Diccianni Financial Group Inc

Item 5 Fees and Compensation
Wealth Management Services
Our fee for Wealth Management services is based on a percentage of your assets we manage and is
set forth in the following tiered fee schedule:

                                     Annual Tiered Fee Schedule*

           Assets Under Management**                                      Annual Fee
              $500,000 - $1,000,000                                         1.15%

              $1,000,001 - $2,000,000                                        1.05%

              $2,000,001 - $3,000,000                                        0.95%

              $3,000,001 - $5,000,000                                        0.90%

             $5,000,000 - $10,000,000                                        0.80%

                Above $10,000,000                                            0.75%

*Previous fee schedules may be in effect that differ from the above. Legacy clients who have entered
in agreements with previous fee schedules are grandfathered in and not subject to the fee schedule
above.
** Our minimum account size is $500,000, however we may waive this minimum at our discretion. We
may impose a minimum fee of $2,000 per annum.

For example, if your portfolio value is $2,500,000, your fee will be calcuated as follows:

    • The first $1,000,000 will be charged an annual fee of 1.15%
    • The next $1,000,000 will be charged an annual fee of 1.05%
    • The next $500,000 will be charged an annual fee of 0.95%

Our annual Wealth Management fee is billed and payable quarterly in arrears based on the value of
your account on the last day of the quarter. Your annual fee is based on your level of assets and is
calculated on an incremental basis for each asset tier. Legacy clients may receive a lower fee
schedule than the above fee schedule. Similar services may be available for lower fees from other
investment advisers.

For purposes of determining your level of assets under management, we combine assets managed in
our capacity as representatives of broker-dealer Leigh Baldwin, with assets managed by Diccianni
Financial Group. DFG never charges a fee for assets managed in our capacity as representatives of
the broker-dealer. These assets are identified on your DFG quarterly billing invoice as "Non-billable."
The practice of combining non-billable assets with assets managed by DFG results in lower annual
tiered fees for clients.

If the Wealth Management agreement is executed at any time other than the first day of a calendar
quarter, our fees will apply on a pro rata basis, which means that the advisory fee is payable in
proportion to the number of days in the quarter for which you are a client. Our advisory fee is
negotiable, depending on individual client circumstances.

At our discretion, we may combine the account values of family members living in the same household
to determine the applicable advisory fee. For example, we may combine account values for you and
your minor children, joint accounts with your spouse, and other types of related accounts. Combining
account values may increase the asset total, which may result in your paying a reduced advisory fee
based on the available breakpoints in our fee schedule stated above.

We will deduct our fee directly from your account through the qualified custodian holding your funds
and securities. We will deduct our advisory fee only when the following requirements are met:

    • You provide our firm with written authorization permitting the fees to be paid directly from your
      account held by the qualified custodian.
    • We send you an invoice showing the amount of the fee, the value of the assets on which the
      fee is based, and the specific manner in which the fee was calculated.
    • The qualified custodian agrees to send you a statement, at least quarterly, indicating all
      amounts dispersed from your account including the amount of the advisory fee paid directly to
      our firm.

You may terminate the portfolio management agreement upon written notice to our firm. You will incur
a pro rata charge for services rendered prior to the termination of the portfolio management
agreement, which means you will incur advisory fees only in proportion to the number of days in the
quarter for which you are a client.

We encourage you to reconcile our invoices with the statement(s) you receive from the qualified
custodian. If you find any inconsistent information between our invoice and the statement(s) you
receive from the qualified custodian please call our main office number located on the cover page of
this brochure.

Additional Fees and Expenses
As part of our investment advisory services to you, we may invest, or recommend that you invest, in
mutual funds and exchange traded funds. The fees that you pay to our firm for investment advisory
services are separate and distinct from the fees and expenses charged by mutual funds or exchange
traded funds (described in each fund's prospectus) to their shareholders. These fees will generally
include a management fee and other fund expenses. You will also incur transaction charges and/or
brokerage fees when purchasing or selling securities. These charges and fees are typically imposed by
the broker-dealer or custodian through whom your account transactions are executed. We do not
share in any portion of the brokerage fees/transaction charges imposed by the broker-dealer or
custodian. To fully understand the total cost you will incur, you should review all the fees charged by
mutual funds, exchange traded funds, our firm, and others. For information on our brokerage practices,
please refer to the Brokerage Practices section of this brochure.

Compensation for the Sale of Securities or Other Investment Products
Persons providing investment advice on behalf of our firm are registered representatives with Leigh
Baldwin & Company, (hereafter "Leigh Baldwin") a securities broker-dealer, and a member of the
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Item 7 Types of Clients
We offer investment advisory services to individuals, high net-worth individuals, and pension plans.

In general, we require a minimum of $500,000 to open and maintain an advisory account. At our
discretion, we may waive the minimum account size.