Guardian Capital LLC

Item 5: Fees and Compensation
 Method of Compensation and Fee Schedule
  Guardian Capital, LLC (“GC”) Asset Management
  GC offers discretionary direct asset management services to advisory clients. GC will offer
  clients ongoing portfolio management services through determining individual investment
  goals, time horizons, objectives, and risk tolerance. Investment strategies, investment
  selection, assets allocation, portfolio monitoring and the overall investment program will be
  based on the above factors. GC’s primary portfolios consist of Common Stocks, Exchange
  Traded Funds (ETFs), and Mutual Funds, with the potential to invest in Leveraged ETFs
  and/or ETFs that may contain or utilize leveraged or derivative components, Buffered ETFs,
  and ETFs which track commodities. GC may also develop additional portfolios from time to
  time.
  Fees for these services will be based on a percentage of Assets Under Management, billed
  monthly in arrears as of the last business date of a given month, as follows:

            Assets Under Management             Annual Fee            Monthly Fee
                  Up to $500,000                  1.50%                 .1250%
              $500,001 to $1,000,000              1.20%                 .1000%
             $1,000,001 to $2,000,000             1.00%                 .0830%
             $2,000,001 to $3,000,000             0.80%                 .0660%
                 Over $3,000,000                  0.50%                 .0415%
  The annual Fee may be negotiable. Trade costs, if applicable, are not included in
  management fee. 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 for a full refund. Clients may terminate advisory services with thirty (30) days
  written notice. GC will be entitled to a pro rata fee for the days service was provided in the
  final quarter. Client shall be given thirty (30) days prior written notice of any increase in
  fees.

AIM Nucleus Model Marketplace Fee:
 When we use Nucleus Model Marketplace to manage all or a portion of your assets, the
 following fees are also incurred:
    •   Strategist Fee. Nucleus strategist fees range between 0.00% and 1.00% annually of
        your account assets in the model portfolios, depending on strategist and model
        selected. In some cases, strategists may receive additional compensation from
        investments in the underlying investments included in the model portfolios, which
        presents a conflict of interest. We will provide you with information regarding the
        specific fees for the model portfolio(s) used to manage your Account(s), any conflicts
        of interest the strategist may have, and other relevant information.
    •   Administration Fee. For access to the Nucleus Model Marketplace, AIM receives a
        maximum annual administration fee of 0.10% of your Account(s) in the model
        portfolios.
    •   Trading Fee. For trading services, AIM receives a maximum annual trading fee of
        0.15% of your Account(s) in the model portfolios.
    •   Outsourced Services Fee. Outsourced Agent Services, AIM receives a maximum
        annual fee of 0.05% of your Account(s) in the model portfolios.
 This fee is in addition to any investment management fee charged by us. OR This fee is
 included in our total investment management fee described in this Brochure.
 The Nucleus Model Marketplace fees will be charged quarterly in arrears. The quarterly fee
 is based on the average daily balance of your Account(s) during the prior calendar quarter
 (including cash and cash equivalents). The average daily balance is calculated by adding each
 day’s balance for the quarter, then dividing the sum by the number of days in the quarter.
 The average daily balance is then multiplied by the quarterly portion of the annual fee.
 Nucleus fees may be charged at the same time as our advisory fee, or it may be charged
 separately.
 Option 1 (when your fees are combined and collected with AIM’s fees):
 AIM’s Program Fee is combined with our advisory fee and charged using the same method,
 frequency, and billable market value as described in the fee section of our ADV. Fees for
 partial billing periods will be prorated based on the number of days in the billing period that
 the account was under AIM’s management.
 Option 2 (when AIM’s fee is charged separately):
 AIM’s fee will be charged quarterly in arrears. The quarterly fee is based on the average daily
 balance of Client Accounts during the prior calendar quarter (including cash and cash
 equivalents). The average daily balance is calculated by adding each day’s balance for the
 quarter, then dividing the sum by the number of days in the quarter. The average daily
 balance is then multiplied by the quarterly portion of the annual fee.

 FINANCIAL PLANNING and CONSULTING
 FIXED FEES
 Financial Planning Services are available to all clients for a negotiable fixed fee with a
 maximum fee of $3,000. Financial plans are priced according to the degree of complexity
 associated with the client’s situation. Client may cancel within five (5) business days of
 signing Agreement for a full refund. If the client cancels after five (5) business days, any
 unearned fees will be refunded to the client.
 HOURLY FEES
 Financial Planning Services are offered based on an hourly fee of $150 per hour. Prior to the
 planning process the client will be provided an estimated plan fee. Client may cancel within
 five (5) business days of signing Agreement for a full refund. If the client cancels after five (5)
 business days, any unearned fees will be refunded to the client. Fees are negotiable.
 ERISA PLAN SERVICES
 The annual fees are based on the market value of the Included Assets and will not exceed
...

Item 7: Types of Clients
 Description
  GC generally provides investment advice to individuals and high net worth individuals.
  Client relationships vary in scope and length of service.
 Account Minimums
  GC requires a minimum of $25,000 to open an account. GC may at its sole discretion waive
  this minimum account size. GC does not require clients to compensate the Firm with a
  minimum annual dollar amount per annum.