Fisher & Wiens Wealth Management LLC

Item 5: Fees & Compensation

    How We Are Compensated for Our Advisory Services

    Comprehensive Portfolio Management:

    The maximum annual fee to be charged to the client’s account(s) will not exceed 2.50%. The fee to be
    assessed to each account will be detailed in the client’s signed advisory agreement, LPL Account
    Application or LPL Tiered Fee Authorization form executed by the Client. Fees are billed on a pro-
    rata basis quarterly in advance based on the value of the account(s) on the last day of the previous
    quarter. Fees are negotiable and will be deducted from the account(s). Please note that fees will be
    adjusted for deposits and withdrawals made during the quarter. If accounts are opened during the
    quarter, the pro-rata advisory fees will be deducted during the next regularly scheduled billing cycle.
    In rare cases, our firm will agree to direct bill clients. Further, it is important to note that our firm
    will assess advisory fees on all assets held in client accounts including cash and cash equivalents. As
    part of this process, Clients understand the following:

       a) LPL Financial as your custodian sends statements at least quarterly to you showing all
          disbursements for your account, including the amount of the advisory fees paid to us;
       b) You provide authorization permitting fees to be paid by these terms; and
       c) LPL Financial calculates the advisory fees for all fee schedules and deducts them from your
          account.

    LPL Sponsored Advisory Programs:

    The account fee charged to the client for each LPL advisory program is negotiable and will be outlined
    in the client’s signed advisory agreement. The negotiated fee is subject to the following maximum
    limits:

                         Advisory Program               Annual Percentage of Assets Charge
                       Model Wealth Portfolio                      Up to 2.50%
                      Optimum Market Portfolio                     Up to 2.50%
                      Personal Wealth Portfolio                    Up to 2.50%

    LPL has a separate billing process which we have no control over. In general, they will directly bill
    you and describe how this works in their separate account application and written disclosure
    documents provided to Clients prior to being placed in the program.

ADV Part 2A – Firm Brochure                        Page 6                      Fisher and Wiens Wealth Management, LLC

    Other Types of Fees & Expenses

    Clients will incur transaction charges for trades executed in their accounts. These transaction fees
    are separate from our fees and will be disclosed by the firm that the trades are executed through.
    Also, clients will pay the following separately incurred expenses, which we do not receive any part
    of: charges imposed directly by a mutual fund, index fund, or exchange traded fund which shall be
    disclosed in the fund’s prospectus (i.e., fund management fees and other fund expenses).

    LPL Financial offers a trading platform with select exchange traded funds (“ETFs”) that do not charge
    transaction fees. The no-transaction-fee ETF trading platform is available to clients participating in
    LPL Financial’s Strategic Wealth Management (“SWM”) program. Clients will be subject to
    transaction fees charged by LPL Financial for ETFs not included in LPL Financial’s platform and for
    other types of securities. The limited number of ETFs available on LPL Financial’s no-transaction fee
    platform may have higher overall expenses than other types of securities and ETFs not included in
    the platform. Other major custodians have eliminated transaction fees for all ETFs and U.S. listed
    equities, so clients may pay more for investing in the same securities at LPL Financial.

    Termination & Refunds

    We charge our advisory fees quarterly in advance. In the event that you wish to terminate our
    services, we will refund the unearned portion of our advisory fee to you. You need to contact us in
    writing and state that you wish to terminate our services. Upon receipt of your letter of termination,
    we will proceed to close out your account and process a pro-rata refund of unearned advisory fees.

    Commissionable Securities Sales

    Representatives of our firm are registered representatives of LPL Financial, LLC (LPL), member
    FINRA/SIPC. As such they are able to accept compensation for the sale of securities or other
    investment products, including distribution or service (“trail”) fees from the sale of mutual funds.
    Clients should be aware that the practice of accepting commissions for the sale of securities presents
    a conflict of interest and gives our firm and/or our representatives an incentive to recommend
    investment products based on the compensation received. Our firm generally addresses
    commissionable sales conflicts that arise when explaining to clients these sales create an incentive
    to recommend based on the compensation to be earned and/or when recommending
    commissionable mutual funds, explaining that “no-load” funds are also available. Our firm does not
    prohibit clients from purchasing recommended investment products through other unaffiliated
    brokers or agents.

Item 7: Types of Clients & Account Requirements

    We have the following types of clients:
       • Individuals and High Net Worth Individuals;
       • Trusts, Estates or Charitable Organizations;
       • Corporations, Limited Liability Companies and/or Other Business Types.

    Our requirements for opening and maintaining accounts for our Comprehensive Portfolio
    Management service:
       • Our firm requires a minimum household balance of $1,000,000. Generally, this minimum
          account balance requirement is negotiable.