Daly Investment Management LLC

Item 5: Fees and Compensation
Method of Compensation and Fee Schedule
 ASSET MANAGEMENT
 DIM offers discretionary direct asset management services to advisory Clients. DIM charges
 an annual investment advisory fee based on the total assets under management as follows:
        Assets Under Management               Annual Fee                 Quarterly Fee
              Up to $500,000                    1.00%                      .2500%
          $500,001 to $1,000,000                0.85%                      .2125%
         $1,000,001 to $3,000,000               0.75%                      .1875%
         $3,000,001 to $5,000,000               0.65%                      .1625%
        $5,000,001 to $10,000,000               0.50%                      .1250%
             Over $10,000,000                   0.35%                      .0875%
   This is a flat rate/breakpoint fee schedule, the entire portfolio is charged the same asset
   management fee. For example, a Client with $750,000 under management would pay
   $6,375 on an annual basis. $750,000 x 0.85% = $6,375.
 The annual fee is negotiable based upon certain criteria (e.g., historical relationship, type of
 assets, anticipated future earning capacity, anticipated future additional assets, dollar
 amounts of assets to be managed, related accounts, account composition, negotiations with

 Clients, etc.). DIM considers cash to be an asset class, and as such is included in fee
 calculations. Also, to be noted, at times fees will exceed the money market yield. Fees are
 billed quarterly in arrears based on the amount of assets managed as of the close of
 business on the last business day of the previous quarter.
 Lower fees for comparable services may be available from other sources. Clients may
 terminate their account within five (5) business days of signing the Investment Advisory
 Agreement with no obligation and without penalty. After the initial five (5) business days,
 the agreement may be terminated by DIM with thirty (30) days written notice to Client and
 by the Client at any time with written notice to DIM. If cash and/or securities are deposited
 into or withdrawn from an existing account mid billing period a prorated fee will be
 charged for that portion of the account. For accounts opened or closed mid-billing period,
 fees will be prorated based on the days services are provided during the given period. All
 unpaid earned fees will be due to DIM. Client shall be given thirty (30) days prior written
 notice of any increase in fees. Any increase in fees will be acknowledged in writing by both
 parties before any increase in said fees occurs.
 FINANCIAL PLANNING AND CONSULTING
 DIM charges either an hourly fee for Consulting services and a fixed fee for Financial Plans
 based on complexity and unique Client needs. Prior to the planning process the Client will
 be provided an estimated plan fee.
        HOURLY CONSULTING FEES
        Financial Planning Services are offered based on an hourly fee of $300 per hour.
        FIXED FINANCAIL PLANNING FEES
        Financial Planning Services are offered based on a flat fee between $750 and $3,000.
 Fees for financial plans are due upon delivery of the completed plan.
 Services are completed and delivered inside of thirty (30) days contingent upon timely
 delivery of all required documentation. Client may cancel within five (5) business days of
 signing Agreement with no obligation and without penalty. If the Client cancels after five
 (5) business days, any unearned fees will be refunded to the Client, or any unpaid earned
 fees will be due to DIM. DIM reserves the right to waive the fee should the Client implement
 the plan through DIM.
Client Payment of Fees
 Fees for asset management services are:
    •   Deducted from a designated Client account. The Client must consent in advance to
        direct debiting of their investment account.
 Fees for financial plans will be billed:
    •   Check – to be remitted by Client to DIM
    •   Electronic Payment via ACH, Debit Card, or Credit Card (fees will be paid via a third
        party payment processor in which the client will securely input payment
        information and pay the advisory fee through a secure portal. DIM will not have
        continuous access to the Client’s banking information.)
Additional Client Fees Charged
 Custodians may charge transaction fees and other related costs on the purchases or sales of
 mutual funds, equities, bonds, options and exchange-traded funds. Mutual funds, money
 market funds and exchange-traded funds also charge internal management fees, which are

 disclosed in the fund’s prospectus. DIM does not receive any compensation from these fees.
 All of these fees are in addition to the management fee you pay to DIM. For more details on
 the brokerage practices, see Item 12 of this brochure.
Prepayment of Client Fees
 DIM does not require any prepayment of fees.
External Compensation for the Sale of Securities to Clients
 Investment Advisor Representatives of DIM receive external compensation from sales of
 investment related products such as insurance as licensed insurance agents. This
 represents a conflict of interest because it gives an incentive to recommend products based
 on the commission received. This conflict is mitigated by disclosures, procedures, and
 DIM’s fiduciary obligation to place the best interest of the Client first and Clients are not
 required to purchase any products or services. Clients have the option to purchase these
 products through another insurance agent of their choosing.

Item 7: Types of Clients
Description
 DIM generally provides investment advice to individuals, high net worth individuals, trusts,
 estates, or charitable organizations, corporations or business entities. Client relationships
 vary in scope and length of service.
Account Minimums
 DIM does not require a minimum to open or maintain an account.