Openarc Corporate Advisory LLC

Item 5: Fees & Compensation

Compensation for Our Advisory Services

Wealth Management Services:
The maximum annual fee charged for this service will not exceed 1.75%. Fees to be assessed will
be outlined in the advisory agreement to be signed by the Client. Annualized fees are billed on a
pro-rata basis quarterly in advance based on the value of the account(s) on the last day of the
previous quarter. There can be immaterial differences between the quarter end market value
reflected on your custodial statement and the valuation as of the last business day of the calendar
quarter used for billing purposes, given timing and account activity.

Fees will be deducted from client account(s). Adjustments will be made for deposits and
withdrawals during the quarter that are more than $100,000. Our firm can offer direct invoicing in
rare cases. If the advisory agreement is executed at any time other than the first day of the
calendar quarter, our fees will apply on a pro-rata basis, which means that the advisory fee is
payable in proportion to the number of days in the quarter for which the individual is our Client.
Our advisory fee is negotiable, depending on individual Client circumstances and account type.

At our discretion, we may combine the account values of family members living in the same
household to determine the applicable advisory fee. For example, we may combine account
values for Client and Client’s minor children, joint accounts with Client’s spouse, and other types
ADV Part 2A – Firm Brochure                    Page 9                          OpenArc Corporate Advisory, LLC

of related accounts. Combining account values may increase the asset total, which may result in
your paying a reduced advisory fee. Our firm will deduct our fee directly from your account through
the qualified custodian holding your funds and securities. Our firm will deduct our advisory fee
only when you have given our firm written authorization permitting the fees to be paid directly from
your account. Further, the qualified custodian will deliver an account statement to you at least
quarterly. These account statements will show all disbursements from your account. You should
review all statements for accuracy.

Financial Planning and Consulting Services:
Our firm charges on an hourly or flat fee basis for financial planning and consulting services. The
total estimated fee, as well as the ultimate fee charged, is based on the scope and complexity of
our engagement with the client. The maximum hourly fee to be charged will not exceed $350. Flat
fees range from $1,500 to $10,000. The fee-paying arrangements will be determined on a case-
by-case basis and will be detailed in the signed consulting agreement. Our firm will not require a
retainer exceeding $1,200 when services cannot be rendered within 6 months.

Institutional Retirement Services:
Generally, the firm is compensated for Retirement Plan Consulting and Retirement Plan Asset
Management by the Plan Sponsor. Our fees are generally negotiable and depend upon the
complexity of the services requested and will be disclosed and agreed upon in a fee schedule that
accompanies an Investment Advisory Agreement. All Institutional Retirement and Investment
Management services are charged a fee as mutually agreed upon in a written agreement between
the firm and the client, which may be amended from time to time in accordance with the terms of
the specific agreement. Our fees are billed on a pro-rata annualized basis quarterly in arrears
based on a fixed fee or based on the total assets of the Plan for Asset based pricing on the last
day of the previous quarter. The fee-paying arrangements for Retirement Plan Consulting services
will be determined on a case-by-case basis and will be detailed in the signed Retirement Plan
Consulting Agreement. The Plan will be invoiced directly for the fees.

Assets Held Away From Our Firm:
For assets held at a custodian that is not directly accessible by our firm ("Held Away Accounts"),
we may, but are not required to, manage these Held Away Accounts using the Pontera Order
Management System ("Pontera") that allows our firm to view and manage assets. Our annual fee
for investment management services for held away accounts will follow our Wealth Management
fee schedule and termination instructions as noted in the Investment Management Agreement.
Our advisory fees will not be deducted directly from the accounts managed through the Pontera
Order Management System. Clients will give written authorization to deduct the fee from another
non-qualified account managed by our firm, in which case, the advisory fee would be deducted
from this account each quarter. Fees will be based upon your negotiated fee in accordance to
our wealth management fee schedule and your Agreement. The client does not pay an additional
fee for Pontera. Further, the qualified custodian will deliver an account statement to you at least
quarterly. These account statements will show all disbursements from your account. You should
review all statements and invoices for accuracy. Our firm pays 0.20% from our advisory fee to
Pontera. Due to the use of Pontera, you will not pay our firm a higher advisory fee other than what
is listed in the Agreement.

Fee Based Insurance:
The fee charged for using Fee Based Insurance products will be part of the Firm’s Investment
Management Agreement and/or be compensated by the third-party company for the Firm’s share
as agreed upon between the third-party company and the Firm. This compensation will be
ADV Part 2A – Firm Brochure                  Page 10                       OpenArc Corporate Advisory, LLC

disclosed to the client upon purchase/exchange of the insurance product.
Dynasty Network:
As discussed above in Item 4, we use Dynasty's TAMP services. While the Dynasty Program Fee
is included in the annual investment management fee, the Third-Party Manager related charges
...

Item 7: Types of Clients & Account Requirements

Client Types:
Our firm has the following Client types: Individuals and High Net Worth Individuals; Trusts, Estates
or Charitable Organizations; Pension, Retirement Plans, and Profit Sharing Plans; Corporations,
Limited Liability Companies and/or Other Business Types.

Account Requirements:
Our firm has the following account requirements:

In general, we do not require a minimum dollar amount to open and maintain an advisory account.