AGP / Alliance Global Partners LLC

Item 5 – Fees and Compensation

    A. Fee Schedule

Portfolio Adviser II Program Fees

Fees are billed as a percentage of assets under management, are negotiable and range up to 3%.

A.G.P. may aggregate related client accounts for purposes of calculating the advisory fee
applicable to the client. The actual fee charged to a client, and any breakpoints based on the level
of assets managed, will be outlined in the IMA. A.G.P. reserves the right to negotiate fees with
clients and may waive fees or charge higher or lower fees than those described above, at our
discretion. The fees are subject to change with prior written notice to the client.

A.G.P.'s advisory fees are generally payable quarterly in advance at the beginning of each
calendar quarter based on the fair market value of the client's account as of the close of business
on the last business day of the previous calendar quarter. Additions or withdrawals that,
individually or in the aggregate, represent 20% or more of the account value as of the prior quarter-
end, may result in a prorated fee adjustment based on the number of days remaining in the
quarter. Any such adjustment will be applied in the following calendar quarter. In certain cases,
as agreed in the client's Investment Management Agreement, advisory fees may be billed monthly
in arrears based on the fair market value of the client's account as of the last business day of the
preceding month.

For new client accounts, the initial fee is based on the value of the account as of the day the
account’s assets are placed under the supervision of A.G.P., prorated for the balance of the
calendar quarter.

Initial deposit or subsequent additions may be in cash or securities, provided that A.G.P. reserves
the right to liquidate any transferred securities, or decline to accept particular securities into a
client’s account. Transferred securities may be liquidated without regard to any transaction fees,
fees assessed at the mutual fund level (i.e., contingent deferred sales charge) and/or tax
ramifications.

The fair market value of the assets in the account is determined by the custodian in accordance
with its standard policies and practices. In the event the custodian does not provide a value for
any asset(s) in the account, those asset(s) will be valued at a market value as determined in good
faith by A.G.P.

The client should note that by signing an investment advisory agreement, they have directed the
A.G.P. / Alliance Global Partners, LLC
Form ADV Part 2A – Disclosure Brochure              12                              Revised June 4, 2026

custodian to pay the advisory fee as instructed by A.G.P. or any other third-party money manager
on a scheduled basis without any additional prior notice. All clients will receive account statements
from the custodian no less frequently than quarterly. The custodian statement will include the
deduction of the advisory fee. At our discretion, A.G.P. may make alternative billing arrangements
for clients upon request.

Sub-Advisory Program Fee through the EPC Advisors Group Division (“EPC Sub-
Advisory Program”)

A.G.P.’s advisory fees are charged based on a percentage of the client’s assets under
management, are negotiable and will range up to 3%.

A.G.P. may aggregate related client accounts for purposes of calculating the advisory fee
applicable to the client. The actual fee charged to a client, and any breakpoints based on the level
of assets managed, will be outlined in the IMA. A.G.P. reserves the right to negotiate fees with
clients and may waive fees or charge higher or lower fees than those described above, at our
discretion. The fees are subject to change with prior written notice to the client.

A.G.P.’s advisory fees are payable quarterly in advance at the beginning of each calendar quarter
based on the fair market value of the client’s account as of the close of business on the last
business day of the previous calendar quarter. Unlike the Portfolio Adviser II Program, quarterly fees
are not adjusted for contributions or withdrawals made during the quarter, except for new or
terminated accounts.

For new client accounts, the initial fee is based on the value of the account as of the day the
account’s assets are placed under the supervision of A.G.P., prorated for the balance of the
calendar quarter.

The fair market value of the assets in the account is determined by the custodian in accordance
with its standard policies and practices. In the event the custodian does not provide a value for
any asset(s) in the account, those asset(s) will be valued at a market value as determined in good
faith by A.G.P.

Initial deposit or subsequent additions may be in cash or securities, provided that A.G.P. reserves
the right to liquidate any transferred securities, or decline to accept particular securities into a
client’s account. Transferred securities may be liquidated without regard to any transaction fees,
fees assessed at the mutual fund level (i.e., contingent deferred sales charge) and/or tax
ramifications.

The client should note that by signing an investment advisory agreement, they have directed the
custodian to pay the advisory fee as instructed by A.G.P. or any other third-party money manager
on a scheduled basis without any additional prior notice. All clients will receive account statements
from the custodian no less frequently than quarterly. The custodian statement will include the
deduction of the advisory fee. At our discretion, A.G.P. may make alternative billing arrangements
for clients upon request.

Third-Party Management Program Fees

A.G.P. Wrap Account – in this wrap fee program, fees are negotiable and will range up to 2%,
payable to A.G.P. quarterly in advance (as described above), and a portion of that fee will be paid
out to EPAM as subadvisor. In a wrap fee arrangement, clients pay a single fee for advisory,
brokerage and custodial services. Client’s portfolio transactions may be executed without
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Item 7 – Types of Clients

A.G.P. generally provides advisory services to the following types of clients:

       ➢    Individuals
       ➢    High-Net-Worth Individuals
       ➢    Trusts and Estates
       ➢    Corporations or Business Entities
       ➢    Pooled Investment Vehicle

All clients are required to enter into an agreement with A.G.P. and/or its co-advisers or sub-
advisers in order to establish a client arrangement with A.G.P.

Minimum Account Size

In order to become an A.G.P. advisory client, initial client household balances (sum of all accounts)
generally must contain a minimum of $50,000 in assets to participate in the Wrap Fee Program
or $250,000 in assets to be invested in individual securities within the EPC Division’s SMA.
In addition, the minimum account size is $10,000 in billable assets for the Portfolio Adviser II
Program. Accounts below these minimums may be negotiable and accepted on an individual
basis at A.G.P.’s discretion. In addition, the minimum amount may be adjusted upwards during
periods of high market volatility to allow for more time to be dedicated to managing existing clients’
assets.