Eagle Rock Investment Company LLC

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 a wealth
management agreement with the Advisor.

A. Fees for Advisory Services
Wealth Management Services
Wealth management fees are paid quarterly, at the end of each calendar quarter, pursuant to the terms of the wealth
management agreement. Wealth management fees are based on the market value of assets under management at
the end of the calendar quarter.

                                            Eagle Rock Investment Company, LLC
                                      1201 Peachtree Street NE, Ste. 200, Atlanta, GA 30361
                                          Phone: (404) 480-8578 | Fax: (404) 445-4452
                                                  https://eaglerockinvest.com/

Wealth management fees are based on the following schedule:

                  Assets Under Management ($)            Annual Rate (%)
                  Up to $5,000,000*                            0.75%
                  Over $5,000,000                            negotiable
                 * Minimum relationship size is $1,000,000.

The wealth management 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
Eagle Rock will be independently valued by the Custodian. Eagle Rock will conduct periodic reviews of the
Custodian’s valuations to ensure accurate billing. Certain clients may be charged a legacy fee, which may differ from
the fee schedule above.

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 advisory
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.

The Advisor’s fee is exclusive of, and in addition to any applicable securities transaction and custody fees,
Independent Manager fees, platform fees, and/or 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.

Retirement Plan Advisory Services
Fees for retirement plan advisory services are charged an annual asset-based fee of up to 0.75% billed quarterly in
advance, pursuant to the terms of the agreement. Retirement plan fees are based on the market value of assets
under management at the end of the prior calendar quarter. Fees range are generally based on the following
schedule:

                 Assets Under Management ($)                Annual Rate (%)
                 Up to $5,000,000*                          0.75%
                 Over $5,000,000                            negotiable

B. Fee Billing
Wealth Management Services
Wealth management fees are calculated by the Advisor or its delegate and deducted from the Client’s account[s] at
the Custodian. The Advisor shall send an invoice to the Custodian indicating the amount of the fees to be deducted
from the Client’s account[s] at the following the end of each quarter. The amount due is calculated by applying the
quarterly rate (annual rate divided by 4) to the total assets under management with Eagle Rock at the end of each
quarter. Clients will be provided with a statement, at least quarterly, from the Custodian reflecting deduction of the
wealth management fee. Clients are urged to also review and compare the statement provided by the Advisor to the
brokerage statement from the Custodian, as the Custodian does not perform a verification of fees. Clients provide
written authorization permitting advisory fees to be deducted by Eagle Rock to be paid directly from their account[s]
held by the Custodian as part of the wealth management agreement and separate account forms provided by the
Custodian.

Use of Independent Managers – For Client accounts implemented through an Independent Manager, the Client’s
overall fees will include Eagle Rock’s investment advisory fee (as noted above) plus investment management fees

                                           Eagle Rock Investment Company, LLC
                                     1201 Peachtree Street NE, Ste. 200, Atlanta, GA 30361
                                         Phone: (404) 480-8578 | Fax: (404) 445-4452
                                                 https://eaglerockinvest.com/

and/or platform fees charged by the Independent Manager. The Advisor will assume the responsibility for
calculating the Client’s fees and deducting all fees from the Client’s account[s].

Retirement Plan Advisory Services
Retirement plan advisory fees may be directly invoiced to the Plan Sponsor or deducted from the assets of the Plan,
depending on the terms of the retirement plan advisory agreement.

C. Other Fees and Expenses
Clients may incur certain fees or charges imposed by third parties, other than Eagle Rock, in connection with
investments made on behalf of the Client’s account[s]. The Client is responsible for all custody and securities
...

Item 7 – Types of Clients

Eagle Rock offers investment advisory services to individuals, high net worth individuals, families, trusts, estates,
foundations, businesses, and other registered investment advisors. Eagle Rock requires a minimum relationship
size of $1,000,000, which may be reduced at its sole discretion.