Item 5 Fees and Compensation
Investment Advisory Fees
Pursuant to an investment advisory agreement signed by each client, the client will pay Daintree a periodic
advisory fee, typically quarterly, based on the amount of the assets under advisement by the Advisor
measured as of the close of business on the last business day of the prior period. The annual fee will be
calculated based on the size of the overall investment relationship the client has with Daintree. Fees
typically range from 0.5% — 1.0% depending on factors such as the size of the relationship and complexity
of the strategies employed. These fees may be negotiated, at the sole discretion of the Advisor.
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All fees paid to Daintree for investment advisory services are separate and distinct from the expenses
charged by mutual funds and ETFs to their shareholders, and investment advisory fees charged by sub-
advisors, and program fees charged by sponsors of Managed Account platforms that may be utilized by the
advisor to help achieve the Client’s investment objectives. These fees and expenses are described either in
each fund’s prospectus, or the Form ADV of the sub-advisor or Managed Account program sponsor. These
fees will generally be used to pay management fees for the mutual funds, ETFs, or sub-advisors, other fund
expenses, and account administration (e.g., custody, brokerage and account reporting). A Client may be
able to invest in these products directly, without the services of Daintree. In that case, the Client would not
receive the services provided by Daintree which are designed, among other things, to assist the Client in
determining which products or services are most appropriate to each Client’s financial condition and
objectives. Accordingly, the Client should review both the fees charged by the product sponsor and the
fees charged by Daintree to fully understand the total fees to be paid.
Client is responsible for all custodial and securities execution fees charged by the custodian and executing
broker-dealer. The Advisor’s fee is separate and distinct from the custodian and execution fees.
Clients may request to terminate their advisory contract with Daintree in whole or in part, by providing
thirty days’ advance notice. During the thirty days’ notice period, clients will continue to be charged fees
for services which may be performed by Daintree, such as coordinating account transfers with new advisors,
CPAs, or attorneys; completing open investment transactions; and retaining fiduciary responsibility for
investments until transfers of accounts have been finalized. Upon termination, any fees paid in advance
will be prorated to the date of termination and any excess will be refunded to client. Client’s advisory
agreement with the Advisor is non-transferable without Client’s consent.
Hourly Fee
In some circumstances, Daintree may agree to provide financial planning or other non-investment services
based on an hourly fee. The Advisor’s hourly fee will be billed at rates from $125 to $600 per hour based
on the level of staffing required. The Advisors hourly fees will be negotiated and agreed upon by the parties
in advance.
Fixed Fees
Fixed fees may be negotiated at the discretion of the Advisor. Daintree may charge a fixed fee in place of
or in addition to the investment advisory fee. Most commonly a fixed fee is charged for non-investment
services such as financial planning or multi-family office services. Such fees may range from $1,000 to
$200,000 annually or more depending on factors including the extent of the services requested, and the
level of responsibility and complexity involved.
Fixed Fees for Seminars
Daintree also charges fixed fees to corporate clients to provide financial planning seminars. The fee is
determined based on the number of seminars that will be required, and the resources required to deliver
them.
In the case of both hourly and fixed fee arrangements, the written agreement with each Client will specify
how the fees are to be paid (whether in advance, periodic, or upon completion) and will be specific as to
how any fees paid in advance will be reimbursed.
Since Daintree’s fees are usually assessed during the billing period, part of the fee is payable in advance
and part is payable in arrears. For example, if the fee for the month of March is assessed on March 16, then
half of the fee is in advance and half is in arrears. Upon termination, any fees paid in advance will be
prorated to the date of termination and any excess will be refunded to client.
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Neither Daintree nor its supervised persons accept compensation for the sale of securities or other
investment products, including asset-based sales charges or service fees from the sale of mutual funds.