Item 5 Fees and Compensation
Fees will be charged according to the following schedule:
Investment Management
Services
Axio Fiduciary Services Plus 20 Bps to $10,000,000 Anything over $10,000,000
negotiable
Axio Fiduciary Service 20 Bps to $10,000,000 Anything over $10,000,000
negotiable
Axio Risk-Based Mutual Fund 25 Bps $200,000 Minimum
Portfolios
Retirement Plan Services
Enhanced Education and 40 Bps
Enrollment Support
Guided Online Enrollment $400/year
Sponsor Fiduciary Training $2,000/year
Fees may be negotiable based on the size and complexity of the plan and the potential for future
business with the plan. Additionally, certain legacy clients are subject to different fee rates for
Axio Fiduciary Service and Axio Fiduciary Services Plus. Such rates are specified in those clients’
agreements with Axio.
Fees are billed in arrears and are based on the value of the plan’s account(s) on the last day of each
calendar quarter. Fees for the plan’s initial quarter will be pro-rated based on the number of days
remaining in the quarter. Fees will be charged as of the day the plan enters into a contract with Axio.
Services may be terminated by either party upon 30 days written notice. Upon termination, all earned,
unpaid fees will be due and payable. Clients may elect to have their fees directly debited from the plan’s
account(s) or to receive an invoice from Axio.
Other Fees or Expenses
All fees paid to us for investment advisory services are separate and distinct from the fees and expenses
charged by mutual funds to their shareholders. These fees and expenses are described in each fund's
prospectus. These fees will generally include a management fee, other fund expenses, and a possible
distribution fee. If the fund also imposes sales charges, a client may pay an initial or deferred sales charge.
A client could invest in a fund directly, without our services. In that case, the client would not receive the
services provided by us which are designed, among other things, to assist the client in determining which
fund or funds are most appropriate to each client's financial condition and objectives. Accordingly, the
client should review both the fees charged by the funds and the fees charged by us to fully understand
the total amount of fees to be paid by the client and to thereby evaluate the advisory services being
provided.
In addition to our advisory fees, clients are also responsible for the fees and expenses charged by
custodians, broker dealers, third party record-keepers, and other service providers.
Advisory Fees in General: Clients should note that similar advisory services may (or may not) be
available from other registered (or unregistered) investment advisers for similar or lower fees.
All fees and account minimums may be negotiable at Axio’s discretion.