ITEM 5 – FEES AND COMPENSATION
PORTFOLIO MANAGEMENT FEES
Our portfolio management services are offered in a wrap fee program. For this service, the Firm
charges an annual management fee (“fee”) based on a percentage of assets under management
in your account as reported by the custodian. Our fee schedule is:
Custodian Reported Account Value Annual Management Fee
$0 to $400,000 1.75% on the first $400,000
$400,001 to $750,000 1.25% on the next $350,000
$750,001 to $1,000,000 1.00% on the next $250,000
$1,000,000 to $3,000,000 0.75% on the next $2,000,000
$3,000,001 to $10,000,000 0.60% on the next $7,000,000
$10,000,001 to $25,000,000 0.50% on the next $15,000,000
$25,000,000+ Negotiable
Our fee schedule is blended. This means an account valued at $500,000 will pay 1.75% on the
first $400,000 and 1.25% on the remaining $100,000. The fee is negotiable based on the size
and number of the account(s) managed.
The fee is calculated and collected monthly in arrears, meaning the Firm collects the
management fee at the end of each calendar month. The fee calculation is based on the
custodian’s reported average daily account balance for the month. This amount is multiplied
by the fee percentage and divided by 12. Cash balances and investments in money market
funds, demand deposit accounts, or certificates of deposit held in the account are included in
the fee calculations.
The Client will be asked to authorize us with the ability to instruct the custodian to withdraw our
management fee directly from your account. The Client may terminate this authorization at any
time.
In a wrap account, clients pay a single annual advisory fee for advisory services and execution of
transactions. Clients do not pay brokerage commissions, markups or transaction charges for
Hasenberg Financial Group Page 6 ADV Part 2A – 5/9/2025
execution of transactions in addition to the advisory fee. Please see our Wrap Fee Brochure,
Appendix 1 to this Form ADV Part 2A for additional information.
FINANCIAL PLANNING SERVICE FEES
For clients engaged in our investment management services, our financial planning services are
included in advisory fees described above.
For clients only engaging our Firm for financial planning services only, financial planning is offered
under a separate agreement and separate fee. Fees may vary based on the extent and complexity
of your individual or family circumstances and the amount of your assets under our management.
Our fee will be agreed in advance of services being performed and negotiated with you. The fee
will be determined based on factors including the complexity of your financial situation, agreed
upon deliverables, and whether you intend to implement any recommendations through
Hasenberg Financial Group. Financial Planning fees may be fixed or hourly. The fixed fees range
from $1,800 to $25,000. Hourly fees are $250/hour. The specific fee for your financial plan will
be discussed with you and specified in your planning agreement with Hasenberg Financial Group
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. Fifty
percent (50%) of the financial planning fees are due upon execution of the financial planning
agreement. The remainder is due at the time the financial plan is delivered to you.
Estate Planning Services
Clients who wish to engage our Firm for estate planning services, estate planning is offered under
a separate agreement and separate fee. Clients who utilize the estate planning services offered
through Wealth.com will be charged a flat fee of $1,000.
If you choose to 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
fee will be billed to you based on the hours that our firm has spent on creating your financial plan
prior to termination. The hourly rate used for this purpose is $250/hour. The hourly rate would
be stated in your executed Financial Planning Agreement.
We will not require prepayment of more than $1200 in fees per client, six (6) or more months in
advance of providing any services. In no case are our fees based on, or related to, the
performance of your funds or investments.
CONSULTING FEES
Hasenberg Financial Group provides consulting services for clients who need advice on a limited
scope of work. Hasenberg Financial Group will negotiate consulting fees with you. Fees may vary
based on the extent and complexity of the consulting project. Fees will be billed as services are
rendered. Either party may terminate the agreement. Upon termination, fees will be prorated
to the date of termination and any unearned portion of the fee will be refunded to you as
described above.
DISCLOSURE REGARDING ROLLOVER RECOMMENDATIONS
Hasenberg Financial Group Page 7 ADV Part 2A – 5/9/2025
We are fiduciaries under the Investment Advisers Act of 1940 and when we provide investment
advice to you regarding your retirement plan account or individual retirement account, we are
also fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act
and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts.
We have to act in your best interest and not put our interest ahead of yours. At the same time,
the way we make money creates some conflicts with your interests.
A client or prospect leaving an employer typically has four options regarding an existing
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