Brock Fiduciary Services LLC

Item 5:        Fees and Compensation

Compensation

Brock does not employ a standard fee schedule for all clients. Fees and payment terms are negotiable
depending on each client's unique situation, including the amount of assets, type of portfolio, time
involved, degree of responsibility assumed, complexity of the engagement, special skills needed to
solve problems, application of experience and knowledge of the client's situation.
Calculation and Payment

The specific manner in which client fees are charged is described in each client's written agreement
with the Firm. Fees are paid periodically, not on success basis. Upon termination of any account, any
prepaid, unearned fees will be promptly refunded, and any earned, unpaid fees will be due and payable.
Other Fees

Brock's fees do not include transaction fees and other related costs and expenses which may be
incurred by the client.
Additional Compensation

Brock does not accept compensation for the sale of securities or other investment products.
Three of the Firm's supervised persons are also members of Brock Securities LLC, a registered broker-
dealer that may accept compensation for assisting clients in identifying sources of funding. This
practice would present a conflict of interest if the Firm were to recommend investment products to
clients, as it would give such person an incentive to recommend products based on the compensation
received, rather than on a client's needs. The Firm does not presently recommend specific investment
products to any of its clients.
Conflicts of Interest

Brock Capital Group LLC maintains and operates internal organizational and administrative
arrangements taking into account the various services the Firm provides. Brock Capital Group LLC
is modestly sized, consisting of fewer than fifty professionals, which allows the Firm to readily
identify potential conflicts of interest and flexibly staff any engagement. In the event that any new
opportunity presents a potential conflict of interest with an existing client engagement or an outside
responsibility of one a supervised person (such as a directorship), the Firm would refuse the
engagement or, subject to client approval, the conflicted supervised person would not participate in
the provision of services for such new opportunity. The Firm would then prevent conflicts of
interest by controlling, managing or restricting as deemed appropriate the flow of privileged
information among supervised persons.

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Types of Clients

As described in Item 4, Brock's clients include public and private pension and profit-sharing plans,
as well as trusts.
Account Minimums

While Brock does not have any strict criteria regarding minimum account size, Brock’s clients
historically had $1 billion or more in assets under management by Brock.

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