Oceanis Financial Advisors Inc

Item 5 – Fees and Compensation

Type of Compensation
OFA is compensated for the investment services provided based upon a percentage of the portfolio
assets under management. The fee schedule is set out below:
Fee schedule:
Assets                          Rate
Up to $1M                      2.00%
$1M – $2.5M                    1.75%
$2.5 - $5M                     1.50%
$5M – $25M                     1.25%
Over $25M                      1.00%
OFA does not charge separately for financial planning services; this is included in the annual fee.
All fees are subject to negotiation. The amounts and specific manner in which fees are charged are
negotiated and memorialized in OFA’s contracts with our clients, and we generally bill our fees
on a quarterly basis, in advance.
Clients generally authorize us to directly debit fees from their accounts. Accounts initiated or
terminated during a calendar quarter will be charged a prorated fee. Generally, investment advisory
contracts may be terminated by clients at any time.

Transaction Costs
Our 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, deferred sales charges, 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. See also Brokerage Practices and Referral
Arrangements and Other Compensation for a description of additional compensation received by
OFA and for a description of factors that OFA considers in selecting or recommending broker-
dealers for client transactions and determining the reasonableness of their compensation (e.g.,
commissions).

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Termination
The relationship between parties may be terminated by either party upon 30 days’ written notice.
Notwithstanding the above, if the appropriate disclosure statement was not delivered to the client
at least 48 hours prior to the client entering into any written or oral advisory agreement with this
investment adviser, then the client has the right to terminate the relationship, without penalty,
within five (5) business days after entering into the agreement. If the relationship is terminated in
the middle of a quarter and client has prepaid the quarterly fee, OFA will reimburse client a
percentage of the prepaid fee that equals that part of the quarter that remains after the 30-day notice
is satisfied, on a pro rata basis.

Item 7 – Types of Clients

Client Profile
We offer portfolio management investment advice to the following types of clients:
       •         Individuals
       •         Families
       •         High net worth individuals
       •         High net worth families
       •         Corporations
       •         Trusts

Account Requirements
OFA generally requires Client's managed assets to consist initially of cash and securities with a
minimum asset value of no less than $50,000, unless OFA in its sole discretion, agrees to accept a
Client's managed assets with a lesser value.