Catton Capital Partners LLC

Item	5:	Fees	&	Compensation

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COMPENSATION	FOR	OUR	ADVISORY	SERVICES

Asset	Management

The	maximum	annual	fee	charged	for	this	service	will	not	exceed	0.85%.	Fees	to	be	assessed	will	be
outlined	in	the	advisory	agreement	to	be	signed	by	the	client.	Fees	are	calculated	on	the	market	value
of	assets	in	the	account	(including	cash	and	cash	equivalents)	unless	otherwise	agreed	in	writing.
Annualized	fees	are	billed	on	a	pro-rata	basis	monthly	in	arrears	based	on	the	value	of	the	account(s)
on	the	time-weighted	daily	average	of	the	month.	Fees	are	negotiable	and	will	be	deducted	from	client
account(s).	Our	firm	does	not	offer	direct	invoicing.	The	annual	advisory	fee	schedule	is	as	follows:

                             Advisory	           Tiered	Fee	           Annual
                             Accounts	 Schedule	for	Aum	 Advisory	Fee
                                                  Up	to	$1M	            0.85%
                                                 $1M	-	$2M	             0.80%
                           All	Accounts	         $2M	-	$5M	             0.60%
                                                $5M	-	$10M	             0.50%
                                                    $10M+	              0.40%

For	 a	$4,000,000	account,	 the	 fee	 would	 be	 calculated	 using	 a	 single	 tier	 of	 the	 schedule.
All	$4,000,000	is	charged	at	0.60%.

The	total	annual	advisory	fee	would	be	calculated	as	follows:	$4,000,000	x	0.60%	=	$24,000.		Fees
are	billed	monthly	in	arrears,	so	the	monthly	advisory	fee	for	January	2026	would	be	$4,000,000	x
0.60%	x	(31/365)	=	$2,038.36,	assuming	an	average	daily	balance	of	$4,000,000	in	January.

As	part	of	this	process,	Clients	understand	the	following:

    • Clients	must	provide	our	firm	with	written	authorization	permitting	direct	payment	of
         advisory	fees	from	their	account(s)	maintained	by	a	custodian	who	is	independent	of	our
         firm;
    • Our	firm	sends	monthly	statements	to	the	client	showing	the	fee	amount,	the	value	of	the
         assets	upon	which	the	fee	is	based,	and	the	specific	manner	in	which	the	fee	is	calculated	as
         well	as	disclosing	that	it	is	the	client’s	responsibility	to	verify	the	accuracy	of	fee	calculation,
         and	that	the	custodian	does	not	determine	its	accuracy;	and
    • The	account	custodian	sends	a	statement	to	the	client,	at	least	quarterly,	showing	all
         account	disbursements,	including	advisory	fees.

The	maximum	annual	fee	charged	to	clients	utilizing	third-party	money	managers	will	not	exceed	the
maximum	fee	published	above	for	this	service.	Our	firm	will	debit	fees	for	this	service	as	disclosed	in
the	executed	advisory	agreement	between	the	client	and	our	firm.	This	fee	shall	be	in	addition	to	any
fees	assessed	by	the	chosen	third-party	money	manager.	The	aggregate	advisory	fee	charged	by	our
firm	and	any	third-party	money	manager	will	not	exceed	3%	of	assets	under	management	per	year.
The	third-party	money	managers	we	recommend	will	not	directly	charge	you	a	higher	fee	than	they
would	have	charged	without	us	introducing	you	to	them.	Third-party	money	managers	establish	and

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maintain	their	own	separate	billing	processes	over	which	we	have	no	control.	They	will	directly	bill
you	and	describe	how	this	works	in	their	separate	written	disclosure	documents.

Comprehensive	Portfolio	Management

The	maximum	annual	fee	charged	for	this	service	will	not	exceed	0.85%.	Fees	to	be	assessed	will	be
outlined	in	the	advisory	agreement	to	be	signed	by	the	client.	Our	firm	bills	on	cash	unless	indicated
otherwise	in	writing.	Annualized	fees	are	billed	on	a	pro-rata	basis	monthly	in	arrears	based	on	the
value	of	the	account(s)	on	the	time-weighted	daily	average	of	the	month.	Fees	are	negotiable	and	will
be	deducted	from	client	account(s).	Our	firm	does	not	offer	direct	invoicing.	As	part	of	this	process,
Clients	understand	the	following:

    • Clients	must	provide	our	firm	with	written	authorization	permitting	direct	payment	of
        advisory	fees	from	their	account(s)	maintained	by	a	custodian	who	is	independent	of	our
        firm;
    • Our	firm	sends	monthly	statements	to	the	client	showing	the	fee	amount,	the	value	of	the
        assets	upon	which	the	fee	is	based,	and	the	specific	manner	in	which	the	fee	is	calculated	as
        well	as	disclosing	that	it	is	the	client’s	responsibility	to	verify	the	accuracy	of	fee	calculation,
        and	that	the	custodian	does	not	determine	its	accuracy;	and
    • The	account	custodian	sends	a	statement	to	the	client,	at	least	quarterly,	showing	all
        account	disbursements,	including	advisory	fees.

Fees	charged	for	third-party	manager	services	shall	be	in	addition	to	our	advisory	fees.	The	aggregate
advisory	fee	charged	by	our	firm	and	any	third-party	money	manager	will	not	exceed	3%	of	assets
under	 management	 per	 year.	 The	 third-party	 money	 managers	 we	 recommend	 will	 not	 directly
charge	you	a	higher	fee	than	they	would	have	charged	without	us	introducing	you	to	them.	Third-
party	money	managers	establish	and	maintain	their	own	separate	billing	processes	over	which	we
have	no	control.	In	general,	they	will	directly	bill	you	and	describe	how	this	works	in	their	separate
written	disclosure	documents.

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	 $250,	 with	 hourly	 rates	 ranging	 from	 $150	 to	 $250
...

Item	7:	Types	of	Clients	&	Account	Requirements

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Our	firm	has	the	following	types	of	clients:

    • Individuals	and	High	Net	Worth	Individuals;
    • Trusts,	Estates	or	Charitable	Organizations;
    • Pension	and	Profit-Sharing	Plans;
    • Corporations,	Limited	Liability	Companies	and/or	Other	Business	Types

Our	firm	generally	requires	a	minimum	portfolio	value	of	$500,000	to	open	and	maintain	an	advisory
relationship.	 This	 minimum	 may	 be	 waived	 at	 the	 sole	 discretion	 of	 the	 firm.	 Other	 than	 this
minimum,	 we	 do	 not	 impose	 additional	 requirements	 for	 opening	 and	 maintaining	 accounts	 or
otherwise	engaging	us.