Hampton Rock Wealth Management I LLC

Item 5 – Fees and Compensation

A.     Fee Schedule
ASSET MANAGEMENT
HamptonRock WM offers asset management services to advisory Clients. HamptonRock WM
charges an annual investment advisory fee based on the total assets under management as
follows:

              Assets Under Management                               Annual Fee

                   First $0 - $500,000                                 1.50%

              Next $500,001 - $1,000,000                               1.25%

            Next $1,000,001 - $10,000,000                              1.00%

                   Next $20,000,000                                    0.90%

                   Next $20,000,000                                    0.75%

                Amounts >$50,000,000                                   0.50%

This is a blended fee schedule, meaning different asset levels are assessed different fees, as shown
above. Fees are billed monthly in advance based on the amount of assets managed as of the close
of business on the last business day of the previous billing period. If margin is utilized, the fees will
be billed based on the gross asset value of the account. Lastly, please note that HamptonRock WM
may group certain related Client accounts, often known as “householding”, for the purposes of
achieving the minimum account size and determining the annualized fee. Fees are negotiable at
the discretion of HamptonRock WM, and the final fee schedule will be attached to the Investment
Advisory Contract.

Fees are calculated based on the number of actual days in the month. An example of a simple
billing calculation is:

$10,000,000 in assets as of 9/30/2023: ($10,000,000 * 1% / 366) = $273.22/day $273.22 * 31=
$8,469.95 in fees will be deducted in early October for the month of October. (2023 was a leap
year. In non-leap years, the annual fee is divided by 365 days).

Please note that certain accounts, such as variable annuities, may have separate billing options
and may also be paid in the following ways:

    •   Deducted from a non-qualified Client account held with HamptonRock WM

   •   Deducted from a qualified Client account held with HamptonRock WM for Client’s over 59½

HELD-AWAY ASSETS
Held-away assets managed on our technology platform are included in billing by HamptonRock
WM as agreed upon in the client’s advisory agreement. These assets will be billed on the same
Asset Management fee schedule shown above.

CORPORATE FINANCE
HamptonRock WM and its financial advisers do not earn direct compensation based on the referral
of a client to HamptonRock Partners, although bonus and payout structures may take into account
the profitability of business sent to HamptonRock Partners or its affiliates. Additional details are
listed under Item 4 Advisory Business.

This conflict is mitigated by disclosures, procedures and HamptonRock WM’s fiduciary obligation
to place the best interest of the client first. Moreover, clients are not required to engage the broker-
dealer or its representatives if they do not wish to.

FINANCIAL PLANNING AND CONSULTING
HamptonRock WM does not charge separately for financial planning and consulting. Financial
planning and consulting are available to clients of HamptonRock WM but are not provided to every
client. If a client is interested in discussing financial planning in more detail, they should speak to
their financial advisor.

ESTATE PLANNING
At HamptonRock Wealth Management, we charge a standard fee of $1,000 for the estate planning
service, which includes access to the third-party software and our assistance in navigating and
inputting information to generate personalized estate planning documents. The fee is negotiable
at the discretion of the Advisor.

FAMILY OFFICE SERVICES
The fixed fee for family office services is up to $20,000 monthly. Fees may be negotiable at the
discretion of the firm.

PENSION CONSULTING
The fee schedule for pension consulting services is based on an annual percentage of the plan
assets for which HamptonRock WM is providing such consulting services listed below. This is a
blended fee schedule, meaning different asset levels are assessed different fees, as shown above.
Fees are billed monthly in advance based on the amount of assets managed as of the close of
business on the last business day of the previous billing period. These fees are negotiable.

       Assets Under Management                      Annual Fee

       First $0 - $500,000                          1.50%

       Next $500,001 - $1,000,000                   1.25%

       Next $1,000,001 - $10,000,000                1.00%

       Next $20,000,000                            0.90%

       Next $20,000,000                            0.75%

       Amounts >$50,000,000                        0.50%

B.     Payment of Fees
Asset Management Fees are deducted directly from the Client’s Account. Fees can be deducted
from the managed account or from another, non-retirement account, custodied at Schwab.

Fixed estate planning fees are paid via check, direct deduction from a managed account or wire.
These fees are charged in advance, but never more than six months in advance. Fixed fees that are
collected in advance, but unearned at the time termination becomes effective (if any), will be
refunded based on the prorated amount of work completed at the point of termination. If this
Agreement is terminated prior to completion of the estate planning services, then Client will be
responsible for paying the prorated fee for work completed but unpaid (if any) at the time
termination becomes effective.

Family office service fees are billed monthly in advance from the client’s designated investment
account. HamptonRock WM has engaged Plumb, an unaffiliated third-party as a bill payment
service provider. HamptonRock WM does not have independent authority to initiate or direct the
transfer of client funds.

Pension consulting fees are withdrawn directly from the client’s accounts with client’s written
...

Item 7 – Types of Clients & Account Minimums

HamptonRock WM’s Clients are generally individuals, small businesses, trusts, estates, high net-
worth individuals, pension and profit-sharing plans, pooled investment vehicles, and charities.
Client relationships vary in scope and length of service.
HamptonRock WM requires a minimum account size of $5,000,000 to enter into an Advisory
Agreement. However, HamptonRock WM retains the discretion to lower or waive said minimum.