Equitycompass Investment Management LLC

Item 5 – Fees and Compensation
EquityCompass has standard fee schedules based on the type of account and/or services provided
(separate account or model delivery), whether the client is serviced directly by EquityCompass or through
an intermediary, and the particular investment strategy involved. Typically, annual management fees for
affiliated platforms are calculated and collected quarterly in advance as a percentage of the net market
values of assets based on market close prices as of the last business day of the preceding quarter. Annual
management fees for non-affiliated platforms are typically calculated and collected quarterly in arrears as
a percentage of the net market values of assets based on the market close prices as of the last business
day of the preceding quarter.
EquityCompass charges an annual fee for investment services as a percentage of assets under
management that generally ranges from 15 to 35 basis points annually.

EquityCompass’s current maximum fee schedule is as follows:
    • 35 basis points annually for Equity, Alternative, Core Retirement and Core Investment
        strategies
    • 30 basis points annually for Core Balanced and Core Balanced – Tax Advantaged strategies
    • 15 basis points annually for Fixed Income strategies

Non-Discretionary Investment Management Services
Fees for EquityCompass’ non-discretionary services are included within each agreement between
EquityCompass and the Sponsoring Firm. For complete information on the Sponsoring Firm’s fees, please
refer to that firm’s Form ADV Part 2A.
In general, a Sponsoring Firm may terminate our agreement by providing EquityCompass with written
notice. Upon termination, EquityCompass would be entitled to receive any fees that have been earned
but not yet paid.

Discretionary Investment Management Services
Fees for EquityCompass’ discretionary services, including wrap fee programs of Sponsoring Firms, vary
based on EquityCompass’ agreement with the Sponsor. For complete information on the Sponsoring
Firm’s fees, please refer to that firm’s Form ADV Part 2A.

Fees Negotiable
From time to time, EquityCompass may negotiate fees with clients depending on, but not limited to,
account size, customization, multi-product relationships, date of establishment of the advisory

relationship, or other circumstances or factors that EquityCompass may deem relevant. In addition, a
different fee schedule may apply if EquityCompass manages an account on a sub-advisory or wrap fee
platform, depending upon the Sponsoring Firm’s program.
Employees and former employees of EquityCompass and affiliates, as well as their relatives, may receive
a discount from the preceding schedules or, in some cases, may not pay an investment management fee
at all.

Fee Billing
Typically, for discretionary and non-discretionary accounts, the EquityCompass fee is included in the
overall fee that the Sponsor calculates and invoices the client on a quarterly basis. For dual-contract
accounts, where the client has executed separate agreements with both EquityCompass and the Sponsor,
EquityCompass calculates its fees and the Sponsor facilitates the collection from the client. Typically,
the standard fee schedules are based on a percentage of the net market values of assets advised using the
applicable strategy based on market close prices as of the last business day of the preceding quarter.
Depending upon the method used by the Wrap Sponsor or Dual Contract platform, fees may be based on
average daily net market values of assets during the billing period. Clients receive account statements
directly from their custodian and should carefully review the statements for accuracy.
If an account that pays in advance is closed during a billing period, a pro-rata fee is calculated for the time
that the account was in existence during the quarter and any unused portion of the advance payment will
be returned to the client. Notwithstanding the foregoing, wrap fee accounts may be subject to different
schedules or pro-ration or reimbursement policies based upon the Sponsoring Firm’s policies.

Item 7 – Types of Clients
EquityCompass generally provides its Services to individuals, trusts, and financial institutions including
Sponsor Firms. In the case of non-discretionary services, the Sponsor Firm determines the minimum
investment amount in the products or portfolios offered.
EquityCompass’ minimum account size for discretionary investment management services varies by
strategy as shown below:

                   Strategy                                                  Minimum
                   Core Retirement Portfolio                        $         300,000
                   Core Investment Portfolio                        $         200,000
                   Core Investment Portfolio – Tax Advantaged       $         200,000
                   Core Balanced Portfolio                          $         150,000
                   Core Balanced Portfolio – Tax Advantaged         $         150,000
                   High Dividend Portfolio                          $          50,000
                   Global Leaders Portfolio                         $          50,000
                   Quality Dividend Portfolio                       $          35,000

                  Select Quality Growth & Income Portfolio       $         35,000
                  Core Fixed Income Portfolio                    $         10,000
                  Municipal Income Enhanced Portfolio            $         10,000
                  Equity Risk Management Strategy                $         10,000

Accounts below the established minimum may be accepted on a case-by-case basis.