3Roots Wealth Partners LLC

ITEM 5 FEES AND COMPENSATION

Please note, unless a Client has received the firm’s Disclosure Brochure at least 48 hours prior to signing
the investment advisory contract, the investment advisory contract may be terminated by the Client within
five (5) business days of signing the contract without incurring any advisory fees.
Investment Management Fee Schedule
     A. Adviser’s Investment Management fee is based on the market value of assets and
        is calculated according to the below listed fee schedule. The annual fees are
        negotiable.

                    Assets Under Management                      Annual Account Fee
                         0 - $1,000,000                                  1.50%
                     $1,000,000 - $5,000,000                             1.00%
                      $5,000,000 and Above                               0.85%

     B. Fees are directly debited from Client accounts, or the Client may choose to pay by check or
        electronic funds transfer. The annual fee is a blended fee and is calculated by assessing the
        percentage rates using the predefined levels of assets as shown in the above chart and applying the
        fee to the account value as of the last day of the previous month. When Adviser uses Pontera,
        Adviser will pay fees for these services (fees are not passed onto the client).

     C. Fees are exclusive of brokerage commissions, transaction fees, and other related costs and expenses
        which may be incurred by the Client. Clients may incur certain charges imposed by custodians,
        brokers, and other third parties such as custodial fees, deferred sales charges, odd-lot differentials,
        transfer taxes, wire transfer, and electronic fund fees, and other fees and taxes on brokerage
        accounts and securities transactions. Mutual fund and exchange-traded funds also charge internal
        management fees, which are disclosed in a fund's prospectus. These charges, fees, and
        commissions are exclusive of and in addition to the Adviser’s fee, and the Adviser shall not receive
        any portion of these commissions, fees, and costs.

    D. Fees are pro-rated and are paid in arrears on a monthly basis. Accounts initiated or terminated
       during a calendar month will be charged a pro-rated fee based on the amount of time remaining in
       the billing period. An account may be terminated with written notice at least 30 calendar days in
       advance. Since fees are paid in arrears, no refund will be needed upon termination of the account.

    E. Other Compensation

        Neither Adviser nor any of Adviser’s supervised persons accepts compensation for the sale of
        securities or other investment products, including asset-based sales charges or service fees from
        the sale of mutual funds.
Financial Planning Fee Schedule
    A. Adviser’s Financial Planning fee is negotiable based on the type of services provided and the needs
       of the client and are notated on the financial planning agreement.

       For project-based financial planning, fees range between $5,000-$20,000 based on complexity and
       needs of the client. For ongoing financial planning, there is an upfront fee of ranging between
       $2,500 - $10,000, with ongoing fees due annually on the anniversary of each engagement, in the
       amount of one-half of the upfront fee. Hourly financial planning services are provided at a rate of
       $400 per hour.

    B. Fees are directly debited from Client accounts, or the Client may choose to pay by check or
       electronic funds transfer

    C. Fees are exclusive of brokerage commissions, transaction fees, and other related costs and expenses
       which may be incurred by the Client. Clients may incur certain charges imposed by custodians,
       brokers, and other third parties such as custodial fees, deferred sales charges, odd-lot differentials,
       transfer taxes, wire transfer, and electronic fund fees, and other fees and taxes on brokerage
       accounts and securities transactions. Mutual fund and exchange-traded funds also charge internal
       management fees, which are disclosed in a fund's prospectus. These charges, fees, and
       commissions are exclusive of and in addition to the Adviser’s fee, and the Adviser shall not receive
       any portion of these commissions, fees, and costs.

    D. Project-based financial and hourly planning fees will be charged half upfront, and the remaining
       half upon plan delivery. Ongoing financial planning fees are pro-rated and are paid annually on the
       anniversary of each engagement. An account may be terminated with written notice at least 30
       calendar days in advance.

        Fees paid in Advance: Upon termination of the account, any unearned fee will be refunded to the
        Client. Since fees are paid in arrears, no refund will be needed upon termination of the account.

    E. Other Compensation

          Neither Adviser nor any of Adviser’s supervised persons accepts compensation for the sale of
          securities or other investment products, including asset-based sales charges or service fees from
          the sale of mutual funds.

ITEM 7 TYPES OF CLIENTS

We provide investment advice to individuals, high net-worth individuals, pension and profit sharing plans
and corporations or other businesses.
We do not have a minimum account size requirement.