Oasis Wealth Planning Advisors LLC

Item 5 – Fees and Compensation
Oasis Wealth Planning Advisors, LLC is a fee-only firm. The firm is compensated solely by
professional fees received from clients. Neither Oasis Planning nor any related person
receives compensation that is contingent on the purchase or sale of a financial product.
Neither Oasis Planning nor any related person accepts any sales commissions, referral fees,
service fees or other forms of compensation from any third party. Fees can be negotiable;
the specific fee arrangement for each client is established in the client’s written agreement
with Oasis Planning.

There are clients (“Legacy Clients”) who work with Oasis Planning who receive services
under additional engagement types that include differing fees, services, and authority
(“Legacy Services”). The Legacy Services that these Legacy Clients receive are no longer on
offer by Oasis Planning.

Wealth Planning Service
Fees for Wealth Planning Services are determined as follows and are meant to provide
flexibility in serving a range of client needs based on their stage in life. Fees are charged as
a combination of a flat fee for financial planning services and a tiered fee for Investment
Management Service.

A client’s financial planning fee is based on several factors capturing scope and complexity
of the client’s planning needs, including but not limited to the client’s tax filing status, the
nature of the client’s income and assets, the complexity of the client’s personal and financial
situation, the time and costs anticipated to perform client services, and the level or
responsibility assumed by Oasis Planning. An assessment of these factors, none of which is
definitive, determines the client’s appropriate service level. Since fees are based on a
client’s unique situation, fees are generally not negotiable, but in certain cases fees and
payments are modified for unique circumstances at the sole discretion of Oasis Planning.

For the portion of the Wealth Planning fee charged for financial planning services, the initial
year’s fee ranges from $3,000 to $40,000, with a renewal year fee ranging between $1,500

Oasis Wealth Planning Advisors, LLC                                                        9

to $30,000. The portion of the Wealth Planning fee charged for financial planning is
collected quarterly, in advance. Oasis Planning accepts payment via check, ACH, a third-
party vendor or through a direct fee deduction from the assets in the account being
overseen by Oasis Planning.

The fee for investment management services is charged according to the following fee
schedule and billed quarterly in advance based on the value of the securities Oasis Planning
directly manages as of the last day of the preceding calendar quarter. The fee may be billed
in arrears if requested by the client and agreed to by Oasis Planning.

 Investment Management Service
 Assets Under Management                         Annual Fee
 Up to $2,000,000                                0.75%
 $2,000,000 to $4,000,000                        0.50%
 $4,000,000 to $7,000,000                        0.35%
 $7,000,000 to $10,000,000                       0.25%
 $10,000,000 and up                              0.15%

Oasis Planning considers cash to be an asset class and an important part of a client’s
allocation, especially when nearing or in retirement. We include cash and cash equivalents
in our fee calculation, except when the client asks us to hold a specific amount of cash rather
than distribute it to them.

There is a minimum fee associated with this service of $10,000 annually ($2500/quarter) for
clients whose combined financial planning and investment management fee do not exceed
$10,000. Oasis Planning may, in its sole discretion, waive the minimum fee based on the unique
circumstances of the client.

For individual clients, clients may elect to have Oasis Planning’s fees deducted from their
custodial accounts. For clients who pay through a deduction from their account, their
agreement with Oasis Planning and the custodial/clearing agreement will authorize the
custodian to debit the account for Oasis Planning’s fee and to directly remit that fee to Oasis
Planning in compliance with regulatory procedures. If Oasis Planning bills the client directly,
payment is due upon receipt of Oasis Planning’s invoice. Oasis Planning accepts payment
directly via a third-party vendor.

When tax return preparation is provided as part of the Wealth Planning Service, the
minimum fee for a client’s tax return preparation is $400 with higher fees for more complex
tax situations. A minimum fee of $300 is assessed for each amended tax return prepared,
if applicable. Tax returns prepared for dependents of the client are subject to the minimum
fees stated above.

The first payment is due upon execution of the engagement agreement. Oasis charges a
pro-rated portion of the initial quarter’s fee based on how many days are left in the quarter

Oasis Wealth Planning Advisors, LLC                                                       10

from the date of the engagement agreement if the engagement begins on a day other than
the start of a calendar quarter. Partial quarters will be charged a pro-rated fee in advance
according to the total number of days based on the initial account value. If advisory services
are terminated, Oasis Planning will issue a pro-rated refund of any prepaid, unearned fees
for the quarter.

Oasis Planning, in its sole discretion, will accept payments at more frequent intervals (e.g.,
monthly) based on client circumstances and will document that arrangement in the client’s
agreement. Oasis Planning does not accept prepayments of $1,200.00 or more six (6)
months or more in advance.

Financial Planning Assessment and Retirement Readiness Assessment
Oasis Planning charges a flat fee for this service depending on the client’s financial
situation, the complexity of the project, and the estimated amount of time required to
...

Item 7 – Types of Clients
Oasis Planning provides financial planning and investment advisory services to individuals,
families, and business owners. Oasis Planning strives to work with a diverse clientele.
There is no minimum net worth or asset level requirement; however, Oasis Planning may
impose a minimum fee for services as described in Item 5 above.