Global Wealth Strategies and Associates LLC

ITEM 5 - FEES AND COMPENSATION

INVESTMENT MANAGEMENT FEES AND COMPENSATION
GWS&A charges a fee as compensation for providing Investment Management services
on your account. These services include advisory and consulting services, trade entry,
investment supervision, and other account-maintenance activities. Our recommended
custodian charges transaction costs, custodial fees, redemption fees, retirement plan
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 quarterly in advance and calculated based on the end of period balance of
the account(s). The initial advisory fee is prorated for the number of days that Client’s
account(s) is under 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 1.50%. 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. Margin balances are excluded from advisory fee billing. We do not
impose a minimum account value to initiate our Firm’s advisory and money
management services, but the Firm will impose a minimum flat advisory fee of $1,500
annually, billed quarterly on a pro rata basis. Under certain legacy relationships and
those that are approved by the CCO, accounts are allocated a tax stipend in which
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GWS&A pays the clients CPA directly, as mentioned in Item 4. The fees for such tax
service is a 5bps increase from our standard advisory fee schedule, not to exceed 1.50%.
Certain strategies may utilize third-party direct indexing providers. Fees charged by such
providers are separate from and in addition to advisory fees and are disclosed in the
Advisory Agreement prior to the strategy’s implementation.
Clients participating in programs that utilize Sub-Advisers will bear the cost of
sub-advisory services. Sub-Adviser fees are deducted directly from client accounts. In all
cases, the total fees and expenses associated with the program will be disclosed to
clients prior to implementation.
Sub-Adviser fees are in addition to asset management fees, custodial fees, transaction
charges, and other investment-related expenses. As a result, clients using Sub-Advisers
may pay higher overall fees than clients whose accounts are managed solely by our Firm.
Some minimum fees may be higher based on your Advisers’ credentials and years of
experience. In certain circumstances, our fees and the timing of the fee payments 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. You will 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.
Either GWS&A or you may terminate the management agreement immediately upon
written notice to the other party. The management fee will be prorated 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 a client's death or disability, GWS&A will continue
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management of the account until we are notified of the 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. In this circumstance, we
will negotiate the planning fees with you. 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 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 GWS&A.
Financial Planning fees may be fixed, hourly, monthly, quarterly or annually. The specific
fee for financial planning services will be discussed with you prior to engagement and
agreed upon and specified in your financial planning agreement with GWS&A. The fixed
fees range from $400 to $25,000 annually. Monthly fees range from $100 to
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ITEM 7 - TYPES OF CLIENTS

Our Firm works with the following types of clients: individuals, high net-worth
individuals, foundations, employer sponsored retirement plans, charitable organizations,
institutions, trusts and estates.
We do not impose a minimum account value to initiate our Firm’s advisory and money
management services but as indicated above in Item 5 Fees & Compensation, the Firm
will impose a minimum flat advisory fee of $1,500 annually, billed quarterly on a pro rata
basis.