Carsonallaria Wealth Management Ltd

ITEM 5 - FEES AND COMPENSATION
Investment Management Fees and Compensation
Our Firm charges a fee as compensation for providing Investment Management services
on your account. These services include advisory services, trade execution, investment
supervision, and other account-maintenance activities. Our custodian charges transaction
costs, custodial fees, redemption fees, retirement plan and administrative fees or
commissions. See Additional Fees and Expenses below for additional details.
Our fee for the advisory services is an asset-based fee calculated as a percentage of the
value of the managed assets or a flat fee, calculated according to the following fee
schedule, which represents the maximum fees for individual services.

       Market Value of Accounts                Annual Advisory Fee
       $0–$250,000                                          $2,875
       $250,001–$500,000                                     1.15%
       $500,001– $1,000,000                                  1.00%
       $1,000,001–$2,000,000                                 0.90%
       $2,000,001–$4,000,000                                 0.80%
       $4,000,001–$7,000,000                                 0.70%
       $7,000,001–$10,000,000                                0.60%
       Over $10,000,000                                   Negotiable

Asset-based fees are billed quarterly in advance and calculated on the last business day of
the prior quarter as valued by the qualified custodian of the account. There is a possibility
for price or account value discrepancies due to quarter-end transactions in an account.
Factors which can impact discrepancies include, but are not limited to: Dividends or trade
date settlements, and our third-party billing software reporting a slight difference in
account valuation at quarter end compared to what is reported on your Statement from
the Custodian. Our firm has the ability to produce billing summaries, which can be
provided upon request.

                                CarsonAllaria Wealth Management
                                     FORM ADV 2A Brochure

All fees are deducted from the account by the qualified custodian, unless client does not
have established accounts at our custodian, or requests direct invoicing. Adjustments for
significant contributions to a client’s portfolio (10% or more of portfolio value) are prorated
for the quarter in which the change occurs; no adjustments will be made for withdrawals.

This client investment advisory agreement may be terminated by either party upon written
or verbal notice to the other party. Upon termination, any prepaid, unearned fees will be
returned to the client. The Firm will instruct the custodian to credit the account, or if the
advisory account is closed, the firm will issue a check to the client in the amount of the
refund. Upon termination, you are responsible for monitoring the securities in your
account, and we will have no further obligation to act or advise with respect to those
assets. In the event of client’s death or disability, our Firm will continue management of
the account until we are notified of client’s death or disability and given alternative
instructions by an authorized party.

Fees are negotiable and can vary based on the size of the account, complexity of the
portfolio, extent of activity in the account or other reasons agreed upon by us and you as
the client at the Firm’s discretion. In certain circumstances, our fees and the timing of the
fee payments can be negotiated.

Unless otherwise instructed by the Client, we will aggregate related client accounts for the
purposes of determining the account size and annualized fee. The common practice is
often referred to as “householding” portfolios for fee purposes and can result in lower fees
than if fees were calculated on portfolios separately. Our method of householding
accounts for fee purposes looks at the overall family dynamic and relationship.

When applicable and noted in the Investment Management Agreement, concentrated
stock positions may also be excluded from the fee calculation.

The independent qualified custodian holding your funds and securities will debit your
account directly for the advisory fee and pay that fee to us. You will provide written
authorization permitting the fees to be paid directly from your account held by the
qualified custodian. At our discretion, you may pay the advisory fees directly to our Firm by
check. Further, the qualified custodian agrees to deliver an account statement to you on
a quarterly basis indicating all the amounts deducted from the account including our
advisory fees.

Financial Planning Fees
Financial Planning services are typically included in the investment management fee
described above. On occasion, our firm is asked to provide financial planning services for a
separate fee. In this circumstance, we will negotiate the planning fees with you. Fees may
vary based on the extent and complexity of your individual or family circumstances and the

                                 CarsonAllaria Wealth Management
                                      FORM ADV 2A Brochure

amount of your assets under our management. Our fee will be agreed in advance of
services being performed. The fee will be determined based on factors including the
complexity of your financial situation, agreed upon deliverables, and whether or not you
intend to implement any recommendations through CarsonAllaria. Fixed fees for financial
plans will not exceed $10,000.

Typically, we complete a plan within a month and will present it to you within 90 days of
the contract date, if you have provided us all information needed to prepare the financial
plan. Fees are billed and payable at the time the financial plan is delivered to you. You may
terminate the financial planning agreement by providing us with written notice. Upon
termination, fees will be prorated to the date of termination and any earned portion of the
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ITEM 7 - TYPES OF CLIENTS
We provide our investment management, financial planning, and consulting services to
individuals, high-net worth individuals, trusts, estates, and corporations. We do not
impose a minimum account size for opening an account with our Firm.
Our Retirement Plan Services are available to clients that are sponsors or other fiduciaries
to plans, including 401(k), 457(b), 403(b) and 401(a) plans. Plans include participant-
directed defined contribution plans and defined benefit plans. Plans may or may not be
subject to ERISA.
We do not require a minimum asset amount for Retirement Plan Consulting Services.