Old Oak Financial Planning Inc

Item 5 – Fees and Compensation (All fees are subject to negotiation.)
 Comprehensive Financial Planning fees are for the data and design of a detailed financial
plan, tailored to the individual needs of clients. The amount of the fee depends on the complexity
of the financial plan. The minimum fee is $800. These fees are not deducted from client’s assets.
One half of the fee is payable upon the signing of this agreement and the balance is due upon
delivery of the written financial plan. Advanced fee payments will not exceed $1,200 for work
that will not be completed within six months.
 Investment Management fees are generally billed on a quarterly basis. Clients are billed in
advance each calendar quarter and the fees are directly debited from client accounts.
 Management fees shall be prorated for each capital contribution and withdrawals made during
the applicable calendar quarter. Accounts initiated or terminated during a calendar quarter will
be charged a prorated fee. Upon termination of any account, any prepaid, unearned fees will be
promptly refunded, and any earned, unpaid fees will be due and payable.
 Our negotiable fee schedule is as follows:

       $0 - $500,000                  1.25% of the investment account balance
       $500,000 - $1 million          1.00% of the investment account balance
       $1 million plus                 .75% of the investment account balance

 Old Oak’s investment management fees are exclusive of brokerage commissions, transaction
fees, and other related costs and expenses which may be incurred by the client. Clients may incur
certain charges imposed by custodians, brokers, or third parties. Third party charges include
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.

Such charges, fees and commissions are exclusive of and in addition to Old Oak’s fee and Old
Oak does not receive any portion of these commissions, fees, and costs.
 Item 12 further describes the factors that Old Oak considers in selecting or recommending
broker-dealers for client transactions and determining the reasonableness of their
compensation (e.g., commissions).
 Old Oak primarily recommends “no load” mutual funds, exchange traded funds (ETFs) and
individual stocks and bonds. Clients have the option to purchase investment products that
we recommend through other brokers or agents that are not affiliated with Old Oak.
 Hourly Fees are $125 per hour. This fee is for services such as financial plan reviews,
monitoring of client’s current financial situation (i.e. household budget, net worth
statement), specific planning items (i.e. calculation of IRA required minimum distributions)
and entry level planning situations.

Item 7 – Types of Clients
 Old Oak provides portfolio management services to individuals and high net worth
individuals. We do not have a minimum account size for opening or maintaining an account.