Huntleigh Advisors Inc

Item 5 – Fees, Compensation and Conflicts of Interest

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

             Assets Under Management                         Maximum Annual Fee

                    $0 - $1,000,000                                  2.00%

               $1,000,001 - $10,000,000                              1.50%

                     $10,000,001+                                    1.00%

This is a blended fee schedule, meaning different asset levels are assessed different fees, as shown
above. The annual fee and assets under management levels are negotiable based upon certain criteria
(e.g., historical relationship, type of assets, anticipated future earning capacity, anticipated future
additional assets, dollar amounts of assets to be managed, related accounts, account composition,
negotiations with Clients, etc.). Fees are billed quarterly 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 net asset value of the account.

SUB-ADVISORY SERVICES FEES

Shown below, fees will be charged on the total assets under management that the third-party
investment advisor brings to HAI. HAI is compensated directly by the third-party investment advisor
with a portion of their investment management fee, as per the duly executed Sub-Advisory services
agreement.

THIRD PARTY MANAGEMENT
HAI has entered into a Solicitor Agreement(s) with various third-party investment advisors to
provide investment portfolio advice and supervisory services. The TPM fees will be disclosed to the
Client in a separate Agreement executed directly with the TPM. The Client’s fee for these services will
be based on a percentage of assets under management and never exceed 2.0%. Clients should consult
their agreement(s) with the TPM for additional information on billing.

All fees are withdrawn from the Client’s account unless otherwise noted. TPM will receive written
authorization from the Client to deduct advisory fees from their account held by a qualified custodian.
TPM will pay HAI their portion of the fees. HAI does not have access to deduct Client fees.

ERISA PLAN SERVICES
The annual fees are based on the market value of the Included Assets and shall not exceed 2%. Fees
may be charged quarterly or monthly in arrears or in advance based on the assets as calculated by
the custodian or record keeper of the Included Assets (without adjustments for anticipated
withdrawals by Plan participants or other anticipated or scheduled transfers or distribution of
assets) on the last business day of the previous quarter. If the services to be provided start any time
other than the first day of a quarter, the fee will be prorated based on the number of days remaining
in the quarter. If the agreement is terminated prior to the end of the fee period, HAI shall be entitled
to a prorated fee based on the number of days during the fee period services were provided.

The fee schedule, which includes compensation of HAI for the services is described in detail in the
ERISA Plan Agreement. The Plan is obligated to pay the fees, however the Plan Sponsor may elect to
pay the fees. Each Client may elect to be billed directly or have fees deducted from Plan Assets. HAI
does not reasonably expect to receive any additional compensation, directly or indirectly, for its
services. If additional compensation is received, HAI will disclose this compensation, the services
rendered, and the payer of compensation.

B.     Payment of Fees
Asset Management Fees are deducted directly from the Client’s Account.

Sub-Advisor Fees are deducted directly from the Client’s Account.

ERISA Fees are deducted directly from the Client’s Account.

For TPM services, the method of payment will be disclosed in the TPM’s Form ADV Part 2.

HAI, in its sole discretion, may charge a lesser investment advisory fee based upon certain criteria
(e.g., historical relationship, type of assets, anticipated future earning capacity, anticipated future
additional assets, dollar amounts of assets to be managed, related accounts, account composition,
negotiations with Clients, etc.).

For all services, Clients may terminate their engagement with HAI within five (5) business days of
signing an Agreement with no obligation and without penalty. After the initial (5) business days, the
Agreement may be terminated by HAI with thirty (30) days written notice to Client and by the Client

at any time with written notice to HAI. For accounts opened or closed mid-billing period, fees will be
prorated based on the days services are provided during the given period. All unpaid earned fees will
be due to HAI. Additionally, all unearned fees will be refunded to the Client. Any increase in fees will
be acknowledged in writing by both parties before any increase in said fees occurs.

C.      Additional Fees and Conflicts of Interest
The Custodian and Broker/Dealer will charge fees and make money on your account based on the
account type and account activity. These fees will be disclosed to you in your Broker/Dealer customer
agreement which you will execute directly with the custodian and Broker/Dealer (“Brokerage
Customer Agreement”). These fees are not charged by us, they are in addition to the advisory fee you
pay to us, and they are subject to the terms of your Brokerage Customer Agreement between you, the
custodian and Broker/Dealer.

However, the Broker/Dealer Huntleigh Securities Corporation (“HSC”) is our affiliate, which creates
a conflict of interest. Because our affiliated Broker/Dealer will make money on your account, we will
receive an indirect benefit, and therefore we have a conflict of interest where we are incented to
...

Item 7 – Types of Clients & Account Minimums

HAI’s Clients are generally individuals, small businesses, charities, trusts, estates, high net-worth
individuals, Client relationships vary in scope and length of service.

There is no minimum account size and Clients are not required to have a certain amount of
investment experience or sophistication. However, HAI reserves the right to decline to manage any
account, in its sole discretion.