Hampel Investment Advisors LLC

ITEM 5 – Fees and Compensation
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 and without
penalty. 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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5a: Fees
Investment Management
HIA’s annual investment advisory fee is based on a percentage (%) of the market value of the assets
placed under HIA’s management to be charged quarterly in advance based on account valuation as of
the last business day of the previous quarter, as follows:

                              Account Assets            Fees % of Assets
                            First    $1,000,000              1.000%
                            Next     $2,000,000              0.700%
                            Next     $2,000,000              0.500%
                            Next     $5,000,000              0.400%
                            Over    $10,000,000     Determined individually

HIA utilizes a tiered fee structure under which a lower rate is charged on assets invested in each
succeeding tier. For example, an account with $1,500,000 invested will be charged, 1% on the first
$1,000,000 invested (i.e. $10,000) and .70% for each dollar invested between $1,000,000 and
$1,500,000 (i.e. $3,500 $ for $500,000) for a total fee of $13,500.

HIA generally requires an aggregate minimum account value of $500,000 per household for investment
advisory services. HIA’s fee and minimum account requirements are negotiable in its discretion,
depending upon objective and subjective factors including but not limited to the amount of assets to be
managed; portfolio composition; the scope and complexity of the engagement; the anticipated number
of meetings; future earning capacity; anticipated future additional assets; and negotiations with the
client. Because of these factors, similarly, situated clients could pay different fees, the services to be
provided by HIA to any particular client could be available from other advisors at lower fees, and certain
clients may have fees different than those specifically set forth above

For purposes of determining value, securities and other instruments traded on a market for which actual
transaction prices are publicly reported are valued at the last reported sale price on the principal market
in which they are traded. The fee includes the time and activities necessary to work with your attorney
and/or accountant in reaching agreement on solutions, as well as assisting them in implementation of all
appropriate documents. We are not responsible for attorney or accounting fees charged to you as a
result of these activities.

Financial Planning and Consulting Services
If requested by the client, HIA may provide consulting services regarding non-investment-related
matters, such as estate, tax and insurance planning on a stand-alone basis. HIA’s planning and
consulting fees are negotiable, but generally range from $1,000 to $20,000 on a fixed fee basis, and
$400 on an hourly rate basis, depending upon the level and scope of the services required and the
professionals rendering the services. These arrangements will be defined and agreed upon by both
parties in a written agreement between HIA and the client. The services may be billed at the time work
is performed, although contracts may specify the total number of hours expected in total. Whether fees
are contractually agreed to be paid in advance or in arrears, all fees are due within 10 days of invoice.

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5b: Fee Payments Options
Investment Management and Consulting Fees
Through our custodians, our clients provide signed permission to pay their fees directly from their
account. The custodian pays from your account when we submit an invoice to them. We submit
invoices quarterly, in advance or arrears, as is stated in the client agreement. The invoice we submit
shows the amount of fees, the value of your assets on which the fees are based, and the specific manner
in which the fees are calculated. If there is insufficient cash in your account, securities may be sold. In
addition to our fees, there may be custodial, mutual fund or third-party management fees charges.
Clients may choose, as agreed upon in advance in the Investment Advisory Agreement, the option to pay
directly by check to Hampel Investment Advisors, LLC instead of Custodian directed payment.

Retirement Planning / Financial Planning
Services performed on a fixed fee basis are paid as set forth in our agreement with you. Depending on
the size and scope of the project, we may request fees up front, a partial retainer or to be paid in full
upon completion. All invoices for Retirement Planning/Financial Planning are due within ten (10) days of
invoice and are to be paid by check to Hampel Investment Advisors, LLC.

Clients may elect to have HIA’s advisory fees deducted from their custodial account. Both HIA's
Investment Advisory Agreement and the custodial/clearing agreement may authorize the custodian to
debit the account for HIA's investment advisory fee and to directly remit that management fee to HIA in
compliance with regulatory procedures. In the limited event that HIA bills the client directly, payment is
due upon receipt of HIA’s invoice.

5c: Third Party Fees
All fees paid to us for investment advisory services are separate and distinct from the fees and expenses
charged by custodians, broker dealers, mutual funds and other third parties. All fees and charges
incurred in connection with transactions for the account will be paid out of the assets in the account and
are in addition to the investment management fees paid to us. These potential fees include but are not
...

ITEM 7 – Types of Clients
We generally provide asset management and financial planning services to the following types of
Clients:
            • Individuals
            • High-Net-Worth Individuals
            • Pension and Profit Sharing Plans
            • Charitable Organizations
            • Corporations
There is no account minimum. However, the Advisor may decline to accept clients with portfolios under
$500,000.