NWK Group Inc

Item 5 – Fees and Compensation

Investment Supervisory Services (“ISS”) Individual Portfolio Management Fees

Our annual fees for Investment Supervisory Services are based upon a percentage of assets under
management and generally range from 1.50% to 0.45%.

The annualized fee for Investment Supervisory Services is charged as a percentage of assets under
management, according to the following schedule:

                Assets Under Management                                Annual Fee
                First $5,000,000                                       1.00%
                Next $5,000,000 to $10,000,000                         0.80%
                Amounts over $10,000,000 +                             0.70%

A minimum of $250,000 of assets under management is required for this service. This account size may be
negotiable under certain circumstances. NWK Group, Inc. may group certain related client accounts for the
purposes of achieving the minimum account size and determining the annualized fee.

Limited Negotiability of Advisory Fees: Although NWK Group, Inc. has established the aforementioned
fee schedule(s), we retain the discretion to negotiate alternative fees on a client-by- client basis. Client facts,
circumstances and needs are considered in determining the fee schedule. These include the complexity of
the client, assets to be placed under management, anticipated future additional assets; related accounts;
portfolio style, account composition, reports, among other factors. The specific annual fee schedule is
identified in the contract between the adviser and each client.

We may group certain related client accounts for the purposes of achieving the minimum account size
requirements and determining the annualized fee.

Discounts, not generally available to our advisory clients, may be offered to family members and friends
of associated persons of our firm.

Pension Consulting Fees

Our fees for Pension Consulting Services are based on a percentage of assets under advisement, according
to the following schedule:

NWK Group, Inc.
Form ADV Part 2A Brochure

                       Assets Under Management                      Annual Fee
                       $15,000 Annual Retainer plus
                            First $10,000,000                       0.15%
                            Next $10,000,000                        0.10%
                            Next $30,000,000                        0.08%
                            Next $50,000,000                        0.06%
                        Amounts over $100,000,000                   0.04%

We charge an annual fee for Pension Consulting Services which ranges from 0.50% to 0.10% of plan assets
depending on the services requested and the size of the plan.

Financial Planning Fees

NWK Group, Inc.'s Financial Planning fee is determined based on the nature of the services being provided
and the complexity of each client’s circumstances. All fees are agreed upon prior to entering into a contract
with any client.

Our Financial Planning fees are calculated and charged on a fixed fee basis, typically ranging from
$500 to $2,500, depending on the specific arrangement reached with the client.

We may request a retainer upon completion of our initial fact-finding session with the client; however,
advance payment will never exceed $500 for work that will not be completed within six months. The
balance is due upon completion of the plan.

Financial Planning Fee Offset: NWK Group, Inc. reserves the discretion to reduce or waive the hourly fee
and/or the minimum fixed fee if a financial planning client chooses to engage us for our Portfolio
Management Services.

The client is billed quarterly in arrears based on actual hours accrued.

General Information

Termination of the Advisory Relationship: A client agreement may be canceled at any time, by either party,
for any reason upon receipt of 30 days written notice. As disclosed above, certain fees are paid in advance
of services provided. Upon termination of any account, any prepaid, unearned fees will be promptly
refunded. In calculating a client’s reimbursement of fees, we will pro rate the reimbursement according to
the number of days remaining in the billing period.

Mutual Fund Fees: All fees paid to NWK Group, Inc. for investment advisory services are separate and
distinct from the fees and expenses charged by mutual funds and/or ETFs to their shareholders. These fees
and expenses are described in each fund's prospectus. These fees will generally include a management fee,
other fund expenses, and a possible distribution fee. If the fund also imposes sales charges, a client may
pay an initial or deferred sales charge. A client could invest in a mutual fund directly, without our services.
In that case, the client would not receive the services provided by our firm which are designed, among other
things, to assist the client in determining which mutual fund or funds are most appropriate to each client's
financial condition and objectives. Accordingly, the client should review both the fees charged by the funds
and our fees to fully understand the total amount of fees to be paid by the client and to thereby evaluate the
advisory services being provided.

NWK Group, Inc.
Form ADV Part 2A Brochure

Billing on Margin: Unless otherwise agreed in writing, the gross amount of assets in the client’s account,
including margin balances, are included as part of assets under management for purposes of calculating the
firm’s advisory fee. Clients should note that this practice will increase total assets under management used
to calculate advisory fees which will in turn increase the amount of fees collected by our firm. This practice
creates a conflict of interest in that our firm has an incentive to use margin in order to increase the amount
of billable assets. At all times, the firm and its Associated Persons strive to uphold their fiduciary duty of
...

Item 7 – Types of Clients

NWK Group, Inc. provides advisory services to the following types of clients:
  • Individuals (other than high net worth individuals)
  • High net worth individuals
  • Pension and profit-sharing plans (other than plan participants)
  • Non-profit organizations

As previously disclosed in Item 5, NWK has established certain initial minimum account requirements,
based on the nature of the service(s) being provided. For a more detailed understanding of those
requirements, please review the disclosures provided in each applicable service.

A minimum of $250,000 of assets under management is required for Investment Supervisory Services
("ISS"). This account size may be negotiable under certain circumstances. NWK may group certain related
client accounts for the purposes of achieving the minimum account size requirements and determining the
annualized fee.

Pre-existing advisory clients are subject to NWK Group, Inc.'s minimum account requirements and
advisory fees in effect at the time the client entered into the advisory relationship. Therefore, NWK's
minimum account requirements will differ among clients.