Series Trust; File Nos. 333-265972, 811-23812 Dear Ms. Marquigny: On September 19, 2024, Elevation Series Trust (the “Trust” or “Registrant”) filed an amendment to its Registration Statement under |
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| December 26, 2024 |
Elevation Series Trust POS-EX Exhibit 99(h)(11) TRUESHARES First amended and restated FUND ADDENDUM DATED December 26, 2024 TO THE MASTER ADMINISTRATION AND FUND ACCOUNTING AGREEMENT BETWEEN ELEVATION SERIES TRUST AND PARALEL TEchnologies LLC 1. |
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| December 26, 2024 |
Elevation Series Trust POS-EX Exhibit 99(h)(6) December 13, 2024 State Street Bank and Trust Company 1 Congress Street Boston, MA 02114 Attention: Senior Vice President - Custody Operations with a copy to: State Street Bank and Trust Company Legal Division – Global Services Americas 1 Congress Street Boston, MA 02114 Re: TrueShares Seasonality Laddered Buffered ETF (“ONEZ”) and The Opal International Dividend Income ETF (“IDVZ”) (the “Funds”) Ladies and Gentlemen: Please be advised that the undersigned Funds have been incorporated and registered as a management investment company under the Investment Company Act of 1940, as amended. |
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| December 26, 2024 |
Elevation Series Trust POS-EX Exhibit 99(i)(1) December 26, 2024 Elevation Series Trust 1700 Broadway, Suite 1850 Denver, Colorado 80290 Dear Board Members: This letter is in response to your request for our opinion in connection with the filing of Post-Effective Amendment Nos. |
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| December 26, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Elevation Series Trust POS-EX Exhibit 99(j)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the references to our firm in this Registration Statement on Form N-1A of The Opal International Dividend Income ETF, a series of Elevation Series Trust, under the headings “Financial Highlights” in the Prospectus and “Independent Registered Public Accounting Firm” in the Statement of Additional Information. |
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| December 26, 2024 |
Amendment #4 to the Distribution Agreement Elevation Series Trust POS-EX Exhibit 99(e)(2) Amendment #4 to the Distribution Agreement This Amendment #4 to the Distribution Agreement is entered into on December 26, 2024 (the “Amendment”) by and among each of Elevation Series Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed on Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), and Paralel Distributors LLC, a Delaware limited liability company (the “Distributor”). |
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| December 26, 2024 |
Elevation Series Trust POS-EX Exhibit 99(d)(11) ELEVATION SERIES TRUST INVESTMENT SUB-ADVISORY AGREEMENT With TRUEMARK INVESTMENTS, LLC AND OPAL CAPITAL LLC This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this December 26, 2024 by and among TRUEMARK INVESTMENTS, LLC, a Delaware limited liability company with its principal place of business at 433 W. |
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| December 26, 2024 |
Appendix A List of Funds and Custodian Entities Elevation Series Trust POS-EX Exhibit 99(g)(6) December 13, 2024 State Street Bank and Trust Company 1 Congress Street Boston, MA 02114 Attention: Senior Vice President - Custody Operations with a copy to: State Street Bank and Trust Company Legal Division - Global Services Americas 1 Congress Street Boston, MA 02114 Re: TrueShares Seasonality Laddered Buffered ETF (“ONEZ”) and The Opal International Dividend Income ETF (“IDVZ”) (the “Funds”) Ladies and Gentlemen: Please be advised that the undersigned Funds have been incorporated and registered as a management investment company under the Investment Company Act of 1940, as amended. |
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| December 26, 2024 |
Elevation Series Trust POS-EX Exhibit 99(d)(10) FIRST AMENDMENT TO THE ELEVATION SERIES TRUST INVESTMENT ADVISORY AGREEMENT with TRUEMARK INVESTMENTS, LLC THIS FIRST AMENDMENT dated as of December 26, 2024, to the Investment Advisory Agreement dated as of July 1, 2024 (the “Agreement”), entered into by and between ELEVATION SERIES TRUST (the “Trust”), a Delaware statutory trust, and TRUEMARK INVESTMENTS, LLC, a Delaware limited liability company with its principal place of business at 433 W. |
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| December 26, 2024 |
As filed with the Securities and Exchange Commission on December 26, 2024 Securities Act Registration No. |
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| December 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| November 27, 2024 |
November 27, 2024 Ms. Rebecca Marquigny Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Elevation Series Trust; File Nos. 333-265972, 811-23812 Dear Ms. Marquigny: On September 30, 2024, Elevation Series Trust (the “Trust” or “Registrant”) filed an amendment to its Registration Statement under Form N- |
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| June 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| June 25, 2024 |
Statement of Additional Information June 25, 2024 Mr. Ray Be Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Elevation Series Trust; File Nos. 333-265972, 811-23812 Dear Mr. Be: On April 4, 2024, Elevation Series Trust (the “Trust” or “Registrant”) filed an amendment to its Registration Statement under Form N-1A pursuant to the Securiti |
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| October 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| October 24, 2023 |
October 24, 2023 Alison T. White Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Elevation Series Trust; File Nos. 333-265972, 811-23812 Dear Ms. White: On February 16, 2023, Elevation Series Trust (the “Trust” or “Registrant”) filed an amendment to its Registration Statement under Form N-1A pursuant to the Secu |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C (RULE 14c-101) SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [ ] Preliminary information statement [ ] Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) [X] Definitive information statement Elevation Series Trust (Name of Registrant as Specified in Its Charter) Payment of Filing Fee (Check all boxes that apply): [X] No fee required. |
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| October 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| October 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Elevation Series Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware See Following Page (State of incorporation or organization) (IRS Employer Identification No. |
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| September 30, 2022 |
ELEVATION SERIES TRUST INVESTMENT ADVISORY AGREEMENT with Paralel Advisors LLC ELEVATION SERIES TRUST INVESTMENT ADVISORY AGREEMENT with Paralel Advisors LLC This INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made as of this 28th day of September 30, 2022 by and between Elevation Series Trust (the “Trust”), a Delaware statutory trust, and PARALEL ADVISORS LLC, a Delaware limited liability company with its principal place of business at 1700 Broadway, Suite 1230, Denver, Colorado 80290 (the “Adviser”). |
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| September 30, 2022 |
ELEVATION SERIES TRUST SEED CAPITAL SUBSCRIPTION AGREEMENT ELEVATION SERIES TRUST SEED CAPITAL SUBSCRIPTION AGREEMENT 1. Share Subscription. The undersigned hereby agrees to acquire from Elevation Series Trust (the “Trust”), which is an investment company offering multiple series (each, a “Fund” and collectively, the “Funds”), the following shares of beneficial interest (each a “Share” and collectively the “Shares”) of each Fund below at the per-Share pur |
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| September 30, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation in this Registration Statement on Form N-1A of our report dated September 29, 2022, relating to the financial statement of SRH U. |
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| September 30, 2022 |
CUSTODY AGREEMENT This Agreement (the “Agreement”) is made as of September 2, 2022 (the “Effective Date”) between: (1) Elevation Series Trust, a statutory trust formed under the laws of Delaware (the “Client”); and (2) STATE STREET BANK AND TRUST COMPANY, a bank and trust company organized under the laws of The Commonwealth of Massachusetts, U. |
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| September 30, 2022 |
STATE OF DELAWARE CERTIFICATE OF AMENDMENT TO CERTIFICATE OF TRUST STATE OF DELAWARE CERTIFICATE OF AMENDMENT TO CERTIFICATE OF TRUST Pursuant to Title 12, Section 3810(b) of the Delaware Statutory Trust Act, the undersigned Trust executed the following Certificate of Amendment: 1. |
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| September 30, 2022 |
EX-99.28 7 fp0079851ex9928e1.htm DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made effective this September 27, 2022, by and between Elevation Series Trust, a Delaware statutory trust (the “Trust”) and Paralel Distributors LLC, a Delaware limited liability company (the “Distributor”). WHEREAS, the Trust is a registered open-end management investment company organized und |
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| September 30, 2022 |
As filed with the Securities and Exchange Commission on September 29, 2022 Securities Act Registration No. |
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| September 30, 2022 |
Code of Ethics Most Recently Revised: August 5, 2022 Code of Ethics Most Recently Revised: August 5, 2022 Background This Code of Ethics ("Code") has been adopted by various Paralel entities, together and separately referred to as "Paralel", including: • Paralel Technologies LLC ("PTL") • Paralel Advisors LLC ("PAL") • Paralel Distributors, Inc. |
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| September 30, 2022 |
TRANSFER AGENCY AND SERVICE AGREEMENT EX-99.28 10 fp0079851ex9928h1.htm EXECUTION TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 22nd day of September, 2022, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and ELEVATION SERIES TRUST, a sta |
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| September 30, 2022 |
ADMINISTRATION AND FUND ACCOUNTING AGREEMENT EX-99.28 11 fp0079851ex9928h2.htm ADMINISTRATION AND FUND ACCOUNTING AGREEMENT This ADMINISTRATION AND FUND ACCOUNTING AGREEMENT (“Agreement”) is made effective as of September 30, 2022, between Elevation Series Trust, a Delaware statutory trust (the “Fund”), and Paralel Technologies LLC, a Delaware Limited Liability Company, its successors and assigns (the “Administrator”). WHEREAS, the Trust is |
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| September 30, 2022 |
Vident Advisory, LLC and Vident Investment Advisory, LLC Code of Ethics March 2, 2022 Vident Advisory, LLC and Vident Investment Advisory, LLC Code of Ethics March 2, 2022 INTRODUCTION 3 1. |
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| September 30, 2022 |
September 28, 2022 Elevation Series Trust 1700 Broadway Suite 1230 Denver, Colorado 80290 Dear Board Members: This letter is in response to your request for our opinion in connection with the filing of Pre-Effective Amendment No. |
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| September 30, 2022 |
EX-99.28 16 fp0079851ex9928p1.htm Code of Ethics BACKGROUND AND DISCUSSION I. Purpose of the Code of Ethics This code is based on the principle that, you as an access person of the Elevation Series Trust, (the "Trust"), will conduct your personal investment activities in accordance with: • the duty at all times to place the interests of the Trust's shareholders first; • the requirement that all pe |
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| September 30, 2022 |
Second Amended and Restated Declaration of Trust of Elevation Series Trust EX-99.28 3 fp0079851ex9928a3.htm Second Amended and Restated Declaration of Trust of Elevation Series Trust This Second Amended and Restated Declaration of Trust is made as of September 26, 2022 by the Trustees hereunder. WHEREAS, the Trust (defined below) was formed pursuant to a Certificate of Trust dated as of March 7, 2022, with a Declaration of Trust dated as of May 18, 2022; WHEREAS, the Tru |
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| September 30, 2022 |
FORM OF AUTHORIZED PARTICIPANT AGREEMENT ELEVATION SERIES TRUST EX-99.28 8 fp0079851ex9928e2.htm FORM OF AUTHORIZED PARTICIPANT AGREEMENT ELEVATION SERIES TRUST This Authorized Participant Agreement (the “Agreement”) is entered into by and between Paralel Distributors LLC (the “Distributor”) and [ ] (the “Participant”) and is subject to acceptance by State Street Bank and Trust Company (the “Transfer Agent”), as transfer agent/index receipt agent for Elevation |
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| September 30, 2022 |
ELEVATION SERIES TRUST INVESTMENT SUB-ADVISORY AGREEMENT with Vident Investment Advisory, LLC ELEVATION SERIES TRUST INVESTMENT SUB-ADVISORY AGREEMENT with Vident Investment Advisory, LLC This INVESTMENT SUB-ADVISORY AGREEMENT (the ?Agreement?) is made as of this 28th day of September, 2022 by and among PARALEL ADVISORS LLC (the ?Adviser?), a Delaware limited liability company with its principal place of business at 1700 Broadway, Suite 1230, Denver, Colorado 80290, and VIDENT INVESTMENT ADVISORY, LLC (the ?Sub-Adviser?), a Delaware limited liability company with its principal place of business at 1125 Sanctuary Parkway, Suite 515, Alpharetta, Georgia 30009, and ELEVATION SERIES TRUST (the ?Trust?), a Delaware statutory trust. |
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| September 30, 2022 |
INDEX LICENSE AGREEMENT THIS INDEX LICENSE AGREEMENT ("Agreement"), effective as of September 27, 2022 (the "Effective Date"), is entered into by and between Paralel Advisors LLC ("Licensee"), a Delaware limited liability company, having an office at 1700 Broadway, Suite 1230, Denver, CO 80290, and Rocky Mountain Advisers, LLC, an Alaska limited liability company ("Licensor"), having an office at 2121 E. |
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| September 30, 2022 |
Amended Bylaws of Elevation Series Trust A Delaware Statutory Trust Approved: May 18, 2022 Amended: September 14, 2022 to reflect new Trust name Amended Bylaws of Elevation Series Trust A Delaware Statutory Trust These Bylaws (“Bylaws”) may contain any provision not inconsistent with applicable Investment Company Act of 1940, as amended (“1940 Act”), rules and regulations, Delaware law, other applicable law or the Agreement and Declaration of Trust (the “Trust Instrument”), relating to the governance of the Elevation Series Trust (the “Trust”). |
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| September 9, 2022 |
Securities and Exchange Commission CORRESP 1 filename1.htm September 9, 2022 Securities and Exchange Commission Division of Investment Management 100 F. Street, N.E. Washington, D.C. 20549-0506 Dear Mr. Williamson: Thank you for your comments contained in your correspondence dated July 29, 2022 concerning the registration statement for the Elevation Series Trust (formerly the Consortio Funds Trust) (the “Trust”) filed on Form N-1A |
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| July 1, 2022 |
Bylaws Consortio Funds Trust A Delaware Statutory Trust (Effective as of May 18, 2022) EX-99.28.B.1 4 fp0077247ex9928b1.htm Bylaws of Consortio Funds Trust A Delaware Statutory Trust (Effective as of May 18, 2022) These Bylaws (“Bylaws”) may contain any provision not inconsistent with applicable Investment Company Act of 1940, as amended (“1940 Act”), rules and regulations, Delaware law, other applicable law or the Agreement and Declaration of Trust (the “Trust Instrument”), relatin |
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| July 1, 2022 |
Securities Act Registration No. 333- Investment Company Act Registration No. 811-23812 SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. Post-Effective Amendment No. and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. Consortio Funds Trust (Exact Name of Registrant as Speci |
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| July 1, 2022 |
Declaration of Trust Consortio Funds Trust EX-99.28.A.2 3 fp0077247ex9928a2.htm Declaration of Trust of Consortio Funds Trust DECLARATION OF TRUST made as of this May 18, 2022, by the Trustees hereunder, and by the holders of Shares to be issued by Consortio ETF Trust (the “Trust”) hereunder as hereinafter provided. WHEREAS, the Trustee desires to establish a statutory trust for the investment and reinvestment of funds contributed thereto; |
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| July 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection wit |
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| July 1, 2022 |
POWER OF ATTORNEY I, the undersigned trustee of the Consortio Funds Trust (“Trust”), hereby severally constitute and appoint Bradley J. |
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| July 1, 2022 |
STATE OF DELAWARE CERTIFICATE OF TRUST CONSORTIO FUNDS TRUST EX-99.28.A.1 2 fp0077247ex9928a1.htm STATE OF DELAWARE CERTIFICATE OF TRUST of CONSORTIO FUNDS TRUST This Certificate of Trust of the Consortio Funds Trust (the "Trust") is being duly executed and filed on behalf of the Trust by the undersigned, as the initial trustee, to form a statutory trust under the Delaware Statutory Trust Act (Title 12 of the Delaware Code, § 3801 et seq.) (the "Act"). 1. N |
