Fiduciary Alliance LLC

Item 5: Fees and Compensation
Please note, unless a client has received the firm’s disclosure brochure at least 48 hours prior to
signing the investment advisory contract, the investment advisory contract may be terminated
by the client within five (5) business days of signing the contract without incurring any advisory

fees and without penalty. How we are paid depends on the type of advisory service we are
performing. Please review the fee and compensation information below.

Investment Management Services
Our standard advisory fee is based on the market value of the assets under management and
can be up to 2.00%. The annual fees are negotiable and are pro-rated and paid in advance on a
quarterly basis. No increase in the annual fee shall be effective without agreement from the
client by signing a new agreement or amendment to their current advisory agreement. In the
event a third-party investment manager is used, their fee is separate from the fee paid to The
Fiduciary Alliance.

In addition to the 2.00% annual management fee, TFA may also receive up to 25% of the profits
as designated in the agreements as a performance-based fee or Carried Interest, above a
previously determined threshold return. The performance is only calculated at the end of the
holding period and at that time the performance-based fee will be paid before the distributions
to investors. The holding period is defined as the life of the Funds. The Carried Interest, or
performance fee, applies exclusively to accounts involved in specific types of alternative
investments.
Advisory fees are directly debited from client accounts, or the client may choose to pay by
check. Accounts initiated or terminated during a calendar quarter will be charged a pro-rated
fee based on the amount of time remaining in the billing period. An account may be terminated
with written notice. Upon termination of the account, any unearned fee will be refunded to
the client on a prorated basis.

Financial Planning Fixed Fee
The fixed fee will be agreed upon before the start of any work. The fixed fee can range between
$500.00 and $40,000.00. The fee is negotiable. The fee is due at the beginning of process;
however, The Fiduciary Alliance will not bill an amount above $1,200.00 more than 6 months in
advance. This service can be terminated with 30 calendar days written notice. In the event of
early termination, the client will be billed for the hours worked at a rate of $350.00 per hour
and the client will be refunded the difference.
Financial Planning Hourly Fee
For financial plans completed on an hourly basis, the rate is $350.00 per hour. The fee is
negotiable. The fee is due at the beginning of process; however, The Fiduciary Alliance will not
bill an amount above $1,200.00 more than 6 months in advance. This service can be terminated
with 30 calendar days written notice. In the event of early termination, the client will be billed
for the hours worked and the client will be refunded the difference.

Estate Planning Fees
The fees for estate planning will be determined based on the complexity of the planning
services needed. The fees may be negotiable in certain cases, will be agreed to at the start of
the engagement, and are due at the end of the engagement. Clients are not required to use any
third-party products or services that we may recommend, and they can receive similar services
from other professionals at a similar or lower cost. The fee range for estate planning services is
$1,000 - $3,000.

Other Types of Fees and Expenses
Our fees are exclusive of brokerage commissions, transaction fees, and other related costs and
expenses that may be incurred by the client. Clients may incur certain charges imposed by
custodians, brokers, and other third parties such as custodial fees, deferred sales charges, odd-
lot differentials, transfer taxes, wire transfer and electronic fund fees, and other fees and taxes
on brokerage accounts and securities transactions. Mutual fund and exchange traded funds
also charge internal management fees, which are disclosed in a fund’s prospectus. Such
charges, fees and commissions are exclusive of and in addition to our fee, and we shall not
receive any portion of these commissions, fees, and costs.
Item 12 further describes the factors that we consider in selecting or recommending broker-
dealers for a client’s transactions and determining the reasonableness of their compensation
(e.g., commissions).
We do not 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.
We provide an additional service for accounts not directly held in our custody, but where we
do have discretion, and may leverage an Order Management System to implement tax-efficient
asset location and opportunistic rebalancing strategies on behalf of the client. These are
primarily 401(k) accounts, Health Savings Accounts (HSAs) and other assets we do not custody.
We regularly review the available investment options in these accounts, monitor them, and
rebalance and implement our strategies in the same way we do other accounts, though using
different tools as necessary. All clients engaging in Investment Management Services must
either engage in Comprehensive Financial Planning or meet a $150,000 minimum of assets
under management. This fee will be assessed and billed quarterly. Specifically, the exact
amount charged is determined by the daily average over the course of the quarter. The current
exception for this is directly managed held-away accounts, which are determined by the
account value at the end of the quarter. In either case, if the Adviser only manages your assets
for part of a quarter, the charge will be prorated. The advisory fee is a blended fee and is
calculated by assessing the percentage rates using the predefined levels of assets as shown in
...

Item 7: Types of Clients
We provide financial planning and portfolio management services to individuals, high net-worth
individuals and other investment advisers. We do not have a minimum account size
requirement. For an asset-based fee, TFA may contract directly with third party broker-dealers to
provide advisory consulting services to their clients.