First Source Investment Partners LLC

ITEM 5 - FEES AND COMPENSATION

INVESTMENT MANAGEMENT FEES AND COMPENSATION
Tier One charges a fee as compensation for providing Investment Management services on your
account. These services include advisory, retirement plans and other consulting and planning
services, trade entry, investment supervision, and other account-maintenance activities. Our
recommended custodian charges transaction costs, custodial fees, redemption fees, retirement
plans, and administrative fees or commissions. See Additional Fees and Expenses below for
additional details.
The fees for portfolio management are based on an annual percentage of assets under
management and are applied to the account asset value on a pro-rata basis. Advisory fees are
billed monthly in arrears and calculated based on the month-end balance of the account(s). The
initial advisory fee is prorated for the number of days that the Client’s account(s) is under the
Adviser's management and is billed based on the value of the account(s) when the account(s) has
been funded.
Our maximum annual advisory fee for accounts paying a percentage of assets under management
is 2.50%. The specific advisory fees are set forth in your Investment Advisory Agreement. Fees
may vary based on the size of the account, complexity of the portfolio, extent of activity in the
account, or other reasons agreed upon by us and you as the client. The market value will be
determined as reported by the Custodian. Fees are assessed on all assets under management.
Cash and money market balances will be included in billing. We impose a minimum account value
of $100,000 to initiate our Firm’s advisory and money management services. This minimum is
negotiable at our discretion. In certain circumstances, our fees and the timing of the fee payments

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may be negotiated. Our employees and their family-related accounts are charged a reduced fee
for our services.
Unless otherwise instructed by the client, in certain cases, we will aggregate asset amounts in
accounts from your same household together to determine the advisory fee for all your accounts.
For example, if we manage accounts from the individual, our Firm will include joint accounts for
a spouse, minor children and/or Trust accounts. This consolidation practice is designed to allow
you the benefit of an increased asset total, which could cause your account(s) to be assessed a
lower advisory fee.
The independent qualified custodian holding your funds and securities will debit your account
directly for the advisory fee and pay that fee to us. Tier One will concurrently send an invoice to
the Client on a monthly basis itemizing the fee, the formula used to calculate the fee, the amount
of assets under management the fee is based on, and the time period covered by the fee. By
Signing the Investment Advisory Agreement, you provide written authorization permitting the
fees to be paid directly from your account held by the qualified custodian. Further, the qualified
custodian agrees to deliver an account statement monthly directly to you indicating all the
amounts deducted from the account, including our advisory fees. At our discretion, our Firm will
allow advisory fees to be paid by check as indicated in the Investment Advisory Agreement. You
are encouraged to review your account statements for accuracy.
The client may terminate the Investment Advisory Agreement within five (5) business days of
signing the Agreement without penalty or incurring any advisory fees. After five (5) business days,
either party giving written notice to the other may cancel the Investment Advisory Agreement at
any time for any reason. Tier One or you may terminate the management agreement immediately
upon written notice to the other party. The management fee will be pro-rated to the date of
termination for the quarter in which the cancellation notice was given and refunded to your
account. Upon termination, you are responsible for monitoring the securities in your account,
and we will have no further obligation to act or advise with respect to those assets. In the event
of client’s death or disability, Tier One will continue management of the account until we are
notified of client’s death or disability and given alternative instructions by an authorized party.

FINANCIAL PLANNING FEES
Our Firm offers financial planning services for a separate fee. We will negotiate the planning fees
with you or include financial planning services within your investment management fees. Fees
may vary based on the extent and complexity of your individual or family circumstances and the
amount of your assets under our management. Our fee will be agreed upon in advance of services
being performed. The fee will be determined based on factors including the complexity of your
financial situation, agreed-upon deliverables, and whether you intend to implement any
recommendations through Tier One.
Your billing method is agreed to in advance of performing services and is agreed to and
acknowledged in the Financial Planning Agreement executed by you and our Firm. The Financial
Planning Fee is collected upon signing the Financial Planning agreement. Fees are paid via check

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to Tier One or debit directly from the custodial account. If debited from the account, Tier One will
concurrently send an invoice to the Client itemizing the fee, the formula used to calculate the fee,
and the time period covered. Financial Planning fees are fixed fees and range from $1,000 to
$7,500. The specific fee for your financial plan will be discussed with you and specified in your
planning agreement with Tier One.
Typically, we complete a plan within a month and will present it to you within 6 months of the
contract date if you have provided us with all the information needed to prepare the financial
plan.
The Financial Planning Agreement terminates upon delivery of the plan. The client may terminate
...

ITEM 7 - TYPES OF CLIENTS

Our Firm works with the following types of clients: individuals, high net-worth individuals,
charitable organizations, foundations, employer-sponsored retirement plans, trusts, and estates.
We provide investment advice to individuals, high-net-worth individuals, foundations, retirement
plans, charitable organizations, estates, and trusts. The minimum initial account value for opening
an account with our firm is $100,000. We will aggregate household accounts to reach the
minimum. We reserve the right to make exceptions, at our discretion, on a case-by-case basis.