Pinnacle Peak Private Client Group LLC

Item 5: Fees & Compensation

    Compensation for Our Advisory Services

    Comprehensive Portfolio Management:

    Please see our Wrap Fee Program Brochure.

    Financial Planning & Consulting:

    Our firm charges on a 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. Flat fees range from $500 to $5,000. The fee will be directly billed to the client and due
    within thirty (30) days of a financial plan being delivered or consultation rendered.

    Retirement Plan Consulting:

    Our Retirement Plan Consulting services are billed on an hourly or flat fee basis or a fee based on the
    percentage of Plan assets under management. 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 $300. Our flat fees range from $500 to $5,000. Fees based on
    a percentage of managed Plan assets will not exceed 1.00%. The fee-paying arrangements for
    Retirement Plan Consulting service will be determined on a case-by-case basis and will be detailed
    in the signed consulting agreement. Clients will be invoiced directly for the fees.

    Other Types of Fees & Expenses

    Clients may pay holdings charges imposed by the chosen custodian for certain investments, charges
    imposed directly by a mutual fund, index fund, or exchange traded fund, which shall be disclosed in
    the fund’s prospectus (i.e., fund management fees, initial or deferred sales charges, mutual fund sales
    loads, 12b-1 fees, surrender charges, variable annuity fees, IRA and qualified retirement plan fees,
    and other fund expenses), mark-ups and mark-downs, spreads paid to market makers, fees for trades
    executed away from custodian, wire transfer fees and other fees and taxes on brokerage accounts
    and securities transactions. Our firm does not receive a portion of these fees.

    Clients will not incur transaction costs for trades by their chosen custodian. More information about
    this can be found in our separate Wrap Fee Program Brochure.

    Termination & Refunds

    Financial Planning & Consulting clients may terminate their agreement at any time before the
    delivery of a financial plan by providing written notice. For purposes of calculating refunds, all work
    performed by us up to the point of termination shall be calculated at the hourly fee currently in effect
    for the time and effort expended by our firm.

ADV Part 2A – Firm Brochure                        Page 6                        Pinnacle Peak Private Client Group, LLC

    Either party to a Retirement Plan Consulting Agreement may terminate at any time by providing
    written notice to the other party. Full refunds will only be made in cases where cancellation occurs
    within five (5) business days of signing an agreement. After five (5) business days from initial signing,
    either party must provide the other party thirty (30) days written notice to terminate billing. Billing
    will terminate 30 days after receipt of termination notice. Clients will be charged on a pro-rata basis,
    which takes into account work completed by our firm on behalf of the client. Clients will incur charges
    for bona fide advisory services rendered up to the point of termination (determined as 30 days from
    receipt of said written notice) and such fees will be due and payable.

    Commissionable Securities Sales

    Our firm and representatives do not sell securities for a commission in advisory accounts.

Item 7: Types of Clients & Account Requirements

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

    Our firm does not impose requirements for opening and maintaining accounts or otherwise engaging
    us.