Epic Advisory Services Corp

Item 5 – Fees and Compensation
The specific manner in which fees are charged by Adviser is established in each client’s written agreement
with Adviser. All fees are negotiable and may vary from the fee schedules described below. Generally,
and pursuant to contract, fees for the management of Accounts will be based upon a percentage of the
total assets in the account (including margined assets). Fees are ultimately paid to Epic Advisory (unless
indicated otherwise specifically) and are automatically deducted on a periodic basis pursuant to the terms
of the Advisory Agreement following clients’ written authorization provided to their respective custodian.
Custodian will send client an account statement showing the deduction of advisory fee.

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Epic Advisory can reduce or waive advisory fee in full or partially for the Clients’ accounts in its sole
discretion. A client may pay more or less fees than similar clients depending on the particular
circumstances of the client, size, additional or differing levels of services or as otherwise agreed with
specific clients. Clients that negotiate fees may end up paying a higher fee than that set forth above as a
result of fluctuations in the client’s assets under management and account performance.
Clients may terminate their contracts without penalty, for full refund, within 5 business days of signing
the advisory contract.

Epic Advisory’s fees are calculated and charged to Clients on the following basis (all fees percentages are
annualized):

   ➢ Non-Discretionary and Discretionary Advisory Services

Clients pay quarterly advisory fees charged in advance or in arrears, depending on the custodian in which
clients’ assets are held. Clients are generally required to authorize Adviser to directly debit management
fees from their Accounts.

When the fee is charged in advance, the fee is calculated using the average monthly ending settlement of
the last calendar day of the preceding calendar quarter and payable at the beginning of each quarter. For
new accounts, initial advisory fee is based on the initial balance of Clients’ account and prorated based on
the number of billing days in the initial quarter. The initial fee will be paid in arrears at the end of the
quarter. Subsequent quarterly fees will be calculated following the calculation and timing as noted
previously.

For accounts that are terminating management, Epic Advisory will credit client back any pre-paid fees for
the portion of the quarter remaining after management services have been terminated. The fee refunded
will be the balance of the fees collected in advance minus the daily rate* times the number of days in the
quarter up to and including the day of termination. (*The daily rate is calculated by dividing the quarterly
AUM fee by the number of days in the termination quarter).

When advisory fee is charged in arrears, calculation is based on the average monthly ending settlement
balance of current quarter and payable at the end of each quarter. The management fee will be pro-rated
if the client opens or closes their accounts at any time other than the beginning or end of the calendar
month.

In instances where a sub-advisor has been appointed to manage a discretionary account, advisory fees will
be billed/collected pursuant to the below scheduled. A portion of fees paid will be shared with sub-advisor
pursuant to the terms of the Sub-Advisory Agreement.

                                    Non-Discretionary Accounts
                                       Discretionary Accounts
                              Account Value                   Annual Fee
                             Over $50,000,000                    .75%
                        $25,000,000 to $49,999,999               .85%
                        $10,000,000 to $24,999,999              1.00%
                             Up to $9,999,999                   1.50%

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Compensation for the Sale of Securities

Some of Adviser’s supervised or associated persons accept compensation for the sale of securities or other
investment products, including asset-based sales charges or service fees from the sale of mutual funds, in
their individual capacities as registered representatives of Adviser’s affiliated broker-dealer Epic Capital
Securities. Supervised or associated persons of Adviser not registered or associated with Epic Capital
Securities do not receive such compensation in connection with accounts managed or advised by Adviser.

In addition, certain products recommended by Adviser, including notes, ETPs, structured certificates,
tracker certificates, notes, and similar products, may be offered, distributed, placed, or executed through
Epic Capital Securities or pursuant to a distribution or sub-distribution arrangement. In such cases, Epic
Advisory and/or Epic Capital Securities may receive compensation or other economic benefits in
connection with client investments. This compensation is separate from, and in addition to, the advisory
fee paid by the client to Epic Advisory and creates a financial incentive to recommend such products over
other available investments, including lower-cost or less conflicted alternatives.

Rebates and/or Trailer Fees
A number of Epic Advisory’s IARs are also dually associated as registered representatives with our
affiliate broker-dealer Epic Capital Securities Corp. and in this capacity, they receive additional
compensation related to advisory assets in the form of referrals fees and rebates/trailer (commonly
referred to as 12b-1 fees), from mutual funds companies in which the IARs invest your money. These
trailer fees are received by Epic Capital Securities Corp. and shared in varying portions with IARs of Epic
...

Item 7 - Types of Clients

Epic Advisory provides asset and/or portfolio management services to individuals, high net worth
individuals, corporations and institutions or other entities. The minimum dollar value for establishing an
Account is generally $50,000. Initial investments of a lesser amount may be accepted at Adviser’s
discretion.