Fogarty Wealth Management Inc

Item 5: Fees and Compensation
  Method of Compensation and Fee Schedule
   ASSET MANAGEMENT
   FWM offers discretionary asset management services to advisory clients. The fees for
   these services will be based on a percentage of Assets Under Management as follows:
      Assets Under Management                Annual Fee                Quarterly Fee
           Up to $500,000                      2.00%                       .50%
        $500,001 - $1,500,000                  1.50%                      .375%
       $1,500,001 - $2,500,000                 1.25%                     .3125%
       $2,500,001 - $3,500,000                 1.00%                       .25%
       $3,500,001 - $4,500,000                 0.75%                     .1875%
           Over $4,500,001                     0.50%                      .125%
   The annual fee may be negotiable. Accounts within the same household may be
   combined for a reduced fee. Fees are billed quarterly in advance based on the amount of
   assets managed as of the close of business on the last business day of each quarter. If
   margin is utilized, the fees will be billed based on the gross asset value of the account.
   The fee for a partial or full quarter is calculated by multiplying the account balance at

                                Fogarty Wealth Management, Inc.

the end of each quarter times by the annual agreed fee percentage divided 360 to get a
per diem times by the number of days service was provided in the quarter.
Quarterly advisory fees deducted from the clients' account by the custodian will be
reflected in the custodial statement as fees are withdrawn. The fees must be paid within
ten (10) days. Lower fees for comparable services may be available from other sources.
Clients may terminate their account within five (5) business days of signing the
Investment Advisory Agreement for a full refund. Clients may terminate advisory
services with thirty (30) days written notice. The client will be entitled to a pro rata
refund for the days service was not provided in the final quarter. Client shall be given
thirty (30) days prior written notice of any increase in fees, and client will acknowledge,
in writing, any agreement of increase in said fees.
FWM provides asset management services for 529 Plans for clients who have assets
under management with the firm. These services are provided at no charge as outlined
in the signed investment advisory agreement.
VARIABLE ANNUITY MANAGEMENT
The fees for these services will be based on a percentage of Assets Under Management
and will not exceed an annual fee of 0.75% of the assets managed. Fees will be disclosed
prior to Client signing the Investment Advisory Agreement.
FWM’s fees are billed quarterly in advance based on the amount of assets managed as of
the close of business on the last business day of the previous quarter. Quarterly advisory
fees will be paid in the following ways:
 • Deduct from another non-qualified Client’s account held with FWM
 • Deduct from another qualified account if eligible, i.e. over 59 ½
 • Direct billing to the Client payable within 10 days of invoice presentation
 • Deduct from Client’s annuity account
The annual fee may be negotiable based upon certain criteria (e.g., historical
relationship, type of assets, anticipated future earning capacity, anticipated future
additional assets, dollar amounts of assets to be managed, related accounts, account
composition, negotiations with Clients, etc.). Accounts within the same household may
be combined for a reduced fee. Lower fees for comparable services may be available
from other sources. Clients may terminate their account within five (5) business days of
signing the Investment Advisory Agreement with no obligation and without penalty.
Clients may terminate advisory services with thirty (30) days written notice. Client will
be entitled to a pro rata refund for the days service was not provided in the final billing
period. Client shall be given thirty (30) days prior written notice of any increase in fees,
and Client will acknowledge, in writing, any agreement of increase in said fees.
ERISA PLAN SERVICES
The annual fees are based on the market value of the Included Assets and will not exceed
1%. The annual fee is negotiable and may be charged as a percentage of the Included
Assets or as a flat fee. Fees may be billed in accordance with the investment advisory
agreement based on the assets as calculated by the custodian or record keeper of the
Included Assets (without adjustments for anticipated withdrawals by Plan participants
or other anticipated or scheduled transfers or distribution of assets). Fees will never be
billed $1200 and 6 months or more in advance. If the services to be provided start any

                              Fogarty Wealth Management, Inc.

 time other than the first day of a quarter or month, the fee will be prorated based on the
 number of days remaining in the quarter or month. If this Agreement is terminated prior
 to the end of the billing cycle, FWM shall be entitled to a prorated fee based on the
 number of days during the fee period services were provided or Client will be due a
 prorated refund of fees for days services were not provided in the billing cycle.
 The fee schedule, which includes compensation of FWM for the services is described in
 detail in Schedule A of the ERISA Plan Agreement. The Plan is obligated to pay the fees;
 however, the Plan Sponsor may elect to pay the fees. Client may elect to be billed directly
 or have fees deducted from Plan Assets. FWM does not reasonably expect to receive any
 additional compensation, directly or indirectly, for its services under this Agreement. If
 additional compensation is received, FWM will disclose this compensation, the services
 rendered, and the payer of compensation. FWM will offset the compensation against the
 fees agreed upon under the Agreement.
 FINANCIAL PLANNING and CONSULTING
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Item 7: Types of Clients
  Description
   FWM generally provides investment advice to individuals and high net-worth
   individuals.
   Client relationships vary in scope and length of service.
  Account Minimums
   FWM does not require a minimum open an account.