Dipaolo Financial Group Inc

Item 5: Fees and Compensation

A. Fee Schedule

Portfolio Management Fees

Total Assets Under Management                                                               Annual Fee

$ 0 - $250,000.00                                                                           1.10 %

$250,001.00 - $500,000                                                                      1.05%

$500,001- $1,ooo,ooo                                                                        1.00 %

Over $1,000,000                                                                             0.90%

Under certain conditions these fees are negotiable and the final fee schedule will be memorialized in the
client’s advisory agreement. Clients may terminate the agreement without penalty for a full refund of DFGI's
fees within five business days of signing the Investment Advisory Contract. Thereafter, clients may terminate
the Investment Advisory Contract generally with 10 days' written notice.

On-going Financial Planning Fees

Fixed Fees

The negotiated fixed rate for on-going financial planning services is between $1,200 and $5,000. Fees are paid
monthly arrears.

Clients may terminate the agreement without penalty, for full refund of DFGI’s fees, within five business days
of signing the Financial Planning Agreement. Thereafter, clients may terminate the Financial Planning
Agreement generally upon written notice. In the event of early termination, DFGI will be due any earned
unpaid fees.

Informational Workshop Fees

DFGI does not charge for informational workshops.

Estate Planning

The fees associated with estate planning are separate and vary upon the services requested by the client. These
fees may be in addition to your ongoing financial planning or advisory fees or offered as a one-time service to a
non-financial planning or non- advisory client. The flat fee will be disclosed within the Third-Party Services
Agreement agreed upon and signed by DFGI and the Client. The fee will be paid by the client to DFGI, and
DFGI will pay the third party directly.

B. Payment of Fees

Payment of Portfolio Management Fees

Asset-based portfolio management fees are withdrawn directly from the client's accounts with client's written
authorization on a quarterly basis. Fees are paid in advance.

Payment of On-going Financial Planning and One-time Services Fees

Fixed Fees

On-going financial planning fees or other one-time fees may be paid via check. Fees are paid monthly in
arrears.

C. Client Responsibility For Third-Party Fees

Clients are responsible for the payment of other third-party fees (i.e. custodian fees, brokerage fees, mutual
fund fees, transaction fees, etc.). Those fees are separate and distinct from the fees and expenses charged by
DFGI. Please see Item 12 of this brochure regarding broker-dealer/custodian.

D. Prepayment of Fees

DFGI collects fees in advance. Refunds for fees paid in advance but not yet earned will be refunded on a
prorated basis and returned within fourteen days to the client via check, or return deposit back into the client’s
account.

For all asset-based fees paid in advance, the fee refunded will be equal to the balance of the fees collected in
advance minus the daily rate* times the number of days elapsed in the billing period up to and including the
day of termination. (*The daily rate is calculated by dividing the annual asset-based fee rate by 365.

E. Outside Compensation For the Sale of Securities to Clients

Neither DFGI nor its supervised persons accept any compensation for the sale of investment products,
including asset-based sales charges or service fees from the sale of mutual funds.

Item 7: Types of Clients
DFGI generally provides advisory services to the following types of clients:

    ❖    Individuals
    ❖    High-Net-Worth Individuals Pension and Profit Sharing Plans

There is no account minimum for any of DFGI’s services.