Brookwood Investment Group LLC

Item 5 Fees and Compensation

Assets Under Management Fees. Brookwood's Assets Under Management (“AUM”) Fee is
negotiable at our discretion, but generally ranges from negotiable up to 2.50%, depending upon
various factors including but not limited to: the amount of assets to be managed; portfolio
composition; the scope and complexity of the engagement; the anticipated number of meetings and
servicing needs; related accounts; future earning capacity; anticipated future additional assets; the
professional(s) rendering the service(s); prior relationships with Brookwood and/or its
representatives, and negotiations with the Client. As a result, similarly situated Clients could pay
different fees and the services to be provided by Brookwood to any particular Client could be
available from other advisers at lower fees.

AUM Fees may be charged on a Flat Fee percentage, a Linear Fee percentage, or a Tiered Fee
percentage structure. Fees are calculated on an annualized percentage of assets under management
and assessed quarterly, either in advance or in arrears, as agreed to by you and stated in your
Investment Advisory Agreement. Advisory fees are assessed on the value of the portfolio reported
by the custodian as of the last day of the previous quarter if billed in advance or on the last day of
the quarter in which services were rendered if billed in arrears.In the event that your Fees are

assessed quarterly in advance, any additions or withdrawals of of $10,000 or more that occur during
the quarter will be pro-rated for advisory fee purposes and either billed or credited for fee purposes
in the following quarter. New accounts are charged a pro-rated fee from the date of funding. You
should discuss your specific agreed upon fee schedule with your investment advisor representative.
You will receive a thirty (30) day notice in writing of any change to your fee schedule.

Please Note: Cash Positions. At any specific point in time, depending upon perceived or anticipated
market conditions/events (there being no guarantee that such anticipated market conditions/events
will occur), Brookwood may maintain cash positions for defensive purposes. All cash positions
(money markets, etc.) shall be included as part of assets under management for purposes of
calculating Brookwood's fee. Brookwood shall not charge a separate fee for any cash deposited into
StoneCastle’s FICA Program.

Fees are typically deducted from custodial account(s). Brookwood's Investment Advisory
Agreement and the custodial/clearing agreement authorize the custodian to debit each account for
advisory fees and todirectly remit that management fee to Brookwood in compliance with regulatory
procedures. In the limited event that Brookwood bills the Client directly, payment is due upon receipt
of Brookwood's invoice.

Financial Planning and Consulting Fees. Brookwood's planning and consulting fees are negotiable
and may be complementary at Brookwood's discretion, but generally range from
$1,000.00 to $10,000.00 when charged on a fixed fee basis or up to $500 per hour when charged on
an hourly rate basis, depending upon the level and scope of the service(s) required and the
professional(s) rendering the service(s). Clients who choose to utilize Estate Guru for Estate Planning
purposes are charged separately for Estate Guru Fees and typically pay Estate Guru directly.
Brookwood does not receive any fees from Estate Guru for referring Clients to the platform.

Selection of Third-Party Managers. Brookwood may direct clients to third-party managers.
Brookwood will receive its advisory fee, separate and apart from fees charged to Client by the third-
party manager. Brookwood does not share in any fees paid to Third-Party Managers.

Retirement Consulting Services Fees. Brookwood’s pension consulting fees are negotiable, but
generally are charged up to 100 bps (basis points) of the plan assets for which Brookwood is
providing such consulting services or on a fixed fee basis up to $50,000 depending upon the level
and scope of the service(s) required and the professional(s) rendering the service(s).

Educational Seminar Fees. While certain Educational Seminars may be complementary at
Brookwood's discretion, generally Educational Seminars attendees may be assessed a fee ranging
from $40 to $500. The workshop fee is announced in advance and determined by the length of the
event, the number and expertise of the presenters involved, and whether or not educational materials
are being provided.

StoneCastle Cash Deposit Program. Brookwood does not charge a fee for StoneCastle Cash
Deposit Program. Brookwood does earn a 10 BPS referral fee from StoneCastle, which reduces the
monthly account yield you earn in the StoneCastle Cash Deposit Account.

UPTIQ. Brookwood does not charge a fee for UPTIQ. UPTIQ is solely compensated by the lender
for its services. UPTIQ shares up to 25% of its compensation (derived from Lender’s fees) with
Brookwood as a referral fee.

Other Fees. A technology fee of $60 per account is charged annually for technology (used to support
data reconciliation, performance reporting, fee calculation and billing, research, Client database
maintenance, quarterly performance evaluations, payable reports, models, trading platforms, and
other functions related to the administrative tasks of managing Client accounts), unless waived at
your investment advisor representative’s discretion. Fees are automatically debited from account in
advance on quarterly basis at the same billing frequency described above (i.e. $60 annual fee is
charged $15 per quarter). This technology fee is in addition to the stated standard or negotiated
advisory fees.

Brookwood shall generally recommend one of our preferred custodians for Client investment
management assets. Broker-dealers charge brokerage commissions and/or transaction fees for
effecting certain securities transactions (i.e. transaction fees are charged for certain no-load mutual
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Item 7 Types of Clients

We serve individuals, high net worth individuals, business entities, including other investment
advisors and pension/profit sharing plans. Brookwood does not generally require a minimum asset
level for investment services, but may at its own discretion decline to provide investment advisory
services.