Pacific Global Investment Management Company

Item 5        Fees and Compensation

Advisory Fees – SMAs
Pacific Global charges each SMA client an annual investment management fee based on the value of the client’s
assets under management in accordance with the following blended tier fee schedule:
        Up to $1 million in net assets under management: 1.25%
        Next $2.5 million: 1.00%
        Next $2.5 million: 0.75%

PACIFIC GLOBAL FORM ADV PART 2A                                                               AUGUST 5, 2026

       Next $5.0 million: 0.65%
       $11 million and above: 0.50%

As shown in the fee schedule above, Pacific Global provides for “breakpoints” at which the percentage is
reduced if assets under management exceed certain amounts. For example, a client with a $2 million dollar
portfolio would annually pay 1.25% on the first $1 million dollars ($12,500) and 1.00% on the second $1 million
dollars ($10,000) for a total annual fee of $22,500.

The specific manner in which fees are charged and paid is established in each client’s IMA. In most cases, fees
are payable quarterly, in advance. For certain accounts with assets below the minimum account size, the
Adviser may charge a minimum quarterly fee. In no event, however, will fees be paid more than six months in
advance. Lower fees for comparable services may be available from other companies. The initial fee is based on
the account’s market value at the inception of Pacific Global’s management and is prorated for the number of
days in the period that the account is under Pacific Global’s management. Subsequent fees are based on the
account’s market value as of the close of business on the last business day preceding the period for which the
fee is due.

The payment schedule and fees may be negotiated. As such, some existing clients pay fees that are different
from the fees shown above. As a result, one client’s fee may be higher or lower than another client’s fee for
similarly valued accounts. Fees may be negotiated (either up or down) based on a number of factors, including
(among others): (1) the number and type of services provided; (2) the investment strategy or style, types of
investment securities and number of portfolios or accounts for which services are provided; (3) the level of
reporting and administrative operations required to service the client’s account; (4) the terms of the IMA; and
(5) other circumstances concerning Pacific Global’s relationship with the client. Once Pacific Global enters into
an IMA with a client, Pacific Global will only modify its fee as permitted under the IMA and consistent with
applicable law.

Clients generally authorize Pacific Global to withdraw quarterly management fees directly from their accounts.
PG in its sole discretion may agree to allow a client to pay the quarterly management fee by check. If the client
pays the fee by check, we issue an invoice which is payable within 30 days of receipt. Even if we have agreed to
allow a client to pay the fee by check, the IMA provides that Pacific Global shall have the authority to withdraw
quarterly management fees (or any unpaid portion thereof) from the client’s account if the quarterly
management fee (or any portion thereof) is not paid within 30 days after the client receives an invoice from
Pacific Global.

The IMA may be terminated for any reason at any time upon seven (7) days prior written notice by either party.
If an IMA is terminated prior to the end of a management period, the client receives a refund of fees pro-rated
to the date of termination. Clients are notified of the management fee refund calculation in writing. De minimis
refunds of less than $10 are only paid upon written request from the client.

Advisory Fees - Fund Companies and ETFs
Pacific Global may, for a variety of reasons, choose to invest in mutual funds and/or ETFs; when we do so, our
asset-based fee for investment management services includes mutual funds and ETF investments. The
performance of each fund or ETF is net of the management fees charged by each fund’s investment manager;
these charges can be found in the applicable fund prospectus and SAI.

Other Fees and Expenses
Pacific Global’s fees are exclusive of transaction fees, and other related costs and expenses which shall be
incurred by the client. For example, clients may incur certain charges imposed by custodians, broker/dealers
and other third parties such as custodial fees, brokerage commissions, sales charges, wire transfer and electronic
fund fees, and other fees and taxes on brokerage accounts and securities transactions. Mutual funds and ETFs,

PACIFIC GLOBAL FORM ADV PART 2A                                                                 AUGUST 5, 2026

which may be held in a client account, may also charge internal management fees which are disclosed in each
fund’s prospectus.

Item 12 describes the factors we consider in selecting or recommending broker/dealers for client transactions
and in determining the reasonableness of their compensation (such as commission level).

Neither Pacific Global nor any of its supervised persons accepts compensation for the sale of securities or other
investment products, including asset-based sales charges or service fees from the sale of mutual funds.

Financial Planning, Financial Consulting & General Pension Consulting Fees
Pacific Global charges fees for Financial Planning, a Focused Analysis, Financial Coaching, and pension consulting
services based upon the nature and complexity of the services provided. The scope of the services to be
provided and all fees are agreed upon in writing in a Financial Planning Engagement Agreement (FPEA) prior to
the initiation of any services.

Fees for Financial Planning, a Focused Analysis and pension consulting services are calculated and charged on a
per engagement basis, with a minimum fee of $500. The fee for a Focused Analysis typically ranges from $500 to
...

Item 7     Types of Clients

Pacific Global generally provides advisory services to:
     Individuals, including high net worth individuals;
     Pension and profit sharing plans;
     Trusts, estates or charitable organizations; and
     Corporations or other business entities.

Account Requirements
We require clients to enter into an IMA which grants us authority to manage their assets. SMAs generally
require a minimum account size of $100,000 for new accounts that will be invested primarily in individual
securities. Accounts with assets below $100,000 are invested in one of a variety of guideline portfolios based on
account size; that is, each portfolio consists of an assortment of holdings which approximates the sector
diversification and allocation, and stock selection, of larger accounts of the same strategy.

Depending on the specific circumstances, exceptions to the account minimum may be negotiated at the sole
discretion of Pacific Global.