Alpha Wealth Management and Planning LLC

Item 5 – Fees and Compensation

The following paragraphs detail the fee structure and compensation methodology for services provided by the
Advisor. Each Client engaging the Advisor for services described herein shall be required to enter into one or
more written agreements with the Advisor.

A. Fees for Advisory Services
Investment Management Services
Investment advisory fees are paid quarterly, in advance of each calendar quarter, pursuant to the terms of the
investment advisory agreement. Investment advisory fees are based on the market value of assets under
management at the end of the prior calendar quarter.

Investment advisory fees are based on the following schedule:
                  Assets Under Management ($)                Annual Rate (%)
                           Up to $250,000                           1.5%
                        $250,001 to $500,000                        1.4%
                       $500,001 to $1,000,000                       1.3%
                         $1,000,001 and over                        1.2%

The investment advisory fee in the first quarter of service is prorated from the inception date of the account[s] to the
end of the first quarter. Fees may be negotiable at the sole discretion of the Advisor. The Client’s fees will take into
consideration the aggregate assets under management with Advisor. All securities held in accounts managed by
Alpha Wealth Management and Planning will be independently valued by the Custodian. Alpha Wealth
Management and Planning will not have the authority or responsibility to value portfolio securities.
Pursuant to California Code of Regulations Section 260.238(j), the Advisor discloses that the Client may be able
to obtain similar services from other services providers for a lower fee.
Clients with assets on Charles Schwab & Co., Inc.,'s platform will be charged an annual flat fee of $48,000, billed
quarterly.
SEI Managed Account Program
This program offers Clients a managed account in which Alpha Wealth Management and Planning and Planning,
through its investment advisor representatives, assists Clients in establishing an account with SEI Investment
Management Corporation (“SIMCO”). The program seeks to manage taxes within individual separate accounts
using U.S. equity and/or municipal bond components in order to meet Client’s long-term goals of managing taxes
while controlling risk.

The program may include the services of an integration manager that seeks to manage a consolidated portfolio of
individual equity securities. The program may include a percentage of assets allocated to a portfolio of mutual
funds

                                       Alpha Wealth Management and Planning, LLC
                                            690 De Long Ave. | Novato, CA 94945
                                         Phone: (415) 506-4569 | Fax: (415) 508-3467
                                                  http://www.alphawmp.com

sponsored by SIMCO or its affiliates. The investment advisor representative assists the Client in selecting an asset
allocation strategy appropriate for the Client by discussing the various levels of risk and helping the Client complete
a Client questionnaire which details the Client’s annual income, net worth, and long-term goals and objectives.

The investment advisor representative explains to the Client the various investing alternatives that are available in
the program account, provides the Client with the prospectuses for any applicable SIMCO-affiliated mutual funds
and explains the re-balancing guidelines used in the management of the portfolio.

The Client appoints SIMCO to manage assets within the individual separate accounts and re- balance SIMCO-
affiliated mutual funds pursuant to the Client’s goals and objectives. SIMCO may delegate its responsibility for
management to one or more portfolio managers, including an integration manager.

Account minimum is $50,000.

Our advisor fee for SIMCO is 1.5%, or less, as negotiated per Client depending on the size scope and complexity of
the account.

Financial Planning Services
Alpha Wealth Management and Planning offers financial planning services either on an hourly basis or a fixed
engagement fee. Hourly engagements range from $250 to $400 per hour. Fixed fee engagement fee range from
$1,000 to $15,000. Fees may be negotiable based on the nature and complexity of the services to be provided and
the overall relationship with the Advisor. An estimate for total hours and/or total costs will be provided to the Client
prior to engaging for these services.

B. Fee Billing
Investment Management Services
The amount due is calculated by applying the quarterly rate (annual rate divided by [4]) to the total assets under
management with Alpha Wealth Management and Planning at the end of the prior quarter. Clients will be provided
with a statement, at least quarterly, from the Custodian reflecting deduction of the investment advisory fee. In
addition, the Advisor will provide the Client a report itemizing the fee, including the calculation period covered by the
fee, the account value and the methodology used to calculate the fee. It is the responsibility of the Client to verify
the accuracy of these fees as listed on the Custodian’s brokerage statement as the Custodian does not assume this
responsibility. Clients provide written authorization permitting Alpha Wealth Management and Planning to be paid
directly from their account[s] held by the Custodian as part of the investment advisory agreement and separate
account forms provided by the Custodian.

Financial Planning Services
Financial planning fees may be invoiced up to fifty percent (50%) of the expected total fee upon execution of the
financial planning agreement. The balance shall be invoiced upon completion of the agreed upon deliverable[s].

C. Other Fees and Expenses
Clients may include certain fees or charges imposed by third parties in connection with investments made on
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Item 7 – Types of Clients

Alpha Wealth Management and Planning offers investment advisory services to individuals, high net worth
individuals, pension and profit-sharing plans, charitable organizations, and businesses. Alpha Wealth
Management and Planning generally requires a minimum relationship size of $100,000, which may be reduced at
the Advisor’s sole discretion.