Globalt Investments LLC

Item 5 – Fees and Compensation

Globalt generally receives a fee from accounts based upon a percentage of assets under
management, calculated according to a schedule agreed upon between Globalt and the client.
The standard fee schedules and minimum account sizes for our strategies described in more
detail in Items 4 and 8 are negotiable on a case-by-case basis and as a result, clients with similar
assets may have differing fee schedules and pay different fees. Clients may request that related
or household accounts be combined in order to meet fee break points and reduce the advisory
fee charged. Globalt reserves the right to discount or waive the advisory fee for certain accounts
such as employee accounts, family member accounts, and personal accounts of affiliated
persons. Therefore, fee schedules may vary by client, investment type, account size, specific
circumstance, sponsor and/or platform. Fixed fees, not dependent upon a percentage of assets
under management or account size, may also be indicated via client agreement. Clients who
negotiate a flat fee schedule may or may not pay a higher fee than those who pay under a tiered
schedule, depending on asset levels. The applicable terms and conditions, as they relate to a
particular client, are detailed in the client’s investment management agreement or
correspondence. Fees are typically calculated quarterly based on the market value of the
account and may be payable in advance or in arrears. For some accounts, the fees may be
calculated based upon an average daily account balance for the period.

The advisory fee covers only the investment management and advisory services provided by
Globalt. This fee generally does not include brokerage commissions, transaction fees, mark-ups

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and mark-downs, odd lot differentials, exchange fees, SEC fees, dealer spreads or other costs
associated with the purchase and sale of securities, deferred sales charges, advisory fees
charged by other advisors or managers, custodian fees, transfer fees, wire and electronic fund
fees, interest, taxes, or other account expenses. All fees paid to Globalt for investment
management and advisory services are separate and distinct from the fees and expenses,
including internal management fees, charged by mutual funds or exchange traded funds (ETFs)
in conjunction with their internal expenses. An expense ratio is a measurement of what it costs
to operate a mutual fund or ETF. Operating expenses, which include the management fee, are
taken out of a fund’s assets and lower the return to a fund’s investors. These charges are in
addition to Globalt’s advisory fee, and Globalt does not receive any portion of these charges. This
is called layering of fees. For example, layering of fees for a single ETF position of $10,000 could
include the annual Globalt fee of .45%, plus a typical ETF expense of 0.15%. The total cost for the
one ETF position annually would be $60, or .60%. The client will be solely responsible, directly or
indirectly, for these additional expenses. Refer to Item 12 for a detailed discussion of brokerage
practices. Neither Globalt nor any of its supervised persons accept compensation from
commissions or mutual fund trails for the purchase or sale of securities, including asset-based
sales charges or service fees from the sale of mutual funds or ETFs.

Supervised employees typically receive a salary from Globalt, with potential for discretionary
compensation based upon several factors that may include overall company profitability
(growth in assets, profitability/net income, and client retention), departmental performance and
individual goals. Measures and incentive opportunity are determined by Globalt management.
Globalt recognized the potential conflict of interest inherent in compensation associated with
assets under management and performance criteria and manages this risk through a
management review process. Globalt also employs a sales team consisting of external and
internal sales directors or wholesalers to support and enhance distribution of Globalt’s
investment strategies through external channels, including SMA, wrap fee programs and model
portfolio provider platforms with which the Firm works. These team members receive various
forms of compensation, including a percentage of revenue received from new or existing
accounts or relationships. Program fees vary by product type creating an incentive for the sales
team and/or wholesalers to recommend programs to sponsoring firms based on the
compensation received. As a mitigating factor, the sponsoring firm and their other financial
advisors perform a suitability review and work with the client to determine whether the client
should invest with Globalt, and the investment strategy in which to invest.

Investment Advisers that directly debit advisory fees from a client’s custodial account are
deemed to have custody. Globalt may debit the advisory fees from the client’s custodial account
at the client’s direction and would therefore be deemed to have custody. Clients receive
statements directly from their custodian, usually monthly, but no less than quarterly. Globalt
urges clients to review their statements for accuracy and compare them to any reports received
directly from Globalt. Please refer to Item 15 of this document for additional disclosures relating
to Custody.

An Investment Advisory Agreement may be terminated at any time, by either party, without
penalty, for any reason upon receipt of 30 days written notice, unless stated otherwise in the
Agreement, and in accordance with the terms and conditions stated therein. Any such
termination will not affect the party’s status, obligations or liabilities. If an account is terminated,
the client will receive a refund of any prepaid fees on a prorated basis, determined by the
...

Item 7 – Types of Clients

Globalt offers investment advisory services to individuals, high net worth individuals,
corporations and institutions, and trust companies, pension and profit-sharing plans, estates
and trusts, charitable organizations, and other investment advisers, such as wrap program
sponsors.

For ongoing management of each strategy found in Item 4, the minimum portfolio size for
ongoing management is listed. In Globalt’s sole discretion, the Firm may accept portfolios below
these stated minimums.

With respect to separately managed accounts, wrap fee programs, or model portfolio provider
platform programs, clients should consult the program sponsor or platform for detailed

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information on the minimums, fees, and restrictions of each program. Globalt does not impose
investment minimums on model portfolio provider platform programs or UMAs.

Globalt provides offerings to investors seeking to roll over balances held in employer‐sponsored
retirement plans (often referred to as a “rollover”). Individuals with investments in a former
employer’s retirement plan generally have five options for those assets: (1) Leave the
investments in that plan, (2) roll the assets into his/her new employer’s plan, (3) rollover the
money to an Individual Retirement Account, (4) liquidate the investments and cash out the
money, or (5) some combination of the previous four options. Each option presents different
considerations - including tax implications, and no one solution is right for every investor. When
Globalt meets with a client about options Globalt will provide the client with a Disclosure of
Fiduciary Capacity document that further discloses the requirement for Globalt to act in the
client’s best interest, and Globalt also encourages clients to talk with their adviser about these
options and to consult with a tax professional regarding the potential impacts each of the
options may have to their specific situation. Globalt has an economic incentive to recommend
a rollover because assets rolled into one of our strategies will generate investment management
fees. In discussing and evaluating a client’s options, it is important for the client to know they
are under no obligation to rollover assets to Globalt. Information about minimum account size
requirements for each Program can be found in Item 4 of this Brochure.