Alpha Analytics Investment Group LLC

Item	5	–	Fees	and	Compensation
Our	fees	are	based	upon	either	(1)	a	percentage	of	assets	under	management	or	(2)	a
negotiated	fixed	fee	(3)	or	a	negotiated	project	fee.		For	fees	based	on	assets	under
management,	the	basis	annual	fee	schedule	is:

                      1.0%	fee	on	the	first	$1,000,000
                      0.5%	fee	on	the	next	$9,000,000
                      0.4%	fee	thereafter
The	basic	annual	fee	schedule	for	assets	reviewed	but	not	under	direct	management	is:

                      0.25%	fee	on	the	first	$10,000,000
                      0.20%	fee	thereafter

We	have	a	minimum	quarterly	fee	of	$1,500	per	quarter.			Fees	are	charged	quarterly	and
are	based	on	the	total	market	value	of	the	assets	under	management	on	the	last	business
day	of	the	preceding	calendar	quarter.				Our	fees,	included	minimum	fees,	may	be
negotiated	or	waived.

Accounts	initiated	or	terminated	during	a	calendar	quarter	will	be	charged	a	prorated	fee.

Our	investment	management	fee	is	deducted	directly	from	our	client's	account.		Each
client	receives	a	quarterly	invoice	that	displays	the	calculation	of	the	fee.			In	addition,	the
amount	of	our	fee	is	listed	on	the	client's	custodial	account	statement(s).			The	method	of
paying	our	fee	may	be	negotiated.

Lower	fees	for	comparable	services	may	be	available	from	other	sources.

OTHER	FEES

Alpha	Analytics’	fees	are	exclusive	of	brokerage	commissions,	transaction	fees,	and	other
related	costs	and	expenses	that	will	be	incurred	by	the	client.	Clients	may	incur	certain
charges	imposed	by	custodians,	brokers,	third	party	investment	and	other	third	parties
such	as	fees	charged	by	managers,	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	funds	and	exchange-
traded	funds	also	charge	internal	management	fees,	which	are	disclosed	in	a	fund’s
prospectus.

Such	charges,	fees	and	commissions	are	exclusive	of	and	in	addition	to	Alpha	Analytics’
fee,	and	Alpha	Analytics	does	not	receive	any	portion	of	these	commissions,	fees,	and
costs.

Item	12	further	describes	the	factors	that	Alpha	Analytics	considers	in	selecting	or
recommending	broker-dealers	for	client	transactions	and	determining	the	reasonableness
of	their	compensation	(e.g.,	commissions).

Item	7	–	Types	of	Clients
Alpha	Analytics	delivers	portfolio	management	services	to	individuals,	families,	high-net-
worth	and	ultra-high-net-worth	clients,	trusts,	and	a	broad	range	of	corporate	and
institutional	investors,	including	foundations,	endowments,	and	retirement	plans.			We	do
not	have	a	minimum	account	size	requirement	but	do	have	a	minimum	quarterly	fee	(see
Item	5	above).