Ascentis Independent Advisors LLC

ITEM 5: FEES AND COMPENSATION
    A. COMPENSATION FOR OUR ADVISORY SERVICES

    A.1. ASSET MANAGEMENT

    The maximum annual fee charged for this service will not exceed 2.00%. Fees to be assessed will be
    outlined in the advisory agreement to be signed by the Client. Annualized fees are billed on a pro-rata
    basis quarterly in advance based on the value of the account(s) on the last day of the previous quarter or
    by the average daily balance. Fees are negotiable and will be deducted from client account(s). In rare
    cases, our firm will agree to directly invoice. As part of this process, Clients understand the following:

       a) The client’s independent custodian sends statements at least quarterly showing the market values
          for each security included in the Assets and all account disbursements, including the amount of the
          advisory fees paid to our firm;
       b) Clients will provide authorization permitting our firm to be directly paid by these terms.
          Our firm will send an invoice directly to the custodian; and
       c) If our firm sends a copy of our invoice to the client, legend urging the comparison of information
          provided in our statement with those from the qualified custodian will be included.

Fee Schedule
The client agrees to pay the following fees:
    • The management fee is in the amount of 200 basis points, at maximum, deducted on a quarterly
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           basis.
      •    Platform fees (e.g., Liberty Fi, Envestnet, etc.)
      •    Investment management fees payable to third parties. Model portfolio advisors could include affiliates
           of Ascentis.
               o Ascentis may invest client assets in models that are created by affiliates of Ascentis and the
                  affiliates could be compensated on models used by Ascentis clients.

    A.2.   COMPREHENSIVE PORTFOLIO MANAGEMENT

    The maximum annual fee charged for this service will not exceed 2.00%. Fees to be assessed will be
    outlined in the advisory agreement to be signed by the Client. Annualized fees are billed on a pro-rata
    basis quarterly in advance based on the value of the account(s) on the last day of the previous quarter or
    the average daily balance of the portfolio. Fees are negotiable and will be deducted from client account(s).
    In rare cases, our firm will agree to directly invoice. As part of this process, Clients understand the
    following:

       a) The client’s independent custodian sends statements at least quarterly showing the market values
          for each security included in the Assets and all account disbursements, including the amount of the
          advisory fees paid to our firm;
       b) Clients will provide authorization permitting our firm to be directly paid by these terms.
          Our firm will send an invoice directly to the custodian; and
       c) If our firm sends a copy of our invoice to the client, a legend urging the comparison of information
          provided in our statement with those from the qualified custodian will be included.

    A.3. NON-EXEMPT ACCOUNTS

    A non-exempt account must have revenue equal or greater than the respective advisor’s Ascentis
    override. For accounts which do not meet the minimum, Ascentis will directly debit advisor revenue to
    cover the requirement by means of Asset Based Pricing. The Asset Based Pricing calculation is based on
    a basis point schedule and not a percentage of revenue override. For instance, if the standard override is
    10%, a 10bps fee will be assessed to advisor. This minimum management fee may be passed directly to
    the client, in whole or in part, with appropriate documentation, or simply absorbed by advisor without a
    change to the client account.
             a) Accounts exempt from a firm imposed minimum annual fee:
                       i. The account holder is considered:
                              1. Self/Advisor personal accounts
                              2. Spouse/domestic partner and/or
                              3. Minor Child
                      ii. To abide by United States Internal Revenue Service limitations, and defined by FINRA
                          (Immediate Family), familial qualified accounts subject to the annual fee cap will not
                          have a firm-imposed management fee greater than the nominal administrative fee of
                          0.035% regardless of advisors’ previously mentioned pay-out percentage
                     iii. Client/Account qualifies through “flex billing”
                              1. Flex billing – this is the term designating a particular account may not be billed
                                  an annual fee as said account has the annual fee debited from another
                                  account’s prior approved billing arrangement. Prior approval is required
                     iv. Account does not hold advisory assets (for example assets used for consolidated
                          reporting purposes only wherein firm/IAR does not have fiduciary or custodial
                          responsibilities) or is an SMA billed direct by the custodian
                      v. Client is a current branch employee or advisor/affiliate of the RIA

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     A.4. EMPLOYER SPONSORED PLANS

     Our firm offers a service to clients which allows the Firm to offer discretionary investment management for
     employer sponsored plans. We leverage the order management system provided by Pontera with respect
     to certain accounts (primarily 401(k) participant accounts, health savings accounts and other assets
...

ITEM 7: TYPES OF CLIENTS
     Our firm has the following types of clients:
        • Individuals and High Net Worth Individuals;
        • Trusts, Estates or Charitable Organizations;
        • Pension and Profit-Sharing Plans;
        • Corporations, Limited Liability Companies and/or Other Business Types
     Our firm does not impose requirements for opening and maintaining accounts or otherwise engaging us.
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