Mutual Fund Database

Northern Lights Fund Trust III

Swan Defined Risk U.S. Small Cap Fund

Fund of Funds
Series ID: S000051347
LEI: 549300D7QA0P3RGGT694
SEC CIK: 1537140
$32.68M Avg Monthly Net Assets
$31.36M Total Assets
$285K Total Liabilities
$31.07M Net Assets
Swan Defined Risk U.S. Small Cap Fund is a Fund of Funds in Northern Lights Fund Trust III , based in Ohio, United States of America. The fund has three share classes and monthly net assets of $32.68M. On August 28th, 2024 it reported 7 holdings, the largest being iShare Trust (90.8%), (8.3%) and First American Funds Inc. (1.3%). Data provided by Fincoded.

Share Classes

Name Class/Contract ID Ticker Monthly Returns (2 years)
Swan Defined Risk U.S. Small Cap Fund Class A C000161880 SDCAX Jun 22Jul 22Aug 22Sep 22Oct 22Nov 22Dec 22Jan 23Feb 23Mar 23Apr 23May 23Jun 23Jul 23Aug 23Sep 23Oct 23Nov 23Dec 23Jan 24Feb 24Mar 24Apr 24May 248.85% (Max)-4.60% (Min)
Swan Defined Risk U.S. Small Cap Fund Class C C000161881 SDCCX Jun 22Jul 22Aug 22Sep 22Oct 22Nov 22Dec 22Jan 23Feb 23Mar 23Apr 23May 23Jun 23Jul 23Aug 23Sep 23Oct 23Nov 23Dec 23Jan 24Feb 24Mar 24Apr 24May 248.73% (Max)-4.64% (Min)
Swan Defined Risk U.S. Small Cap Fund Class I C000161882 SDCIX Jun 22Jul 22Aug 22Sep 22Oct 22Nov 22Dec 22Jan 23Feb 23Mar 23Apr 23May 23Jun 23Jul 23Aug 23Sep 23Oct 23Nov 23Dec 23Jan 24Feb 24Mar 24Apr 24May 248.84% (Max)-4.59% (Min)

Holdings

From latest NPORT-P, filed August 28th, 2024 for period ending June 30th, 2024. Historic holdings data available from Fincoded.
Name Profile Category Country Value $USD # Shares % of Fund
EFA US 08/16/24 C83 Short Derivative-equity $-21K – -0.07
EFA US 08/16/24 P73 Short Derivative-equity $-20K – -0.06
FRST AM-GV OB-X (First American Funds Inc.) Long Short-term investment vehicle US $415K – 1.34
ISHARES RUSSELL (iShare Trust) Long Equity-common US $28M 139K 90.75
RUT US 08/16/24 C2205 Short Derivative-equity $-26K – -0.08
RUT US 08/16/24 P1895 Short Derivative-equity $-32K – -0.10
RUT US 12/19/25 P2150 Long Derivative-equity $3M – 8.25

Address

Northern Lights Fund Trust III
225 Pictoria Drive, Suite 450
Cincinnati
Ohio
45246
United States of America

Websites

Directors

Mark H. Taylor
Jeffrey D. Young
Patricia Luscombe
John V. Palancia

Transfer Agents

Ultimus Fund Solutions, LLC

Pricing Services

ICE Data Services

Custodians

U.S. Bank N.A.

Shareholder Servicing Agents

Ultimus Fund Solutions, LLC

Admins

Ultimus Fund Solutions, LLC

Brokers

UBS
BANK OF AMERICA MERRILL LYNCH
WOLVERINE EXECUTION SERVICES
JANE STREET
DASH FINANCIAL
GOLDMAN SACHS