FIEN Capital Management LLC

Item 5 – Fees and Compensation

As compensation for services, the firm charges an annual fee, pro-rated and payable
quarterly in advance, based on a percentage of the client’s assets under management.
Subject to individual negotiations, the basic fee schedule is as follows: 1% on the first

$500,000.00 and .75% on amounts in excess of $500,000.00. Alternately, an hourly rate,
fixed charge or annual fee may be charged quarterly in advance or arrears. The fee for each
client may be negotiated individually. Depending on the option selected by the client, fees
are either payable within 30 days of invoice or deducted directly from the client’s account.
Advisory services may be terminated at any time upon not less than 30 days written notice
by either party. If fees are prepaid and there is an unearned amount at the time of
termination, the client will receive a refund on a prorated basis.

Fien Capital Management LLC’s fees are exclusive of brokerage commissions, transaction
fees, and other related costs and expenses which will be incurred by the client. Clients may
incur certain charges imposed by custodians and brokers such as custodial fees, deferred
sales charges, transfer taxes, wire transfer and electronic fund fees, and other fees and
taxes on brokerage accounts and securities transactions. Mutual funds 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 Fien Capital
Management LLC’s fee, and Fien Capital Management, LLC does not receive any portion of
these commissions, fees, and costs.

Item 12 further describes the factors that Fien Capital Management, LLC considers in
selecting or recommending broker-dealers for client transactions and determining the
reasonableness of their compensation (e.g., commissions).

Item 7 – Types of Clients

Fien Capital Management, LLC provides portfolio management services to individuals, high
net worth individuals, retirement plans, charitable institutions, foundations, endowments,
trusts, estates and corporations.