Congress Park Capital LLC

ITEM 5: FEES AND COMPENSATION
How We Are Compensated for Our Advisory Services

Asset Management:

           Assets under management            Annual Percentage of assets charge:
                  Any Assets                          0.25% - 2.00%

     Alternatively, we may charge a fixed fee generally within the range of $1,500 to $100,000.

Our firm’s fees are billed on a pro-rata annualized basis quarterly in advance based on the value of
your account on the last day of the previous quarter. In limited cases, we may bill quarterly in arrears
based upon quarter end closing balance. Our firm bills on cash unless indicated otherwise in writing.
Fees will generally be automatically deducted from your managed account. In rare cases, we will
agree to directly bill clients. As part of the automatic fee deduction process, you understand and
acknowledge the following:

a) Your independent custodian sends statements at least quarterly to you showing all
   disbursements for your account, including the amount of the advisory fees paid to us;
b) You provide authorization permitting us to be directly paid by these terms;
c) If we send a copy of our invoice to you, our invoice includes a legend which urges the client to
   compare information provided in their statements with those from the qualified custodian in
   account opening notices and subsequent statements.

Retirement Plan Consulting:

Our Retirement Plan Consulting services are billed on an 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. Our flat fees range

from $750 to $100,000. Fees based on a percentage of managed Plan assets will not exceed 1.00%.
The fee-paying arrangements will be determined on a case-by-case basis and will be detailed in the
signed consulting agreement.

Other Types of Fees & Expenses

Clients will incur transaction charges for trades executed in their accounts by their chosen custodian
via individual transaction charge. These transaction fees are separate from our fees and will be
disclosed by the firm that the trades are executed through. Also, clients will pay the following
separately incurred expenses, which we do not receive any part of: charges imposed directly by a
mutual fund, index fund, or exchange traded fund which shall be disclosed in the fund’s prospectus
(i.e., fund management fees and other fund expenses).

Termination & Refunds

We charge our advisory fees quarterly in advance. In the event that you wish to terminate our
services, we will refund the unearned portion of our advisory fee to you. You need to contact us in
writing and state that you wish to terminate our services. Upon receipt of your letter of termination,
we will proceed to close out your account and process a pro-rata refund of unearned advisory fees.
In limited cases where we charge quarterly in arrears, if you wish to terminate our services, you need
to contact us in writing and state that you wish to cancel this Agreement Upon receipt of your letter
of termination. We will proceed to close out your account and charge you a pro-rata advisory fee(s)
for services rendered up to the point of termination.

Fidelity Brokerage Services (“Fidelity”) eliminated transaction fees for U.S. listed equities and
exchange traded funds for clients who opt into electronic delivery of statements or maintain at least
$1 million in assets at Fidelity. Clients who do not meet either criteria will be subject to transaction
fees charged by Fidelity for U.S. listed equities and exchange traded funds.

Commissionable Securities Sales

We do not sell securities for a commission. In order to sell securities for a commission, we would
need to have our associated persons registered with a broker-dealer. We have chosen not to do so.

ITEM 7: TYPES OF CLIENTS AND ACCOUNT REQUIREMENTS
We have the following types of clients:
   • Individuals and High Net Worth Individuals;
   • Pension and Profit Sharing Plans;

Our firm does not require any minimum account balances.

However, clients who opt into electronic delivery of statements or maintain at least $1 million in
assets at Fidelity will not be charged transaction fees for U.S. listed equities and exchange traded
funds.