Collier Financial Inc

ITEM 5 - FEES AND COMPENSATION
Investment Management Fees and Compensation
Collier Financial charges a fee as compensation for providing Investment Management
services on your account. These services include advisory and consulting services, trade
entry, investment supervision, and other account maintenance activities. The custodian
may charge custodial fees, redemption fees, retirement plan and administrative fees or
commissions. See Additional Fees and Expenses below.

In addition, some mutual fund assets deposited in the account may have been subject to
deferred sales charges and 12(b)(1) fees and other mutual fund annual expenses as
described in the fund’s prospectus. These fees are independent of our fees and should be
disclosed by the custodian or contained in each fund’s prospectus. You should also note
that fees for comparable services vary and lower fees for comparable services may be
available from other sources.

The fees for portfolio management are based on an annual percentage of assets under
management and are applied to the account asset value on a pro-rated basis, billed in
advance on a three-month billing cycle. The initial fee will be based upon the date the
account is accepted for management by execution of the advisory agreement by Collier
Financial or when the assets are transferred through the last day of the three-month billing
period. Only the initial billing is in arrears. Thereafter, the fee will be based on the last day
of the three-month billing period. The market value will be determined as reported by the
Custodian. Fees are assessed on all assets under management, including securities, cash
and money market balances.

Our investment advisory fees shall not exceed 2.00%.

The specific advisory fees are set forth in your Investment Advisory Agreement. Fees may
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. In certain circumstances,
our fees and the timing of the fees may be negotiated.

Advanced billing is done on a three-month billing period and is the primary way fees are
assessed in advisory accounts. To calculate advanced billing Collier Financial assumes a
360-day year and quarters lasting 90 days. Calculations are as follows:

[(Last day of three-month billing period x Advisory Fee) / 360] x 90 days = Advance
Billing

At our discretion, we will aggregate asset amounts in accounts from your same household
together to determine the advisory fee for all your accounts. We may do this, for example,
where we also service accounts on behalf of your minor children, individual and joint
accounts for a spouse, and/or other types of related accounts. This consolidation practice
is designed to allow you the benefit of an increased asset total, which could potentially
cause your account(s) to be assessed a reduced advisory fee based on the asset levels
available in our fee schedule.
The independent qualified custodian holding your funds and securities will debit your
account directly for the advisory fee and pay that fee to us. At the same time Collier
Financial instructs the custodian to deduct fees from the client’s account. You will provide
written authorization permitting the fees to be paid directly from your account held by the
qualified custodian. Further, the qualified custodian agrees to deliver an account statement
at least quarterly directly to you indicating all the amounts deducted from the account
including our advisory fees. See Item 15 for details. At our discretion, you may pay the
advisory fees by check. You are encouraged to review your account statements for
accuracy.

The Agreement will be terminated immediately upon notice by either party. The
management fee will be pro-rated to the date of termination, for the quarter in which the
cancellation notice was given and refunded to you. 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.

Certain investment adviser representatives of Collier Financial are also associated with
LPL Financial as broker-dealer registered representatives (“Dually Registered Persons”).
In their capacity as registered representatives of LPL Financial, certain Dually Registered
Persons may earn commissions for the sale of securities or investment products that they
recommend for brokerage clients. They do not earn commissions on the sale of securities
or investment products recommended or purchased in advisory accounts through Collier
Financial. Clients have the option of purchasing many of the securities and investment
products we make available to you through another broker-dealer or investment adviser.
However, when purchasing these securities and investment products away from Collier
Financial, you will not receive the benefit of the advice and other services we provide.

Financial Planning Fees
Collier Financial Planning Services are included within Investment Management Services
at no additional cost.

Consulting Fees
Collier Financial will negotiate fees with you. Fees may vary based on the extent and
complexity of the project and scope of services. Your fee for consulting services will be
based on an hourly fee of $250.00 an hour. The fee and the number of hours will be
determined based on factors including, the complexity of the project and the agreed upon
deliverables. 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.

Mutual Fund Share Class Selection
Collier Financial may include mutual funds and exchange traded funds, (“ETFs”) in our
investment strategies. Collier Financial’s policy is to purchase institutional share classes of
those mutual funds selected for the client’s portfolio. The institutional share class generally
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ITEM 7 - TYPES OF CLIENTS
We provide portfolio and asset management services to individuals and high net worth
individuals. We have a minimum requirement of $500,000 of investable assets to open an
account with Collier Financial, but we will consider smaller account sizes depending on
the nature of the client account(s) in question.