Item 5. Fees and Compensation
A. Methods of Compensation and Fee Schedule
A.1. Asset-Based Fee Schedule
CP provides discretionary and/or non-discretionary investment advisory services on a fee basis. CP’s
annual investment advisory fee shall be based upon a percentage (%) of the market value and type of
assets placed under CP’s management, generally between 0.3% and 1.25%. These fees can be charged
to a taxable account, corporate account, irrevocable trust, IRA or qualified account, as well as other
account types as determined to be in the client’s best interest, including consideration of the client’s
tax and liquidity issues. CP’s annual investment advisory fee shall be based upon various objective
and subjective factors, including, but not limited to, the amount of the assets placed under CP’s
direct management, the complexity of the engagement, and the level and scope of the overall
investment advisory services to be rendered. Before engaging CP to provide investment advisory
services, clients are required to enter into a discretionary or non-discretionary Investment Advisory
Agreement, setting forth the terms and conditions of the engagement (including termination), which
describes the fees and services to be provided.
CP, in its sole discretion, may charge a lesser investment management fee based upon certain criteria
(i.e. anticipated future earning capacity, anticipated future additional assets, dollar amount of assets to
be managed, related accounts, account composition, negotiations with client, etc.). As a result, CP’s
clients could pay diverse fees based upon the market value of their assets, the complexity of the
engagement, and the level and scope of the overall financial planning and/or consulting services to
be rendered. The services to be provided by CP to any particular client could be available from other
advisers at lower fees.
Asset-based fees are always subject to the investment advisory agreement between the client and
CP. Fees are paid quarterly in advance or arrears. Fees may be negotiable for accounts with unusual
investment management requirements, services offered, and size. The majority of our clients have
their fees deducted from their portfolio, although we have a few clients that pay by check. The fees
will be prorated if the investment advisory relationship commences otherwise than at the beginning
of a calendar month.
Either party can terminate the agreement at any time upon written notice. Upon termination of any
account, any unearned, prepaid fees will be refunded, and any earned, unpaid fees will be due and
payable. The client has the right to terminate an agreement without penalty within five business
days after entering into the agreement.
Minimum Fee: Minimum Fee. CP generally (subject to exceptions) imposes a $5,000 annual
minimum fee for investment management services.
Minimum Account Size: For new clients, the minimum account size is $1 million. CP, in its sole
discretion, will waive the account size minimum if circumstances warrant it.
P ag e 2 0
Part 2A of Form ADV: Chicago Partners Investment Group LLC Brochure
Chicago Partners Investment Group LLC
A.2. Consulting Fees
Consulting services clients will be charged a mutually agreed upon fixed fee. Invoices will be mailed
out on a periodic basis reflecting completed work performed. Clients seeking to terminate this
service must do so in writing.
A.3. Retirement Plan Consulting Services
Fees are negotiated on a case-by-case basis with the client.
A.4. 401(k) Savings & Retirement Plan Service
Fees are negotiable on a case-by-case basis with the client.
A.5. Investment Companies Fees
Fees paid to CP are exclusive of all custodial and transaction costs paid to account custodians or
brokers. The client should review all fees charged by mutual funds, CP and others to fully
understand the total amount of fees to be paid by the client.
A.6. Investment Advisory Fees
If the client determines to engage CP to provide investment advisory services, CP’s annual
investment advisory fee shall vary (generally, up to 1.25%) based upon various factors, including
the total amount of assets placed under management/advisement. CP, in its discretion, may waive
this fee based upon certain criteria).
Please Note: Fee Differentials. Because we shall generally price our advisory services based upon
various objective and subjective factors, our clients could pay diverse fees or have fees waived,
based upon a combination of factors, including but not limited to anticipated future earning
capacity, anticipated future additional assets, the dollar amount of assets to be managed, related
accounts, account composition, anticipated services to be rendered, grandfathered fee schedules,
employees and family members, courtesy accounts, competition, the market value of their assets,
the complexity of the engagement, the level and scope of the overall investment advisory services
to be rendered, the individuals(s) providing the services, and client negotiations, etc., similarly
situated clients could pay diverse fees, and the services to be provided by CP to any particular client
could be available from other advisers at lower fees. All clients and prospective clients should be
guided accordingly. ANY QUESTIONS: CP’s Chief Compliance Officer, James Hagedorn, remains
available to address any questions regarding Fee Differentials. CP, in its discretion, may waive the
above based upon certain criteria (i.e. anticipated future earning capacity, anticipated future
additional assets, dollar amount of assets to be managed, related accounts, account composition,
complexity of the engagement, anticipated services to be rendered, grandfathered fee schedules,
employees and family members, courtesy accounts, competition, negotiations with client, etc.).
CP Private Fund Fees
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