NVWM LLC

Item 5. FEES AND COMPENSATION
Financial Planning and Consulting Fees:
Ventura Wealth’s financial planning and consulting fees are negotiable, but generally range from $250
to $500 on an hourly rate basis, and from $2,500 to $12,500 on a fixed fee basis, depending upon the
level and scope of the service(s) required and the professional(s) rendering the service(s). Prior to
engaging Ventura Wealth to provide financial planning or consulting services, clients will be required
to enter into a Financial Planning and Consulting Agreement with Ventura Wealth setting forth the terms
and conditions of the engagement, describing the scope of the services to be provided, and the portion
of the fee that is due from the client prior to Ventura Wealth commencing services.

Ventura Wealth Management (IARD # 152301)
March 2026

Investment Management Fees:
Ventura Wealth’s investment management fee schedule (“Advisory Fees”) for accounts managed by
Ventura Wealth is based on a percentage of assets (generally net of any debit balances) and is set forth
below. The Advisory Fees represent the highest fee that may be charged absent special circumstances:

Advisory Assets                                                Annual Fee
0 - $500,000                                                      1.50%
$500,001 - $1,000,000                                             1.25%
$1,000,001 - $5,000,000+                                           1.00%

Ventura Wealth’s Advisory Fees shall also be prorated and paid quarterly, in advance, based upon the
market value of the assets on the last business day of the previous quarter. Ventura Wealth’s actual
fees may be negotiated, and a client may pay more or less than similar clients depending on the
particular circumstances of the client, which may include considerations related to size of the client’s
account, additional and/or differing levels of service or as negotiated. Clients that negotiate fees may
end up paying a higher fee than that set forth in the fee schedules above as a result of fluctuations in
the client’s assets under management and/or account performance.

Ventura Wealth will generally recommend a broker-dealer/custodian for a client’s investment
management assets. In addition to the investment management fee, the client may incur brokerage
commissions and/or transaction fees for effecting certain securities transactions (i.e., transaction fees
are charged for certain no-load mutual funds, commissions are charged for individual securities
transactions). In addition, the client will also incur, relative to all mutual fund and exchange traded
fund purchases, charges imposed at the fund level (e.g., management fees and other fund expenses).
Client may also incur additional investment management fees assessed by independent managers.

Item 7. TYPES OF CLIENTS
Ventura Wealth provides investment advisory services to Individuals and High Net Worth Individuals;
Trusts, Estates, Charitable Organizations; Corporations; and Pension Plans & 401(k)

Minimum Account Size
As a condition for starting and maintaining a relationship, Ventura Wealth generally imposes a
minimum portfolio size of $500,000 for its Investment Management Services. Ventura Wealth, in its
sole discretion, may accept clients with smaller portfolios based upon certain criteria including
anticipated future earning capacity, anticipated future additional assets, dollar amount of assets to be
managed, related accounts, account composition, pre-existing client, account retention, and pro bono
activities. Ventura Wealth only accepts clients with less than the minimum portfolio size if, in its sole
opinion, the smaller portfolio size will not cause a substantial increase in investment risk beyond the
client’s identified risk tolerance.

Ventura Wealth Management (IARD # 152301)
March 2026