Item 5 Fees and Compensation
Individual Account Portfolio Management Fees: Our annual fees to implement investment
recommendations for portfolio management services and investment advisory services for Individual
Accounts (Institutions, Pension Plans, Profit Sharing Plans, 401k Plans, Trusts, Foundations, Corporations or
other businesses not listed) are based upon a percentage of assets under management.
The management fee and schedule are negotiated between each client subject to certain limitations and
approval by AlphaMark. Fees are higher or lower or have a modified billing schedule based on the scope
and or complexity of responsibilities based on a number of factors; including, but not limited to, the
complexity of the client, assets to be placed under management, anticipated future additional assets, related
accounts, portfolio style, account composition, reports, and family relationship.
Generally, the annualized standard fee for Portfolio Management Services is charged as a percentage of
assets under management:
• 1% on the first $1 million of assets,
• 0.8% from $1-2 million of assets,
• 0.7% on assets from $2-3 million, and
• 0.5% on assets over $3 million.
Part 2A of Form ADV: Firm Brochure
AlphaMark Advisors LLC
The client’s annual investment management fee will be calculated and paid quarterly, in arrears based on
the market value of the account on the last business day of the quarter. Client accounts under the same
household are grouped together to maximize the fee schedule discount. In addition, AlphaMark charges
each investment account a $25 quarterly account service fee.
From time to time, new investment advisor representatives are employed by AlphaMark. If these advisors
bring clients with them and transition them to become AlphaMark clients, in some cases, these clients have
fee schedules higher, or lower, versus AlphaMark’s general fee schedule. Their fee schedule will be based
on their previous experience (higher or lower) with their advisor and AlphaMark will maintain their
existing fee schedule. The client acknowledges any variation of fee charges that is different than the
standard fee schedule on the Investment Advisory Contract. The maximum negotiated fee schedule ceiling
is 1.25% plus AlphaMark charges each investment account an additional $25 quarterly account service fee.
For some client accounts, AlphaMark’s investment advisory agreement and the custodial agreements from
Charles Schwab & Co., Inc. (Schwab) or registered broker-dealers, members of SIPC, authorize Schwab to
debit the clients account for the amount of AlphaMark's investment management fee and to directly remit
that management fee to AlphaMark in accordance with SEC procedures. The investment advisory
agreement between AlphaMark and the client will continue in effect until terminated by either party by
written notice. AlphaMark's investment management fee shall be pro-rated through the date of termination,
and any remaining balance (if any) shall be promptly refunded to the client.
In addition to our investment management fee, the client will also pay transaction fees and expenses
charged by the custodian. See item 12 Brokerage Practices.
Financial/ Certified Divorce Financial Analysis/Social Security Consultation. AlphaMark's
Financial Planning/ Certified Divorce Financial analysis/Social Security Consultation fee is based on the
breadth of the services being provided and the complexity of each client’s circumstances. All fees are
agreed upon prior to entering into a contract with any client.
Consulting Services Fees: If requested, AlphaMark has the expertise to provide investment advisory
services on a consulting basis. The consulting services fee is determined by the nature of the services being
provided and the complexity of each client’s circumstances. All consulting fees are agreed upon prior to
entering into a contract with any client. An estimate for the total hours is determined at the start of the
advisory relationship and will be billed and due at the end of each quarter.
Part 2A of Form ADV: Firm Brochure
AlphaMark Advisors LLC
General Information:
• Limited Negotiability of Advisory Fees. Although AlphaMark has established the general
aforementioned fee schedule(s), we retain the discretion to negotiate alternative fees on a client-by-
client basis. Client facts, circumstances and needs are factors considered in determining the fee.
These factors include the complexity of the client, assets to be placed under management,
anticipated future additional assets, related accounts, portfolio style, account composition, reports,
and family relationship among other factors. The specific annual fee is identified in the contract
between AlphaMark and the client. AlphaMark groups certain related client accounts for the
purposes of determining the appropriate fee.
• Termination of the Advisory Relationship. In the event a client terminates our investment
advisory agreement, the client is responsible for the investment advisory fee up until the day the
client terminates our agreement. AlphaMark’s ending fee will be calculated from the end of the
previous quarter to the last day on which the investment advisory agreement is in effect, pro-rated
by the number of days elapsed in the current period as a percentage of the total number of days in
such period. If we cannot bill the account directly, the client is responsible for any final bill owed.
• Additional Fees and Expenses. Although we generally charge the management fee in arrears, at
our sole discretion, we could bill in advance on certain criteria (pre-existing financial planning
client, sub-advisory relationship, anticipated future earning capacity, anticipated future additional
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