Broadview Financial Management LLC

Item 5. Fees and Compensation
  Broadview offers services on a fee-only basis, which may include fixed and/or hourly fees, as well as fees
  based upon assets under management or advisement. Clients are encouraged to contact their investment
  adviser representative if they have any questions regarding the fees associated with their accounts or the
  services provided by Broadview.

  Financial Planning and Consulting Fees

  Broadview generally charges $400 per hour for providing financial planning and consulting services. These
  fees are negotiable and vary depending upon the scope and complexity of the services and the professional
  rendering the financial planning and/or the consulting services. Hourly fees are prorated based on each
  1/10th hour segment and consultations fewer than ten minutes are typically without charge.

  The terms and conditions of the financial planning and/or consulting engagement are set forth in the client’s
  Financial Planning Agreement with Broadview. Invoices are generally billed concurrent with delivery of
  the financial plan or completion of the agreed upon services.

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Firm Brochure

  Investment Management Fees

  The terms and conditions of Broadview’s investment management services are set forth in the client’s
  Financial Management Agreement with Broadview. Clients that engage the Firm for investment
  management services typically do not pay additional fees for financial planning and consulting services.
  In addition, when Broadview’s discretionary authority over a legacy investment is restricted, Broadview
  does not charge any fees with respect to that investment.

  Broadview bases its fees on the amount of assets under the Firm’s management, in accordance with the
  following tiered fee schedule:

                             PORTFOLIO VALUE                             ANNUAL FEE
                      On the first $1,000,000                                 1.00%
                      On the next $1,000,000 - $2,500,000                     0.80%
                      On the next $2,500,000 - $5,000,000                     0.60%
                      On the next $5,000,000 - $10,000,000                    0.50%
                      Amounts above $10,000,000                               0.30%

  To illustrate, a client with a fully discretionary portfolio that has an average daily portfolio value of
  $2,750,000 would pay an annual investment management fee of $23,500 calculated as follows:

                                 Assets         Multiplied by the        Annual Fee
                                                Annual Fee Rate
                               $1,000,000            1.00%                 $10,000.00
                               $1,500,000            0.80%                 $12,000.00
                                 $250,000            0.60%                  $1,500.00
                               $2,750,000                                  $23,500.00

  The annual fee is prorated and charged quarterly, in arrears, based upon the client’s total average daily
  account balances, which means that all of a client’s accounts are aggregated together before applying the
  tiered fee schedule above. The aggregate fee is then distributed to each account pro rata. This practice,
  referred to as “household billing,” may permit a client to reach a breakpoint(s) that results in a lower overall
  fee than if the fee for each account was calculated independently.

  In addition, since the asset-based fee is determined by average daily account balance, if assets are deposited
  into or withdrawn from an account after the inception of a quarter, the base fee payable with respect to such
  assets is adjusted accordingly. For the initial period of an engagement, the fee is calculated on a pro rata

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Firm Brochure

  basis. In the event the Financial Management Agreement is terminated, the fee for the final billing period
  is prorated through the effective date of the termination and the portion of the fee is charged to the client,
  as appropriate. Fees are calculated on a trade date basis and assets under the Firm’s management typically
  includes cash and cash equivalents but not accruals.

  Broadview uses information from the client’s custodian as its main source for determining the client’s
  account balances for fee billing and performance calculation purposes. The prices of securities the Firm
  routinely recommends are widely reported to various sources and typically do not require the Firm to
  determine a value. In the unusual event that a custodian is unable to report a valuation for an Asset, the
  Firm values the Asset in accordance with its valuation procedures. If the Firm is unable to obtain the data
  from a client’s investment custodian necessary to calculate the client’s average daily account balance, the
  Firm will calculate monthly or quarterly average balances using the available custodian data.

  Minimum Investment Management Fee

  As a condition for starting and maintaining an investment management relationship, Broadview generally
  imposes a minimum annual fee of $5,000. This minimum fee may cause clients with smaller portfolios to
  incur an effective fee rate that is higher than the Firm’s stated fee schedule.

  For hourly financial planning and consulting, no minimum fee is required.

  Additional Fees and Expenses

  Broadview’s fee is in addition to certain charges that clients may pay including, but not limited to, brokerage
  commissions, custodial fees, taxes, investment management fees charged by Independent Managers and
  platforms, and other costs incidental to the purchase and sale of investments (collectively referred to as
  “Other Fees”). Independent Managers and platforms may calculate and invoice fees differently than
  Broadview and clients are encouraged to contact their investment adviser representative if they have
...

Item 7. Types of Clients
  Broadview offers services to individuals, pension and profit-sharing plans, trusts, estates, charitable
  organizations, corporations and business entities.