Advisor Compliance Partners LLC

Item 5. Fees & Compensation

We charge on-going fees based on a percentage of assets under management, on an hourly basis, or on a
flat fee basis. Depending on the wishes and needs of the client, we may provide different investment
advisory services and charge the client in multiple ways. Based on the maximum fees described below,
your fees will be determined by the IAR you work with; All fees are subject to negotiation at the sole
discretion of your IAR. The circumstances and details of each of these options are described below.

        Asset Management Services
Our fees are billed on a pro-rata annualized basis quarterly in advance based on the value of your account
on the last day of the previous quarter. Our maximum annual fee is 2.0%. How your fee is calculated will
vary depending on what your IAR has determined and agreed with you. Our fee calculations will be
calculated as a single flat fee or calculated on a tiered fee schedule. Your fee and how it is calculated will
always be detailed in the signed written agreement between you and ACP. Your IAR will use the following
fee schedule as a guideline to determine the annual fee you will pay.

             Assets Under Management              Annual Fee
             $0 to $500,000                       2.00%
             $500,001 to $1,000,000               1.75%
             $1,000,001 to $3,000,000             1.50%
             $3,000,001 to $10,000,000            1.00%
             Above $10,000,000                    0.50%

Fees are automatically deducted from your account and paid to us by your qualified custodian.
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When we receive new assets or new accounts, fees for portfolio management services will be prorated
accordingly for that quarter’s billing cycle.

        Financial Planning and Consulting Services
We charge on an hourly or flat fee basis for Financial Planning and Consulting services. We charge no more
than $500 per hour. Our hourly fee varies depending on the IAR who performs the services, the complexity
of the services provided, and the typical market rate.

Flat fees vary greatly and could range from a minimum of $500 to a maximum of $20,000. The total
estimated fee, as well as the ultimate fee that we charge you, is determined by both the time estimated
to adequately prepare the plan and the complexity of the scope of our engagement with you.

Our financial planning and consulting services may be charged in advance, but are more often charged
once services are completed. Advance may be requested for a particularly complex plan or consulting
engagement. We will not collect more than $1,200 in advance of the service provided, unless services are
completed within six months of our receipt of the fees. Should we collect fees more than hours ultimately
expended, or otherwise not completed the project, we will return any unearned amounts collected. The
total fee or balance due will be billed directly to you and due to us within thirty (30) days of your financial
plan being completed or consultation rendered to you.

       Retirement Plan Consulting
Fiduciary Services – Plan Level: Due to the wide variance in complexity and scope of our work with
Retirement Plan sponsors, as well as the requirements of Plan service providers, the method of billing and
amount of fees charged for these services is negotiable. We offer two different billing options for Plan
Sponsors at the Plan Level:

      Pay an asset-based fee of a percentage of the Plan assets, payable quarterly.
      Pay an annual flat fee, payable quarterly or in one lump sum on a specific date agreed to between
       Sponsor and ACP.

By default, our billing frequency is quarterly in arrears, but the Plan Sponsor can choose advance fee billing
with any unearned fees to be refunded. The Plan Sponsor may choose whether to pay the fees from plan
assets or from the Sponsor directly. Also, depending on a Plan’s third-party payor support, we offer an
option for direct billing. Fees for Retirement Plan Consulting services are fully negotiable between the ACP
IAR and the Plan Sponsor, but at no time will they be greater than 1% of total plan assets.

Fiduciary Services – Participant Level
We may provide advice to plan participants through a separate agreement outside of the plan sponsor’s
agreement. The advisory fees charged to the participant will be negotiated depending on whether the
assets being managed are on a non-discretionary basis through the plan sponsor’s custodian or if they are
self-directed assets held away from the plan sponsor’s custodian and managed on a discretionary basis.

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Termination of Services
Clients may terminate our services at any time by providing written notice to us. Our services will also
terminate if the client revokes our trading authority through their custodian or if they transfer assets away
from our management. Once our services are terminated, we are no longer managing the account, and
fees will no longer be earned. Any paid but unearned fees will be promptly refunded to the client. The
unearned portion of fees will be determined by the number of days left in the quarter as a percentage of
the total number of days in a quarter.

Other Fees
All fees paid to ACP are separate and distinct from the fees and expenses charged by third parties. In
addition to our advisory fees, clients are responsible for other fees and expenses in their account including
mutual fund fees, brokerage commissions, stock transfer fees, retirement account fees, and other similar
charges incurred in connection with your custodian holding your account and executing transactions in
your account. Mutual fund fees will generally include a management fee and other expenses. If the fund
also imposes a sales charge, a client could pay an initial or deferred sales charge. Please refer to the section
below on Brokerage Practices for further discussion on broker-dealer/custodial costs. If we execute
...

Item 7. Types of Clients & Account Requirements

We provide services to the following types of clients:

      Individual and high net worth individuals
      Pension and profit-sharing plans
      Pooled investment vehicles
      Charitable organizations
      Corporations

ACP does not have a minimum account size. However, some of the LPL-sponsored programs we
recommend have minimums. The brochure for the specific program will detail such minimums.

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