Derive Wealth LLC

Item 5 - Fees and Compensation

    Forms of payment are based on the types of services being provided, term of service, etc., and will be stated
    in your engagement agreement with our firm. Our published advisory fees may be discounted and the final
    determination will be made by our firm. We strive to offer fees that are fair and reasonable in light of the
    experience of our firm and the services to be provided to you.

    Financial Planning and Portfolio Management fees can be paid by draft from US-based financial institutions.
    With your prior authorization, payment may also be made by credit card through a qualified, unaffiliated PCI
    compliant3 third-party processor, or withdrawal from your investment account held at your custodian of
    record.

    Payment requests taken from your investment account held at your custodian of record for our advisory fees
    will be preceded by our invoice. We will concurrently send you and the custodian of record a notice
    (“invoice”) each billing period that describes the advisory fees to be deducted from your account at our
    direction. This notice will be delivered prior to the deduction of fees. Fees paid to our firm will be noted in
    your account statement you will receive from your custodian. We encourage you to verify the accuracy of fee
    calculations; the custodian may not verify the accuracy of advisory fee assessments for you or on a consistent
    basis. Our firm does not accept cash, money orders or similar forms of payment for its engagements.

    Types of Fees and Payment Schedule
    Financial Planning & Portfolio Management Services
    All of our financial planning and portfolio management services are assessed fixed fees starting at $350 per
    month and up to $5,000 per month with a one-year minimum initial engagement. Fees are assessed in
    arrears on a monthly or quarterly basis starting the date you establish your first payment. No deposit is
    required. The installment fee will be due within the first 10 days of each payment period. Derive Wealth has
    the ability to waive the one-year minimum initial engagement at its discretion as well as assess fees below the
    stated amount above.

    Additional Client Fees
    Any transactional or service fees (sometimes termed brokerage fees), individual retirement account fees,
    qualified retirement plan fees, account termination fees, or wire transfer fees will be borne by the account
    holder per the separate fee schedule of the custodian of record. We will ensure you receive a copy of our
    custodian’s fee schedule at the beginning of the engagement, and you will be notified of any future changes
    to these fees by the custodian of record and/or third party administrator for certain tax-qualified plans. Fees
    paid by our clients to our firm for our advisory services are separate from any of these fees or other similar
    charges. In addition, advisory fees paid to our firm for its services are separate from any internal fees a client
    may pay involving mutual funds, exchange-traded funds (ETFs) or other similar investments.

    Per annum interest at the current statutory rate based on the state in which the client resides may be
    assessed on fee balances due more than 30 days, and we may refer past due accounts to collections or legal
    counsel for processing. We reserve the right to suspend some or all services once an account is deemed past
    due.

    For an explanation of the term “PCI,” who the PCI Security Standards Council is, as well as its comprehensive standards to enhance
    payment card data security, please go to https://www.pcisecuritystandards.org/security_standards/index.php
    Derive Wealth LLC​                                              ​
    Form ADV Part 2 – 20262801 IND

Additional information about our fees in relationship to our brokerage and operational practices are noted in
Items 10, 12 and 14 of this document.

External Compensation for the Sale of Securities to Clients
Our firm does not charge or receive a commission or a mark-up on securities transactions, nor will the firm or
an associate be paid a commission on the purchase of a securities holding that is recommended to a client.
We offer high level guidance on insurance and annuity contracts but do not earn a commission or renewal
payment. We do not receive “trailer” or SEC Rule 12b-1 fees from an investment company that may be
recommended to a client. Fees charged by such issuers are detailed in prospectuses or product descriptions
and interested investors are always encouraged to read these documents before investing. Our firm and its
associates receive none of these described or similar fees or charges.

You retain the option to purchase recommended or similar investments through your own selected service
provider. Note that some institutional investment managers are unavailable to individual investors or at the
same fee rate.

Termination of Services
Either party may terminate the agreement at any time by communicating the intent to terminate in writing. If
you verbally notify our firm of the termination and, if in two business days following this notification we have
not received your notice in writing, we will make a written notice of the termination in our records and send
you our own termination notice as a substitute. Our firm will not be responsible for investment allocation,
advice or transactional services (except for limited closing transactions) upon receipt of a termination notice.
It will also be necessary that we inform the custodian of record and/or third-party investment manager that
the relationship between parties has been terminated.

If a client did not receive our Form ADV Part 2 firm brochure at least 48 hours prior to entering into the firm’s
agreement, then that client will have the right to terminate the engagement without fee or penalty within five
...

Item 7 - Types of Clients
Our current client-base consists of individuals, families, high net worth, and small businesses. We do not
require minimum income, minimum asset levels or other similar preconditions. We will inform our clients in
advance about any minimum account requirements involving sub-advisors or third-party investment
managers. Derive Wealth reserves the right to decline services to any prospective client for any
nondiscriminatory reason.