Prestige Wealth Management LLC

Item 5 – Fees and Compensation

In addition to the information provided in Item 4, Advisory Business, this section provides
details regarding our services along with descriptions of the fees and compensation
arrangements.

Financial Planning Services

Financial Plans
We offer financial planning services in the form of plans that can be oral or written,
comprehensive or modular. Our investment advisor representatives (“representatives”) meet
with you to gather information about your financial situation and objectives and the services that
we offer to help you meet your objectives. There is no charge for this first meeting. If you elect
to proceed with advisory services, additional meetings may be needed to gather the information
and documentation needed to provide the requested services.

We rely on the information provided by you and, therefore, it is very important that the
information you provide is complete and accurate. We are not responsible for verifying the
information supplied by you. We also request that you notify us if there is ever a change in your
financial situation or investment objectives so that we can review, evaluate and/or revise any
prior recommendations made or services provided.

Our services do not include legal or tax advice. We urge you to work closely with your attorney,
accountant or other professional consultants regarding your financial and personal situation.
You may also request that we consult with a new or existing professional consultant about your
situation. In this case, we will also rely on the information provided by them. You should be
aware that the professional consultants are not employees or independent contractors of ours and
are not under the control or direction of us. Any fees charged by them for their professional
services are separate from the advisory fees charged by us and will be billed directly to you.
You should also be aware that your personal, non-public information is not shared by us with
any professional consultant without your express written authorization.

After completing a review and analysis of the information and documents received, our
representatives develop their analyses and recommendations and present the requested plan to
you. A comprehensive plan focuses on your overall financial situation and covers several areas
as needed by your specific situation. A modular analysis focuses only on one or more specific
area(s) of concern to you, and you should be aware that other important issues may not be taken
into consideration when our representatives develop their analyses and recommendations.

Fees for financial plans are charged on a fixed basis, with a maximum of $6,000 that is
negotiable based on the actual services requested, the complexity of your situation and time
frame involved (i.e., request for expedited delivery). Fees are disclosed prior to any services
being provided and are due at the time the client agreement is signed. Fees are considered
earned upon presentation of the plan to you, which is delivered before the conclusion of six
months from signing the client agreement.

Mathies Financial Partners                                                           Disclosure Brochure

If you contract for a financial plan only, financial planning services terminate upon presentation
of the plan.

If you choose to implement our recommendations and utilize our third-party money manager, on-
going financial planning services continue at no charge for as long as you remain our client.

However, either party can terminate services by providing written notice to the other party.
Clients can also provide oral notice of termination although written confirmation is required.
Termination is effective upon receipt of notice. If services are terminated, we refund any
unearned fees. Fees are calculated by multiplying the time spent on the plan to the date of
termination by the rate of $250 per hour. If that prorated fee is less than the prepaid fees, a
refund is provided to you. If that prorated fee is equal to or greater than the prepaid fees, no
refund is given and no additional fees are charged for the work completed to the date of
termination. We provide you with a detailed billing statement.

          Other Fee Terms for Financial Planning
You may pay the investment advisory fees owed for the financial planning services by paying
directly or having the fee deducted from an existing investment account. You should notify us
within ten (10) days of receipt of an invoice if you have questions about or dispute any billing
entry.
All fees paid for services are separate and distinct from the commissions, fees and expenses
charged by insurance companies associated with any disability insurance, life insurance and
annuities subsequently acquired by you. If you sell or liquidate certain existing securities
positions to acquire any insurance or annuity, you may also pay a commission and/or deferred
sales charges in addition to the financial planning and consulting fees paid to {the investment
adviser firm} and any commissions, fees and expenses charged by the insurance company for
subsequently acquired insurance and/or annuities.
All fees paid to Mathies Financial Partners for financial planning and consulting services are
separate and distinct from the commissions charged by a broker-dealer or asset management fees
charged by an investment adviser to implement such recommendations.

Commission and Fee Offset

We are a Colorado licensed insurance agency offering life insurance and annuities and our
representatives are also independently licensed as insurance agents. Therefore, both we and our
representatives can earn fees when providing advisory services and commissions when selling
insurance products. See also, Additional Compensation, below.

You may select any insurance agency or agent you wish to implement any transactions
recommended by our representatives. If you elect to have our representatives implement the
...

Item 7 – Types of Clients

We generally provide investment advice to the following types of clients:

Individuals (including high-net worth individuals)
Trusts, estates, or charitable organizations
Corporations or business entities other than those listed above

Mathies Financial Partners                                                              Disclosure Brochure

Minimum Investment Amounts Required

There are no minimum account values or advisory fees charged for financial planning services.

Third party managed programs generally have account minimum requirements and these
minimum requirements vary from investment advisor to investment advisor. Account minimums
are generally higher on fixed income accounts than equity based accounts.