Guide Wealth Management LLC

Item 5: Fees and Compensation

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Please note, unless a client has received the firm’s disclosure brochure at least 48 hours prior
to signing the investment advisory contract, the investment advisory contract may be
terminated by the client within five (5) business days of signing the contract without incurring
any advisory fees. How we are paid depends on the type of advisory service we are
performing. Please review the fee and compensation information below.
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Investment Management Services​            ​      ​      ​      ​
Our standard investment management fee schedule is listed below of the market value of the
assets under management (AUM). This schedule is effective for new clients as of 01/01/2023.

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           Portfolio Value                                          Annual Fee

           $0- $5,000,000                                              1.50%

           $5,000,001 - $10,000,000                                    1.00%

           Above $10,000,000                                           0.75%

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There is no minimum fee for Investment Management Services. Fees are tiered, as such a
client with $10,000,000 in assets would be charged a blended rate equivalent to 1.25%. No
increase in the annual fee structure shall be effective without agreement from the client in the
form of signing either a new agreement or amendment to their current advisory agreement.
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For clients assessed a fee in accordance with our standard fee schedule, our firm’s fees are
billed on a pro-rata annualized basis quarterly in advance based on the gross asset value of
your account on the last day of the previous quarter, not reduced by margin or liabilities. For
example, a client account with $10,000,000 invested assets who then withdraws $2,000,000
cash via portfolio margin loans would have an AUM fee calculation of $125,000 annually.

Advisory fees are directly debited from client accounts, alternatively, the client may choose to
pay directly by check or credit card (a service fee may apply). Accounts initiated or terminated
during a calendar month will be charged a prorated fee based on the amount of time remaining
in the billing period. An account may be terminated with written notice by either party. Upon
termination of the account, any unearned fees will be refunded to the client.​

Wealth Management Services
Wealth Management Services are a comprehensive, family office solution. They include a
combination of Financial Planning (both Personal and Business) and Investment Management.
Fees for Wealth Management Services will follow the AUM fees set out in the Investment

Management Fee schedule above, with the addition of a Client Minimum Fee. The minimum
fee is calculated based on various factors including the complexity of the client's situation.

When AUM-based fees exceed the client minimum fee, AUM-based fees will be used solely,
and the client minimum fee will not be charged.
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Client Minimum Fees
Wealth Management clients have a client-specific minimum fee that incorporates the fees from
Investment Management, along with fees calculated based on income, complexity, and scope
of work. This minimum fee is in effect until such time as the fee derived from assets under
management fee exceeds the minimum fee. Clients are charged the greater of the two fees,
they are not additive. Client specific minimum fees generally start at $15,000 per year.

Clients can expect an annual increase to the minimum fee of between 0-3%. Fee increases will
occur in January, with the first increase occurring in the first January after 12 months have
elapsed from the initial contract.​

CCR Section 260.238(j) Disclosure

Please note, lower fees for comparable services may be available from other sources.​ ​

Other Types of Fees and Expenses​         ​       ​      ​      ​

Our fees are exclusive of brokerage commissions, transaction fees, and other related costs
and expenses which may be incurred by the client. Clients may incur certain charges imposed
by custodians, brokers, and other third parties such as custodial fees, deferred sales charges,
odd-lot differentials, transfer taxes, wire transfer, and electronic fund fees, and other fees and
taxes on brokerage accounts and securities transactions. Mutual fund and exchange-traded
funds also charge internal management fees, which are disclosed in a fund’s prospectus. Such
charges, fees, and commissions are exclusive of and in addition to our fee, and we shall not
receive any portion of these commissions, fees, and costs.

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Item 12 further describes the factors that we consider in selecting or recommending
broker-dealers for clients’ transactions and determining the reasonableness of their
compensation (e.g., commissions).
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We do not accept compensation for the sale of securities or other investment products
including asset-based sales charges or service fees from the sale of mutual funds.​

Wealth Management clients receive tax preparation and related services for one business
entity through Guide Tax Management LLC ("GTM"), with fees credited against GWM's
advisory fee so that the client's total cost is unchanged.

Clients with more than one business entity may engage GTM for additional business tax
services. Fees for these additional business engagements are charged by GTM separately
and represent costs beyond GWM's advisory fee. Whether an additional fee applies, and its
amount, will be disclosed to the client in writing prior to those services being rendered.

Clients will never be charged by both GWM and GTM for the same service.

Item 7: Types of Clients

We provide financial planning and portfolio management services to:
    ●​ Individuals and High Net-Worth Individuals.
    ●​ Businesses, Trusts, Estates, and Charitable Organizations.
    ●​ Pension or Profit Sharing Plans.​ ​       ​      ​      ​

We do not have a minimum account size requirement.

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