Lucas Group Financial Advisors LLC

Item 5 - Fees and Compensation
In certain circumstances, all fees, account minimums and their applications to family circumstances
may be negotiable. Advance fee payments will never exceed $500 for work that will not be completed
within six months.

LGFA has contracted with FPAS for services including trade processing, collection of management fees,
record maintenance, report preparation, marketing assistance, and research. LGFA has also contracted
with FPAS for sub-advisory services with respect to clients' accounts. LGFA pays a fee for FPAS services
based on management fees paid to LGFA on accounts which use FPAS. The fee paid by LGFA to FPAS
consists of a portion of the fee paid by clients to LGFA and varies based on the total client assets
administered and/or sub-advised by FPAS through LGFA. These fees are not separately charged to
advisory clients. The fee charged by LGFA to its clients includes all sub-advisory fees charged by FPAS.

The specific manner in which fees are charged by LGFA is established in a client's written agreement with
LGFA. Investment Management and Employee Benefit Plan clients will be invoiced in advance at the

beginning of each calendar quarter based upon the value (market value based on independent, third-
party sources or fair market value in the absence of market value; client account balances on which LGFA
calculates fees may vary from account custodial statements based on independent valuations and other
accounting variances, including mechanisms for including accrued interest in account statements) of
the client's account at the end of the previous quarter. New accounts are charged a prorated fee for the
remainder of the quarter in which the account is incepted (date of first trade).

For accounts where SEI serves as custodian, SEI will provide services including trade processing,
collection of management fees, record maintenance, report preparation, marketing assistance, and
research. SEI charges an additional “Management Fee” that is separate from the Advisor Fee and varies
based on the client’s individual account. The “Management Fee” will be disclosed to the client on the
investment proposal prior to opening an account with SEI. For purposes of calculating fees, SEI deducts
fees in arrears for the previous quarter. New accounts are charged a prorated fee from inception until the
next billing date.

For Investment Management and Employee Benefit Plan Services, LGFA will request authority from the
client to receive quarterly payments directly from the client's account held by an independent custodian.
Clients may provide written limited authorization to LGFA or its designated service provider, FPAS, to
withdraw fees from the account. Clients will receive custodial statements showing the advisory fees
debited from their account(s). Certain third-party administrators will calculate and debit LGFA's fee and
remit such fee to LGFA.

A client agreement may be canceled at any time by the client for any reason. LGFA must provide 30 days
written notice to terminate an agreement. Upon termination of any account, any prepaid, unearned fees
will be promptly refunded. The client has the right to terminate an agreement without penalty within five
business days after entering into the agreement, regardless of whether or not the disclosure information
is delivered within 48 hours prior to entering the contract.

LGFA's fees are exclusive of brokerage commissions, transaction fees, and other related costs and
expenses which shall be incurred by the client. Clients may incur certain charges imposed by custodians,
brokers, third party investment and other third parties such as fees charged by managers, custodial fees,
odd-lot differentials, transfer taxes, wire transfer and electronic fund fees, and other fees and taxes on
brokerage accounts and securities transactions. Mutual funds and exchange traded funds also charge
internal management fees, which are disclosed in a fund's prospectus. These fees will generally include a
management fee and other fund expenses. All fees paid to LGFA for investment advisory services are
separate and distinct from the fees and expenses charged by mutual funds and ETFs to their
shareholders.

Such charges, fees and commissions are exclusive of and in addition to LGFA's fee, and LGFA shall not
receive any portion of these commissions, fees, and costs.

Advisory Services to Brokerage Customers

LGFA receives an advisory fee based on the Assets Under Management from Brokerage Customers who
have provided written consent to a broker-dealer (Mutual Securities) to receive the investment advisory
service from LGFA and have entered into a written advisory contract with LGFA. The advisory fee is

calculated in advance based on the value of the Assets Under Management from Brokerage Customers
as of the end of the previous quarter. The maximum advisory fee will not exceed 1% annually. This
advisory fee is paid by the broker-dealer and is not charged to the client separately.

Advisory Fees

The annual fee for investment management services will be charged as a percentage of assets under
management, according to the schedule on the client’s personal Advisory Agreement. LGFA’s standard
fee schedule is:

                   Assets Under Management                   Annual Fee (%)
                        $0 - $499,999.99                        1.25%
                     $500,000 - $999,999.99                     1.00%
                  $1,000,000.00 - $1,999,999.99                 0.90%
                  $2,000,000.00 - $2,999,999.99                 0.80%
                  $3,000,000.00 - $3,999,999.99                 0.70%
                      $4,000,000 and above                      0.60%

LGFA has a minimum account size requirement of $300,000 for investment advisory services, which is
negotiable.

All accounts for members of the client's family (husband, wife and dependent children) or related
...

Item 7 - Types of Clients
LGFA provides services to individuals, trusts, charitable organizations, foundations, corporations and
broker dealers.

LGFA generally requires a minimum account size of $300,000 for Investment Management Services.