Cooke Wealth Management LLC

ITEM 5 - FEES AND COMPENSATION
FEE SCHEDULES AND BILLING METHODS
Investment Management Services

The annual rate is the asset-based rate corresponding to the sum of billable assets in all
related accounts as determined by the following schedules and is a single flat rate applied
to all monies:
                                                          Per Annum
                     $ 749,999 or less                      1.20%
                     $ 750,000 to $1,249,999                1.10%
                     $1,250,000 to $1,999,999               0.95%
                     $2,000,000 to $4,999,999               0.85%
                     $5,000,000 to $9,999,999               0.70%
                     Over $10,000,000                     Negotiable

Once a client’s portfolio reaches a breakpoint, all account assets are billed at the
corresponding rate. Some accounts may be under different fee schedules honoring prior
agreements. Our standard fee schedule may be negotiable based on a number of factors,
which include but are not limited to client type, complexity of client circumstances and
objectives, pre-existing relationships, and portfolio complexity. COOKE aggregates related
account balances of clients within the same household for purposes of achieving the

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advisory fee breakpoints listed above. We also manage some family and related accounts
without charge.

Management fees are only charged on assets that are traded in the open market and on
which the client’s custodian can provide a price to determine value. Assets or accounts
which are illiquid, such as fixed annuities, are not included in the asset base upon which
our billing is based.

Investment management fees are payable quarterly in advance. Investment management
fees are calculated by multiplying the total value of billable assets in all related accounts as
of the last trading day of the preceding calendar quarter by the annual percentage rate
divided by four. If the management period is for less than the entire quarter, fees are
prorated for the actual days the assets are managed during the billing period. For new
client accounts, the first payment is a pro-rata calculation that takes into consideration the
initial value of the portfolio and remaining days in the quarter once the account is funded.

Pro rata fees are calculated by multiplying the total value of billable assets in all related
accounts at the beginning of the prorated period by daily rate (the annual rate divided by
365) multiplied by the number of days remaining in the period. All single-transaction
account contributions and withdrawals equal or greater to $15,000 during a calendar
quarter in existing accounts will be prorated to the date funds were received or withdrawn
and adjusted for on the following quarterly billing cycle.

With client authorization, COOKE will instruct the custodian to automatically withdraw our
advisory fee from the client’s account. All clients will receive brokerage statements from
the custodian no less frequently than quarterly. The custodian statement will show the
deduction of the advisory fee. COOKE will send a statement to each client who authorizes
COOKE to instruct the custodian to withdraw fees directly from the account. The statement
will show the amount of the fee, the value of the client’s assets upon which we based the
fee, and the rate used to calculate the fee. It is the client’s responsibility to verify the
accuracy of the fee calculation. The custodian will not determine whether the fee is
properly calculated.

Termination of Investment Management Services
Either party may terminate the agreement upon thirty (30) days’ written notice to the other
party. The client may terminate the agreement by writing to COOKE at our office. COOKE
will refund any prepaid, unearned advisory fees based on the effective date of termination.
For refund calculation purposes, the effective termination date will be the latter of 30 days
after notification that our management will terminate, or such later date as agreed to by the
client and COOKE. We may reduce or waive the 30-day termination period at our
discretion.

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Financial Planning Services

Financial Coaching
Upon execution of the advisory agreement, clients pay an initial setup and first quarter fee
of $1,850 for the completion of the foundation plan. Thereafter, clients pay a quarterly fee
for a minimum of two (2) quarters, for ongoing Financial Coaching. Additional quarterly
periods are offered on a subscription fee basis as agreed between Client and Adviser.

Quarterly fees are generally charged based on the sum of annual income plus net worth
according to the schedule below.

                  Sum of income + net worth           Quarterly fee
                  Less than $1,000,000                 $ 700
                  $1,000,000 - $2,500,000              $ 950
                  $2,500,000 - $5,000,000              $1,250
                  Over $5,000,000                     Negotiable

Quarterly Financial Coaching fees may be waived for clients that also engage us for
Investment Management Services with portfolios exceeding $1,500,000. All fees are
negotiable and may be adjusted based on the scope and complexity of the work provided.
Consulting Services

Fees for this service are based on the complexity of the work required and may be quoted
as a flat fee or as an hourly rate. Our current hourly rates are:

      Financial Advisor $600.00          Support Staff $ 125.00

One half (50%) of the minimum fee is due and payable upon signing of the Investment
Advisory Agreement with the balance payable as agreed to in the agreement. When the
work contemplated under the agreement warrants, other payment options may be agreed
upon between COOKE and Client.
...

ITEM 7 - TYPES OF CLIENTS
We offer financial planning and investment management services to individuals, families,
trusts, estates, and pensions.

ACCOUNT REQUIREMENTS

Our investment management services are typically designed for a portfolio of one or more
related accounts totaling $500,000 or more; however, we reserve the right to accept
portfolios with less if in our sole opinion it is in the client’s best interest.

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