Ball & Company Wealth Management Inc

Item 5 – Fees and Compensation
Ball & Company offers its services on a fee basis, which include hourly and/or fixed fees,
as well as fees based upon assets under management.
Financial Planning and Consulting Fees
Ball & Company charges a fixed fee and/or hourly fee for financial planning and consulting
services. These fees are negotiable, but generally range from $3,500 to $10,000 on a
fixed fee basis and/or from $200 to $250 on an hourly rate bases, depending upon the
level of scope of the services and the professional rendering the financial planning and/or
the consulting services. In addition, Ball & Company quarterly fee for investment
management services, as described below, include ongoing financial planning and
consulting services if the assets under management for the clients are greater than
$1,000,000.
Prior to engaging Ball & Company to provide financial planning and/or consulting
services, the client is required to enter into a written agreement with Ball & Company
setting forth the terms and conditions of the engagement. Generally, Ball & Company
requires one-half of the financial planning/consulting fee (estimated hourly or fixed)
payable upon entering the written agreement. The balance is generally due upon delivery
of the financial plan or completion of the agreed upon services.
Investment Management Fee
Ball & Company provides investment management services for a quarterly fee based
upon a percentage of the market value of the assets being managed by Ball & Company.
Ball & Company’s quarterly fee is exclusive of, and in addition to brokerage commissions,
transaction fees, and other related costs and expenses which are incurred by the client.
Ball & Company does not, however, receive any portion of these commissions, fees, and
costs. Ball & Company’s quarterly fee is charged quarterly, in advance, using the average
daily balance of the assets being managed by Ball & Company. The quarterly fee varies
depending upon the market value of the assets under management and the type of
investment management services to be rendered, as follows:

                Portfolio Value                             Quarterly Fee

                $10,000,000 and Above                            negotiable

                $9,000,000 - $9,999,999                            0.125%

                $8,000,000 - $8,999,999                            0.138%

                $7,000,000 - $7,999,999                            0.150%

                $6,000,000 - $6,999,999                             0.163%

                $5,000,000 - $5,999,999                             0.175%

                $4,000,000 - $4,999,999                             0.188%

                $3,000,000 - $3,999,999                             0.200%

                $2,000,000 - $2,999,999.                            0.213%

                $1,000,000 - $1,999,999                             0.225%

                $500,000 - $999,999                                 0.313%

                Under $499,999                                      0.375%

Lower Fees for comparable services may be available from other sources.
The annual fee for investment management services provided are based upon a
percentage (%) of the market value of the Assets under management in accordance with
the fee schedule in the Agreement signed by the Client. Ball & Company considers cash
to be an asset class and part of Assets under management and subject to the same fee
calculation as the Client’s non-cash investments.
As further discussed in response to Item 7 (below), Ball & Company generally imposes a
minimum portfolio value for its investment management services. In the event Ball &
Company accepts accounts below the minimum portfolio value, Ball & Company’s
quarterly fee will be 0.375%. Ball & Company in its sole discretion, may negotiate to
charge a lesser management fee based upon certain criteria (i.e., anticipated future
earning capacity, anticipated future additional assets, dollar amount of assets to be
managed, related accounts, account composition, pre-existing client, account retention,
pro bono activities, etc.)
Fees Charged by Financial Institutions
As further discussed in response to Item 12 (below), Ball & Company generally
recommends that clients utilize the brokerage and clearing services of Fidelity Institutional
Wealth Services (“Fidelity”) for investment management accounts.
Ball & Company will only implement its investment management recommendations after
the client has arranged for and furnished Ball & Company with all information and
authorization regarding accounts with appropriate financial institution. Financial
institutions include, but are not limited to, Fidelity, any other broker-dealer recommended
by Ball & Company, broker-dealer directed by the client, trust and companies, banks etc.
(collectively referred to herein as the “Financial Institutions”).
Clients may incur certain charges imposed by the Financial Institutions and other third
parties, such as custodial fees, charges imposed directly by a mutual fund or investments
such as ETFs in the account, which are disclosed in the fund’s prospectus (e.g., fund
management fees and other fund expenses), deferred sales charges, odd-lot differentials,

transfer taxes, wire transfer and electronic fund fees, and other fees and taxes on the
brokerage accounts and securities transactions. Additionally, for assets outside of any
wrap fee programs, clients may incur brokerage commissions and transaction fees. Such
charges, fees and commissions are exclusive of and in addition to Ball & Company’s fee.
Ball & Company’s Agreement and the separate agreement with any Financial institutions
typically authorizes Ball & Company to debit the client’s account for the amount of Ball &
Company’s fee and to directly remit that management fee to Ball & Company. Any
Financial Institutions recommended by Ball & Company have agreed to send a statement
...

Item 7 – Types of Clients
Ball & Company provides its services to individuals (including high net worth individuals),
corporations and other business entities.

Minimum Account Size
As a condition for starting and maintaining relationship, Ball & Company generally
imposes a minimum portfolio size of $1,000,000. Ball & Company, in its sole discretion,
may accept clients with smaller portfolios based upon certain criteria including anticipated
future earning capacity, anticipated future additional assets, dollar amount of assets to be
managed, related accounts, account composition, pre-existing client, account retention,
and pro bono activities. Ball & Company may aggregate the portfolios of family members
to meet the minimum portfolio size, but is not required to do so.