Beta Wealth Group Inc

Item 5: Fees & Compensation

How We Are Compensated for Our Advisory Services

Comprehensive Portfolio Management:

We require clients to have a minimum of $250,000 in assets under management with our firm.
However, we reserve the right to waive this minimum at any time and have waived it in the past for
clients grandfathered under legacy fee schedules.

                              Assets Under Management       Annual Fee %
                                     Up to $300,000            2.00%
                                  $300,001 to $400,000         1.50%
                                 $400,001 to $1,000,000        1.25%
                                $1,000,001 to $3,000,000       1.00%
                                $3,000,001 to $8,000,000       0.90%
                               $8,000,001 to $12,000,000       0.75%
                                    Over $12,000,000          Negotiable

Client specific account(s) utilizing puts and covered calls to generate additional yield will be subject
to the following fee schedule:

                              Assets Under Management Annual Fee %
                                    Any Assets         1.85%

Annualized fees are billed on a pro-rata basis quarterly in advance based on the value of the account
on the last day of the previous quarter and will be deducted from your managed account(s). As part
of this process, the client is made aware of the following:

    •    We do not serve as the qualified custodian for your account. However, our firm is deemed to
         have custody of clients’ funds and securities because we have our advisory fees debited from
         client accounts with written client permission. You will receive statements from the
         independent custodian that holds your investment account on at least a quarterly basis.

    •    We urge you to carefully review these statements and compare them to the account
         statements that we may provide. You should verify that the transactions in your account,
         including all account disbursements and the amount of the advisory fees paid to our firm, are
         consistent with your investment goals and the objectives for your account. We also encourage
         you to contact your advisory representative or our Chief Compliance Officer should you have
         any questions or concerns regarding your account.

ADV Part 2A – Firm Brochure                    Page 7                                 Beta Wealth Group, Inc.

Financial Planning & Consulting:

We charge on an hourly or flat fee basis for financial planning and consulting services. The total
estimated fee, as well as the ultimate fee that we charge you, is based on the scope and complexity of
our engagement with you. Our hourly fee is up to $450. Flat fees generally range from $1,500 to
$10,000. We require a retainer of 50% of the ultimate financial planning or consulting fee with the
remainder of the fee directly billed to you and due to us within 30 days of your financial plan being
delivered or consultation rendered to you. In all cases, we will not require a retainer exceeding
$1,200 when services cannot be rendered within 6 months.

Retirement Plan Consulting:

Our Retirement Plan Consulting services are billed on an hourly or flat fee basis or a fee based on the
percentage of Plan assets under management. The total estimated fee, as well as the ultimate fee
charged, is based on the scope and complexity of our engagement with the client. The maximum
hourly fee to be charged will not exceed $450. Our flat fees range from $750 to $10,000. Fees based
on a percentage of managed Plan assets will not exceed 0.50%. The fee-paying arrangements will be
determined on a case-by-case basis and will be detailed in the signed consulting agreement.

Beta Wealth Group DBA Beta Asset Management – Institutional Advisory Services:

Adviser Compensation:

                              Assets Under Management          Annual Fee %
                              Up to $4,999,999                       1.00%
                              $5,000,000 - $9,999,999                0.90%
                              $10,000,000 - $19,999,999               0.80%
                              Over $20,000,000                        0.70%
                              Over $50,000,000                        0.60%

The total annual fee charged by Beta Asset Management is calculated based on the Client assets
specified in a signed advisory agreement. Annualized fees are billed on a pro-rata basis quarterly in
advance based on the value of the accounts(s), as of the last day of the prior quarter.

Fees are generally deducted from the managed account(s). As part of this process, the client is made
aware of 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; and
    b) Clients will provide authorization permitting our firm to be directly paid by the custodian.
       Our firm will send an invoice directly to the custodian.

Sub-Adviser Compensation:

                              Assets Under Management          Annual Fee %
                              $1,000,000 - $4,999,999                1.00%
                              $5,000,000 - $9,999,999                 0.90%
                              $10,000,000 - $19,999,999               0.80%
                              Over $20,000,000                        0.70%
                              Over $50,000,000                       0.60%

ADV Part 2A – Firm Brochure                      Page 8                              Beta Wealth Group, Inc.

The annual fee charged by Beta Asset Management is calculated based on the Client assets in the Sub-
Advisor’s strategy specified in a signed advisory agreement. Annualized fees are billed on a pro-rata
...

Item 7: Types of Clients & Account Requirements

Our clients typically include individuals, high net worth individuals, and institutional clients. For
Comprehensive Portfolio Management services, the firm generally requires a minimum account size
of $250,000; however, the firm may waive or reduce this minimum at its discretion. Other service
offerings may not have a minimum account size.