Legacy PCG LLC

ITEM 5 - FEES AND COMPENSATION
 Legacy PCG offers services on a fee basis, which may include fixed fees, as well as fees based
 upon assets under management.

 Fee Schedule
 Financial Planning Services Fees

 Financial planning is offered on an hourly or negotiated fixed fee basis. The payment is due upon
 delivery of the plan. If the client cancels within five (5) business days, no fees will be due. If a client
 cancels after five (5) business days, Advisor is entitled to any earned fees and will bill the client.
 Services are completed and delivered inside of forty-five (45) days.
 These fees are negotiable, but generally range from $1,500 to $15,000, depending upon the
 scope and complexity of the services and the professional rendering the financial planning
 and/or the consulting services. If the client engages the Firm for additional investment advisory
 services, Legacy PCG may offset all or a portion of its fees for those services based upon the
 amount paid for the financial planning and/or consulting services.

 The terms and conditions of the financial planning and/or consulting engagement are set forth
 in the Advisory Agreement, and Legacy PCG generally requires one-half of the fee (estimated
 hourly or fixed) payable upon execution of the Advisory Agreement. The outstanding balance
 is generally due upon delivery of the financial plan or completion of the agreed upon services.
 The Firm does not, however, take receipt of $1,200 or more in prepaid fees more than six
 months in advance of services rendered. A conflict could exist between the interest of the
 principal of Advisor and the interest of the client. Under California Code of Regulations, 10 CCR
 Section 260.235.2, it requires that the conflict of interest, which exists between the interests of
 the investment advisor and the interests of the client when offering financial planning services,
 be disclosed. The client is under no obligation to act upon our recommendation and if the client
 elects to act on any of Advisor’s recommendations, the client is under no obligation to effect the
 transaction through Advisor.

 Investment Management Services Fees
 Legacy PCG offers investment management services for an annual fee based on the amount
 of assets under the Firm’s management. This management fee generally varies between 50
 and 100 basis points (0.50% – 1.00%), depending upon the size and composition of a client’s
 portfolio and the type of services rendered. The Firm can be engaged to provide wealth
 management services where the financial planning services are included as part of the
 investment management fees.

 The annual fee is prorated and charged quarterly, in advance, based upon the market value of
 the assets being managed by Legacy PCG on the last day of the previous billing period. For the
 initial period of an engagement, the fee is calculated on a pro rata basis. In the event the advisory
 agreement is terminated, the fee for the final billing period is prorated through the effective date

of the termination and the outstanding or unearned portion of the fee is charged or refunded to
the client, as appropriate.

Additionally, for asset management services the Firm provides with respect to certain client
holdings (e.g., held-away assets, accommodation accounts, alternative investments, etc.), Legacy
PCG may negotiate a fee rate that differs from the range set forth above.

Retirement Plan Consulting Fees
Legacy PCG generally charges as fixed project-based fee to provide clients with retirement plan
consulting services. Each engagement is individually negotiated and tailored to accommodate the
needs of the individual plan sponsor, as memorialized in the Agreement. These fees vary, based
on the scope of the services to be rendered, and typically range between 25 and 75 basis points
(0.25% – 0.75%), depending upon the services provided and the amount of assets to be managed.

Advisory Fees for Sub-Advisory Relationships
For sub-advised accounts, Legacy PCG accommodates both advance and arrears billing. Billing
“in advance” or “in arrears” is on a monthly basis, based upon on the average daily balance of the
account(s) during the current billing period. The fee is calculated by multiplying the portfolio value
by the contracted rate. Typically, the fee is one month of the annual fee, but for new accounts,
days are subtracted for billing in arrears or one time added for billing in advance to reflect the
proper number of days managed. Frequency and timing of billing is determined by the applicable
sub-advisory agreement. Such fees are generally charged by directly debiting the end- investor’s
custodial accounts although this may vary by agreement. Clients should contact their custodian for
more information relating to the deduction of fees from their accounts.

Fee Discretion
Legacy PCG may, in its sole discretion, negotiate to charge a lesser fee based upon certain
criteria, such as anticipated future earning capacity, anticipated future additional assets, dollar
amount of assets to be managed, related accounts, account composition, pre-existing/legacy
client relationship, account retention and pro bono activities.

Additional Fees and Expenses
In addition to the advisory fees paid to Legacy PCG, clients may also incur certain charges imposed
by other third parties, such as broker-dealers, custodians, trust companies, banks and other
financial institutions (collectively “Financial Institutions”). These additional charges may include
securities brokerage commissions, transaction fees, custodial fees, fees attributable to alternative
assets, fees charged by the Independent Managers, margin costs, charges imposed directly by a
mutual fund or ETF in a client’s account, as disclosed in the fund’s prospectus (e.g., fund
management fees and other fund expenses), deferred sales charges, odd-lot differentials, transfer
taxes, wire transfer and electronic fund fees, and other fees and taxes on brokerage accounts and
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ITEM 7 - TYPES OF CLIENTS
Legacy PCG offers services to individuals (including high net worth individuals), pension and profit
sharing plans, trusts, estates, and charitable organizations.

Minimum Account Requirements
Legacy PCG does not impose a stated minimum fee or minimum portfolio value for starting and
maintaining an investment management relationship. Certain Independent Managers may, however,
impose more restrictive account requirements and billing practices from the Firm. In these instances,
Legacy PCG may alter its corresponding account requirements and/or billing practices to
accommodate those of the Independent Managers.