Item 5 – Fees and Compensation
The following paragraphs detail the fee structure and compensation methodology for services provided by the
Advisor. Each Client engaging the Advisor for services described herein shall be required to enter into one or more
written agreements with the Advisor.
A. Fees for Advisory Services
Wealth Management and Investment Management Services
Advisory fees are paid quarterly, in advance of, or at the end of, each calendar quarter, pursuant to the terms of the
wealth management agreement. Advisory fees are based on the total market value as of the last day of the respective
quarter. Advisory fees range up to 2.00% annually based on several factors, including: the complexity of the
Dakota Wealth, LLC
11376 North Jog Road, Suite 101
Palm Beach Gardens, FL 33418
Phone: (561) 774-8101
www.dakotawm.com
services to be provided, the level of assets to be managed, and the overall relationship with the Advisor.
Relationships with multiple objectives, specific reporting requirements, portfolio restrictions and other complexities
may be charged a higher fee.
Strategy Fee – Accounts managed within our Dynamic Growth strategy will be assessed an additional 0.50% advisory
fee annually based on the level of assets in the account[s].
Held Away Account Fees – Any accounts held away from the custodian that are managed through Pontera Inc. will be
assessed a fee equal to 0.75% annually based on the level of assets under management on the platform.
Accommodation Account Fee – Any accommodation accounts managed via Envestnet Tamarac will be assessed a
fee of $135 annually.
The advisory fee in the first quarter of service is prorated from the inception date of the account[s] to the end of the
first quarter. Fees may be negotiable at the sole discretion of the Advisor. The Client’s fees will take into consideration
the aggregate assets under management with the Advisor. All securities held in accounts managed by Dakota Wealth
Management will be independently valued by the Custodian. The Advisor will conduct periodic reviews of the
Custodian’s valuation to ensure accurate billing.
Clients may make additions to and withdrawals from their account[s] at any time. However, the Advisor will perform
reconciliations on a quarterly basis to capture if, in any given day, assets are deposited into or withdrawn from an
Account after the start of the quarterly billing period. An adjustment will be made in the form of a credit or debit the
following billing period to reflect the interim change in portfolio value from the date of the deposit/withdrawal until the
end of the quarter.
The Advisor’s fee is exclusive of, and in addition to any applicable securities transaction and custody fees, and other
related costs and expenses described in Item 5.C below, which may be incurred by the Client. However, the Advisor
shall not receive any portion of these commissions, fees, and costs.
Use of Independent Managers – As noted in Item 4, the Advisor will implement all or a portion of a Client’s investment
portfolio utilizing one or more Independent Managers. To eliminate any conflict of interest, the Advisor does not earn
any compensation from an Independent Manager. The Advisor will only earn its investment management fee as
described above. Independent Managers typically do not offer any fee discounts but may have a breakpoint schedule
which will reduce the fee with an increased level of assets placed under management with an Independent Manager.
The terms of such fee arrangements are included in the Independent Manager’s disclosure brochure and applicable
contract[s] with the Independent Manager. The total blended fee, including the Advisor’s fee and the Independent
Manager’s fee, will not exceed 2.00% annually.
Financial Planning Services
Dakota Wealth Management offers stand-alone financial planning services for a fixed fee, typically ranging from
$5,000 to $25,000 per engagement.
Investment Consulting Services
For investment consulting engagements that fall outside the Advisor’s investment management services, the
Advisor will charge a fixed fee ranging from $1,000 to $15,000, which may be negotiable depending on the nature
and complexity of each Client’s circumstances. An estimate for total costs will be determined prior to engaging for
these services. If the Client engages the Advisor for additional wealth management services, the Advisor may offset
future fees against the fees paid for consulting services.
Retirement Plan Advisory Services
Fees for retirement plan advisory services are charged an annual asset-based fee ranging from 0.25% to 1.00%,
billed quarterly in advance based on the market value of assets under management at the end of the prior calendar
quarter. Fees may be negotiable depending on the size and complexity of the Plan. Fees in the first quarter of the
engagement are prorated from the effective date of the Agreement to the end of the first quarter.
Dakota Wealth, LLC
11376 North Jog Road, Suite 101
Palm Beach Gardens, FL 33418
Phone: (561) 774-8101
www.dakotawm.com
Private Fund Advisor Services
The Advisor does not charge an investment advisory fee directly to the Private Funds; however, the Advisor or an
affiliate does receive fund management fees as the general partner to the Private Fund. Clients of Dakota Wealth
Management that are invested in the Private Funds will be charged the asset-based investment management fee
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