Item 5. Fees and Compensation
A. Fees and Compensation
Management Fee
Our fees for providing investment advisory services are generally based on a percentage of
assets under management. Fees for Full-Service Mandates and Advisory Mandates will
range from 0.25% to 1.50%. Fees will be determined based on complexity, assets under
management and other factors related to the portfolio and particular client. In certain
limited situations, clients will be charged fixed fees, including, for certain Advisory
Mandates as described in Item 4 above. We may also charge account opening fees, which
will be based on various factors, as described in more detail in the specific investment
management agreement for each client.
Fees are negotiable, at our discretion, on a case-by-case basis.
As noted in Item 10 below, in certain instances, we will act as a joint venture partner in
private investments and, as a result, could earn a portion of the income earned by such
investments.
Method of Payment
One fourth of the annual management fee is paid quarterly in advance or in arrears as
agreed upon with the individual client. Account opening fees, as described above are
payable at the outset of the Advisory Mandate. Fees are calculated as set forth in each client
advisory agreement. Fees are invoiced to clients.
Performance Fees
As noted in Item 10 below, in certain instances, we will act as a joint venture partner in
private investments and, as a result, could earn performance-based fees on such
investments.
Other Fees and Expenses
Fees Charged to Clients in Addition to the Fees Listed Above:
1. Brokerage Commissions by Third Parties and Other Transaction and Third-Party Fees:
Clients will pay all brokerage commissions, custodial fees and service charges, stock
transfer fees and other similar charges incurred in connection with transactions for
the client’s account. In addition, the client may be subject to:
a. Wire transfer and electronic fund fees;
b. Fees for odd-lot differentials;
c. Retirement plan fees, as applicable;
d. Reporting related fees;
e. Other fees and taxes related to brokerage accounts; and
f. Other charges required by law.
These charges will be invoiced to the clients or paid out of the client’s assets held with
the custodian and are in addition to the investment advisory fee paid to us.
Colter Lewis Investment Partners LLC Date: March 2026
For investments in mutual funds and exchange traded funds, clients incur additional
charges imposed by third parties, including, but not limited to, the following:
a. Mutual fund sales fees and sub transfer fees;
b. Internal management fees and administrative expenses for mutual funds and
exchange traded funds that are disclosed in the fund prospectus; and
c. Mutual fund transaction fees and mutual fund short term redemption fees, if
applicable.
2. Third Party Fund Investments: Clients invested in third party managed pooled
investment vehicles ("Third-Party Private Funds") can expect to be charged
management fees and sometimes also performance fees as well as certain
administrative expenses by the Third-Party Private Fund manager. All of these fees
are in addition to the fees disclosed above. Fund management fees charged by Third
Party Private Fund managers generally range from 0.5% to 3% annually, as applicable.
Depending on the terms of each Third-Party Private Fund, performance fees typically
range from 5% to 35% of the annual net profits, subject to certain limitations. All fees
and administrative expenses are disclosed in the offering documents that clients
receive for each Third-Party Fund. In addition, each Third-Party Private Fund requires
clients to meet specific qualifications in order to invest. Other than as noted in Items 5
and 10, we do not share in the fees earned by Third-Party Fund managers.
B. Prepayment of Fees
All management fees are paid quarterly in advance. Clients may request a pro-rata refund
of pre-paid fees if they terminate their investment management agreement prior to the end
of the billing period.
C. Other Compensation
We and our supervised persons do not accept any compensation for the sale of securities or
other investment products.
Colter Lewis Investment Partners LLC Date: March 2026