Archford Capital Strategies LLC

Item 5 – Fees and Compensation
The following paragraphs detail the fee structure and compensation methodology for services provided by
Archford. Each Client engaging with Archford for services described herein shall be required to enter into one
or more agreements with Archford.

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, including cash balance, at the end of the prior calendar quarter.
Investment advisory fees range up to 2.00% annually, based on several factors, including the complexity of the
services to be provided, the level of assets to be managed, and the overall relationship with Archford. All Clients
are subject to a $2,000 minimum annual fee. Archford reserves the right to negotiate or waive the minimum
annual fee for Clients depending on the amount of assets under management, services provided, etc.

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 Archford. The Client’s fees will take
into consideration the aggregate assets under management with Advisor. All securities held in accounts managed
by Archford will be independently valued by the Custodian.

The Client may make additions to, and withdrawals from, their account[s] at any time, subject to the Advisor’s right
to terminate an account. Additions may be in cash or securities provided that the Advisor reserves the right to
liquidate any transferred securities or decline to accept securities into a Client’s account[s]. Clients may withdraw
account assets on notice to the Advisor, subject to the usual and customary securities settlement procedures.
However, the Advisor designs its portfolios as long-term investments, and the withdrawal of assets may impair the
achievement of a Client’s investment objectives. Archford may consult with its Clients about the options and
ramifications of transferring securities. However, Clients are advised that when transferred securities are
liquidated, they are subject to transaction fees, fees assessed at the mutual fund level (i.e., contingent deferred
sales charge) and/or tax ramifications. Additionally, fees with respect to certain Client holdings (e.g., held-away
assets, accommodation accounts, alternative investments, etc.), may be offered a fee rate that differs from the
range set forth above. If assets in excess of $10,000 are deposited into or withdrawn from the Client’s account[s],
The Advisor’s fee will be adjusted for the next billing period to reflect the fee difference. The Advisor may
negotiate a fee that differs from the schedule above for certain account[s] or holdings.

Options Strategy - Archford does not charge any additional fees for option strategies in excess of the Client
specific advisory fee. Carapace may charge up to 0.60% in fees for options strategies.

Market Participation Structured Product - Investment advisory fees for MPSP are up to 0.25% of the average
daily balance of the Client’s account[s], payable at the end of each quarter. MPSP’s that are based on Certificates
of Deposit[s] will have fees that are capped by Archford at the lesser of 0.25% or the available cash in the
account generated from the coupon payments of the MLSP[s]. Relationships with multiple objectives, specific
reporting requirements, portfolio restrictions and other complexities may be charged a higher fee.

Held Away Assets - Fees for advising outside accounts, such as a 401(k), may be offered as a fixed fee, separate
from the investment advisory fee above. Advisory fees will not be deducted directly from these accounts, but from
another account under management by Archford. Another form of payment for advisory fees may be discussed
by Archford and the Client and agreed upon in writing. For third-party service providers used to service held
away accounts, Archford pays these service providers 0.25% of our advisory fee. You will not pay Archford a
higher advisory fee other than what is listed in the Agreement and will not pay additional fees for use of the service
provider.

Legacy IRA® – The Client will pay Archford an annual fee at a rate of up to 0.71%. The investment advisory fee for
the Legacy IRA® accounts is payable quarterly, in advance of each calendar quarter, based on the closing market
value of assets under management in the Legacy IRA® account(s) at the end of the prior quarter. Three qualified
charitable distributions (“QCDs”) are included in the Advisor’s quarterly fees. If there are additional QCDs, an

additional fee of $20 per distribution will be assessed. Clients could be asked to agree to an opening minimum
deposit of $10,000 and agree to maintain a minimum account balance of $500.

Charitable Tracker Accounts - Charitable organizations will pay Archford an annual fee at a rate of 0.02%. The
fee for the Charitable Tracker Account is payable quarterly, in advance of each calendar quarter, based on the
closing market value of assets under management in the account(s) at the end of the prior calendar quarter.

Use of Independent Managers – As noted in Item 4, the Advisor may implement all or a portion of a Client’s
investment portfolio utilizing one or more Independent Managers. To eliminate any conflict of interest, the
Advisor does not earn any compensation from an Independent Manager. The Advisor will only earn its
investment advisory fee as described above. Independent Managers typically do not offer any fee discounts but
may have a break point schedule which will reduce the fee with an increased level of assets placed under
management with an Independent Manager. The terms of such fee arrangements are included in the
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Item 7 – Types of Clients
Archford offers investment advisory services to individuals, high net worth individuals, trusts, estates, pension
and profit-sharing plans, charitable organizations, corporations, and businesses. Archford generally does not
impose a minimum relationship size. Archford has a minimum annual fee of $2,000. The fee is negotiable at
Archford’s sole discretion based on the nature and complexity of ther services to be provided and the overall
relationship with Archford. Certain Independent Managers may impose a minimum fee.