Indfin LLC

ITEM 5 – FEES AND COMPENSATION
    5a, b, c & d: Fee Schedules, Payments & Options
    Investment Management

                     ASSETS UNDER MANAGEMENT                                                 ANNUAL FEE (%)

                             First $100,000                                                       1.00%
                             Next $400,000                                                        0.65%
                             Next $500,000                                                        0.40%
                          Excess over $1 Million                                                  0.20%

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     Fees are negotiable. Fees may differ based on a number of factors:

            •    Size of the relationship – Larger accounts may receive more favorable pricing.
            •    Accounts within the same household will be combined under a signed householding form for a reduced
                 fee unless the client instructs otherwise.
            •    Less active accounts may receive more favorable pricing.
            •    Our employees and their family related accounts are charged a reduced fee for services.

    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.

    Compensation for our services will be calculated in accordance with what is set in the client agreement. We may
    modify the terms of any agreement by written changes submitted to the client for signature. While we strive to maintain
    competitive fees, the same or similar services may be available from other firms at higher or lower fees.

    IndFin LLC fees are paid quarterly in arrears, with payment due within 10 days from the date of the invoice. When
    authorized by you in the advisory agreement, IndFin LLC fees are paid from your account by the custodian when we submit
    an invoice to them. If there is insufficient cash in your account to pay your fees, an equal balance of securities in your
    portfolio may be sold to pay our fee. In addition to our fees, there may be custodial, mutual fund, 12b‐1 fees or similar
    charges.

    For fees based on assets under management, our fee is determined by taking the percentage rate we charge, divided by
    four, multiplied by the market value of the account. The market value is the sum of the values of all assets in the account,
    not adjusted by any margin debit. In cases where there are partial fees at the commencement or termination of our
    agreement, they will be billed or refunded on a pro-rated basis contingent on the number of days. Quarterly fee
    adjustments for additional assets received into the account during a quarter or for partial withdrawals will also be provided
    on the above pro rata basis.

    Clients may cancel the Advisory Agreement within 5 business days of entering into the contract, without penalty.

    Comprehensive Financial Plans
    Fees for financial planning services are based on a flat rate varying with the complexity of the issues that need to be addressed
    and can range from $1000 to $6000. These arrangements will be defined and agreed upon by both parties via the
    agreement.

    As-Needed Services/Advisory Consulting Services
    As needed services are billed as follows:
        •       $250 per hour; or
        •       Flat annual fee for unlimited as-need services (for many clients, this is incorporated as part of a flat annual
                agreement that also covers Investment Management Services and ongoing planning services); Arrangements will
                be defined and agreed upon by both parties via the agreement and will not change during the course of the
                contract year.
                The fee will depend on the anticipated scope of services and complexity of Client's financial situation. The fee
                will be billed in equal quarterly installments each at the end of each quarter. Client may terminate the agreement
                at any time with no further financial obligation.

    Lower fees for comparable services may be available from other sources. If a conflict exists between the interests of the

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    Adviser or its associated persons and the interest of the client, the client is under no obligation to act upon this Advisor's
    or associated person's recommendations. If the client elects to act on any of the recommendations, the client is under no
    obligation to affect the transaction through the Advisor or its associated person when the person is an agent with a licensed
    broker‐dealer or through any associate or affiliate of such person.

    5c: Third Party Fees

    All brokerage commissions, stock transfer fees, 12b‐1 fees and other similar 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. While we take measures to ensure the fees charged are accurate, it is your responsibility to ensure the
    amount of fee charged is correct. In addition to statements sent by us, you will receive statements directly from these
    brokers, custodians or mutual funds or other investments you hold. We strongly urge you to compare these statements
    for accuracy.

    5.d: Termination
    Either IndFin LLC or our clients can terminate our agreement upon receipt of written notice to the other party, to include
    written agreement to changes by the client.

    When an agreement is terminated, we will refund any pre‐paid, unearned fees based on the number of days remaining in
...

ITEM 7 – TYPES OF CLIENTS
    IndFin LLC generally provides asset management and financial planning services to the following types of clients:

        ▪      Individuals
        ▪      High‐Net‐Worth Individuals
        ▪      Corporations

    Minimum Account Size

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    IndFin LLC does not have an account minimum. However, we may decline to accept clients with smaller portfolios.