Littlejohn Financial Services Inc

Item 5 – Fees and Compensation

The following paragraphs detail the fee structure and compensation methodology for services provided by the
Advisor. Each Client engaging the Advisor for services described herein shall be required to enter into one or more
agreements with the Advisor.

A. Fees for Advisory Services
Account Portfolio Management
Investment advisory fees are paid at the end of each month. Relationships with multiple objectives, specific
reporting requirements, portfolio restrictions and other complexities may be charged a higher fee.

                                             Littlejohn Financial Services, Inc.
                                  2000 West Harvard Avenue, Suite 100 * Roseburg, OR 97471
                                        Phone: (541) 375-0898 | Fax: (888) 489-7557
                                                     www.littlejohnfs.com

Investment advisory fees based on the following schedule:

                 Assets Under Management ($)               Annual Rate (%)
                  $5,000 to $50,,000                    2.00%
                  $50,000 – $100,000                    1.50%
                  $100,000 to $250,000                  1.40%
                  $250,000 to $500,000                  1.25%
                  $500,000 to $1,000,000                1.00%
                  $1,000,000 to $2,000,000              0.85%
                  $2,000,000 to $3,000,000              0.60%
                  Over $3,000,000                       0.50%
                 *Certain legacy clients may have fee schedules that differ than the schedule above.

The investment advisory fee in the first month of service is prorated to the inception date of the account[s] to the
end of the first month. Fees may be negotiable at the sole discretion of the Advisor. The Client’s fees will take into
consideration the aggregate assets under management with the Advisor. All securities held in accounts managed
by LFS will be independently valued by the Custodian. The Advisor will conduct periodic reviews of the Custodian’s
valuation to ensure accurate billing.

The Advisor’s fee is exclusive of, and in addition to any applicable securities transaction and custody fees, and
other related costs and expenses described in Item 5.C. below, which may be incurred by the Client. However, the
Advisor shall not receive any portion of these commissions, fees, and costs.

Financial Planning and Consulting Services
LFS offers financial planning or consulting services either on an hourly or fixed fee basis. Hourly fees range up to
$350. Fixed fees are based on the number or hours expected to complete the project at the hourly rate. For
assistance with the wills and trust paperwork, the Advisor’s fees range from $750 to $2,000. Fees may be
negotiable depending on the nature and complexity of the services to be provided and the overall relationship with
the Advisor. An estimate for total hours and overall costs will be provided prior to engaging for these services. The
minimum engagement fee for financial planning or consulting engagements is $300.

Retirement Plan Advisory Services
Fees for retirement plan advisory services are charged an annual asset-based fee of up to 1.00% and are billed at
the end of each month, pursuant to the terms of the retirement plan advisory agreement. Retirement plan advisory
fees are based on the market value of assets under management at the end of the month. In instances where LFS
assists retirement plans with initial set-up and onboarding, the new retirement plans will be charged a one-time
inception fee of $2,500. Fees may be negotiable depending on the size and complexity of the Plan.

B. Fee Billing
Account Portfolio Management
The investment advisory fee will be calculated by the Advisor or its delegate and deducted from the Client’s
account[s] at the Custodian. The Advisor shall send an invoice to the Custodian indicating the amount of the fees to
be deducted from the Client’s account[s] at the respective month-end date. The amount due is calculated by
applying the monthly rate (annual rate divided by 12) to the total assets under management with LFS at the end of
each month. Clients will be provided with a statement or comparable electronic documentation, at least monthly,
from the Custodian reflecting deduction of the investment advisory fee. Clients are urged to also review the
brokerage statement from the Custodian, as the Custodian does not perform a verification of fees. Clients provide
written authorization permitting advisory fees to be deducted by LFS to be paid directly from their accounts held by
the Custodian as part of the investment advisory agreement and separate account forms provided by the
Custodian.

Financial Planning and Consulting Services
Financial planning fees are invoiced by the Advisor and are due upon completion of the agreed upon deliverable[s].
Fees for wills and trust paperwork assistance are due upon completion of the agreed upon deliverable[s]. The
Advisors acceptable forms of payment are check or credit card.

                                            Littlejohn Financial Services, Inc.
                                 2000 West Harvard Avenue, Suite 100 * Roseburg, OR 97471
                                       Phone: (541) 375-0898 | Fax: (888) 489-7557
                                                    www.littlejohnfs.com

Retirement Plan Advisory Services
Retirement plan advisory fees may be directly invoiced to the Plan Sponsor or deducted from the assets of the
Plan, depending on the terms of the retirement plan advisory agreement.

C. Other Fees and Expenses
Clients may incur certain fees or charges imposed by third-parties, other than LFS, in connection with investment
made on behalf of the Client’s account[s], as applicable. The Client is responsible for all custody and securities
execution fees charged by the Custodian. The investment advisory fee charged by LFS is separate and distinct
...

Item 7 – Types of Clients

LFS provides investment advisory services to the following types of Clients:

    •    Individuals, Personal Trusts and Estates – private investors, investing their personal assets
    •    Corporations, Businesses – taxable business entities, investing cash reserves
    •    Non-Profit Organizations – non-taxable entities, investing endowment funds
    •    Pension and Profit-Sharing Plans – an employer defined contribution plan

LFS generally does not impose a minimum size for establishing a relationship.