Philip Vongontard CFA LLC

5. Fees and Compensation
We offer our services on a negotiated fee-only basis. The typical management fee structure ranges from 0.35% to
0.65% depending of the size and structure of the relationship. Fees are billed quarterly, in arrears. The client may
authorize to have fees deducted directly from designated brokerage accounts or to receive an invoice by paper or
electronically.

The client is responsible for brokerage fees, custody fees, commissions and fund expenses associated with their
preferred custodian and/or mutual fund choice. Phillip von Gontard, CFA, LLC does NOT receive any shared
commissions or direct benefit from the costs associated with trading or holding any investment by any broker or
custodian. The firm, along with the client does have access to research provided by the respective brokerage or
mutual fund company and may use this information in the research and decision-making process. Clients have
the option to purchase investment products that the firm recommends through other unaffiliated brokers or
agents at their discretion.

NOTE: Investors considering mutual funds, exchange-traded funds or other third-party managed investments
should refer to each fund’s Offering Memorandum, Subscription Agreements, and other offering documents for
additional supplementary information regarding the funds as well as the fees and expenses charged by the funds.

7. Types of Clients
Philip von Gontard, CFA, LLC generally provides investment advice to private investors that include:

   Qualified Individuals
   Participant managed Pension and profit-sharing plans
   Trusts, estates, foundations/endowments, and other charitable organizations

Philip von Gontard, CFA, LLC generally requires a minimum of $500,000 for investment accounts; however the
Firm reserves the right to waive this minimum depending on the type of Investor.

Types of Investments

Philip von Gontard, CFA, LLC is authorized to enter into any type of investment transaction that it deems
appropriate for its investors, pursuant to the terms of the account agreement. Philip von Gontard, CFA, LLC
does not currently advise investors on any types of investments other than those identified below.

Currently, Philip von Gontard, CFA, LLC may offer investment advice on the following types of investments:

   Equity securities, including exchange-listed securities, securities traded over-the-counter and foreign issues
   Corporate & Municipal debt securities (other than commercial paper)
   United States government securities

Philip von Gontard, CFA, LLC trades and invests principally, but not solely, in debt and equity securities that are
traded in U.S. public markets. When deemed appropriate, Philip von Gontard, CFA, LLC also may invest in long
positions in options, bonds, convertible debt, preferred stock, notes, bills, warrants, futures, rights, derivatives,
non–U.S. currencies, restricted securities, fixed-income assets, and other securities or assets.