Alianza Corp Investment Advisor

Item 5 – Fees and Compensation

Wrap Fee Program

Alianza offers digital investment advisory services under a wrap fee program and its fees are a percentage
of assets under management. Fees may range to a maximum of 1.75% and can be negotiated depending
on portfolio size, investment objectives, strategy, and assets under management and Alianza’s earning
potential from each client. Fees charged as part of the Wrap Fee Program may vary, please refer to Alianza
Wrap Fee Brochure for detailed information.

Fees are calculated based upon the average account value (market value or fair market value in the
absence of market value) at the end of each month. The client agrees to have the advisory fees
automatically calculated and deducted monthly from the client’s account custody account.

Alianza’s fees are inclusive of brokerage commissions, transaction fees, and other related costs and
expenses which shall be incurred directly by the client. Clients may incur certain charges imposed by
custodians, brokers, and other third parties such as fees charged by fund managers, custodial fees,
deferred sales charges, odd-lot differentials, transfer taxes, wire transfer and electronic funds fees, and
other fees and taxes on brokerage account and securities transactions. Mutual funds and exchange traded
funds also charge internal management fees, which are disclosed in a fund’s prospectus. It is Alianza’s
policy not to accept retrocession fees from any third non-affiliated party providing services to Alianza’s
clients.

Under the sub-advisory agreements, Alianza is paid an asset-based monthly fee. The fee is calculated as
a percentage of the daily assets under management and paid on a monthly basis (Management Fee).

Alianza does not receive a fee based on the performance of the Funds.

Normally, any Investment Advisory Agreement that Alianza enters into is effective as of the day noted on
the investment advisory agreement and remains in effect for a continuous period of time. The client or
the investment manager may terminate an Agreement by written notice to the other party with a (30)
thirty - day advance notice or as agreed upon otherwise between the client and Alianza. If an account,
held at the client’s qualified custodian, is to be liquidated as the result of a termination notice, it is
understood that the process of liquidation may take up to five (5) trading days, following the date the
liquidation request was received by Alianza. Clients may terminate their agreement without penalty, for
a full refund, within 5 business days of signing the advisory agreement.

If an agreement is canceled during the billing period, Alianza will charge a prorated fee for the days the
agreement was in effect.

Non-Wrap Fee Program

Alianza charges Clients an Advisory Fee for services provided. The Advisory Fee is established and defined
in the Investment Advisory Agreement between Alianza and the Client (the “Advisory Agreement”).
Generally, the Advisory Fee is expressed as a percentage of Assets Under Management (“AUM”), and
typically ranges from 0.50% to 1.65% of total AUM, with a minimum annual Advisory Fee. Alianza’ fee
schedule is generally as follows:

 AUM From                                                   AUM To                    %
    -                                                       199,999                   1.65%

      200,000                                               499,999                   1.50%

      500,000                                               999,999                   1.25%

    1,000,000                                           2,499,999                     1%

    2,500,000                                           4,999,999                     0.80%

    5,000,000                                           +                             0.50%

There is typically a minimum annual Advisory Fee. In some instances, Advisory Fees are negotiable based
upon the types of assets included in a Client’s portfolio, the complexity and size of the portfolio, the
services to be provided, and other factors including the nature of the Client’s objectives as articulated in
the Investment Policy Statement.

Generally, Advisory Fees are calculated and billed on a quarterly basis, payable in advance. Some Clients’
fee schedules and billing procedures may differ from the general process described herein, as provided in
such Clients’ Advisory Agreements. Clients will authorize Alianza to directly debit fees from client
accounts at the custodian. Upon termination of any account, any unearned fees will be promptly
refunded.
Advisory Fees are based on the value of the Client’s portfolio as reported by the Client’s custodians, third-
party fund managers, and other independent pricing services. Fees are calculated based on the average
portfolio value on the last day of the previous billing period.

Clients agree to the terms of their fee calculation methodology and billing in the Client Advisory
Agreement with Alianza.

Clients may also incur certain expenses, such as brokerage commissions and markups, margin interest (if
applicable), currency exchange costs, transfer of asset costs and other transactions costs, imposed by the
transacting broker-dealers (“Brokers”), custodians, third-party investments, and other third parties. These
other expenses are not included in the Advisory Fee and are borne separately by the Client to the extent
incurred (please refer to the Brokerage Practices section for additional information). Alianza may
recommend investing a portion of a client’s assets in shares of mutual funds or other investment
companies, including exchange traded funds, as well as private funds. Assets invested in these funds bear
other additional fees and expenses, which may include but are not limited to, expenses of organizing the
funds, administration, accounting and tax, audit, legal, and filings and regulatory compliance. When
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Item 7 – Types of Clients

For its Wrap Fee Program, Alianza recommends a minimum account size of $10,000. For all other services,
Alianza generally provides investment advisory services to Clients who are affluent, high net worth
individuals, families, and trusts that have a minimum of $100,000 in investable assets. On certain
instances, Alianza may provide its services to potential clients with less than $100,000 in investable assets.

Factors to consider when making this determination is the type of services requested, the type of
investment strategy sought, and the relationship the potential client may have with Alianza and its
affiliates.