Prime Capital Investment Advisors LLC

Item 5 – Fees and Compensation
In addition to the information provide in Item 4 – Advisory Business, this section provides details regarding Prime
Capital Financial’s advisory services along with descriptions of each service’s fees and compensation arrangements.

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           Fees for Asset Management Services (“Wrap Fee Management Program”)
           Prime Capital Financial’s fees for asset management services, excluding such services pursuant to a
           Performance-Based Advisory Services Agreement, most often range between 1.00% and 1.50%, but will
           not be below 0.25% or above 2.50% of the assets held in the account. Fees charged for our asset
           management services are negotiable based on the investment adviser representative providing the
           services, the type of client, the complexity of the client's situation, the composition of the client's account
           (i.e., equities versus mutual funds), the level of trading activity, the potential for additional account
           deposits, the relationship of the client with the investment adviser representative, and the total amount
           of assets under management for the client. Thus, Prime Capital Financial's fees may vary among clients
           for the services provided due to such differing client needs, circumstances, objectives, services, and other
           factors that are deemed at the time to be relevant. It is important to note that it is possible that different
           investment advisor representatives may charge different fees for providing the same types and level of
           service to clients. The exact fee arrangements for each client will be specified in that client’s investment
           management agreement or advisory services agreement with Prime Capital Financial. Further
           information on the fees associated with the above-mentioned services, including services pursuant to a
           Performance-Based Advisory Services Agreement, is provided in the Firm’s Wrap Fee Brochure for Asset
           Management Services.

           Fees for Asset Management Services (using Transaction-based Pricing Custodial
           Platforms)
           Prime Capital Financial’s fees for such asset management services, most often range between 1.00% and
           1.50%, but will not be below 0.25% or above 2.50% of the assets held in the account. These accounts use
           “transaction‐based pricing” and will not participate in the Firm’s Wrap Fee Program. Fees charged for
           such asset (investment) management services are charged based on a flat percentage of assets under
           management. Accounts that are billed in arrears, may be billed either on a monthly or quarterly calendar
           basis and are calculated based on the fair market value of the client’s account as of the last business day
           of the current billing period. No fee will be charged on accounts until the assets are under Prime Capital
           Financial’s Management. Fees are prorated (based on the number of days service is provided during the
           initial billing period) for a client’s account opened at any time other than the beginning of the billing
           period. If asset management services are commenced in the middle of the billing period, then the
           prorated fee for that billing period will be billed in arrears at the end of that billing period. Accounts that
           are billed in advance, may be billed either on a monthly or quarterly calendar basis and are calculated
           based on the fair market value of the client’s account as of the last business day of the prior billing period.
           No fee will be charged on Accounts until the assets are under Prime Capital Financial’s Management. If
           asset management services are commenced in the middle of a billing period, the prorated fee for the
           initial billing period is billed in arrears at the same time as the next full billing period’s fee is billed. Fees
           are assessed on all assets under management. Management fees charged by Prime Capital Financial are
           separate and distinct from the fees and expenses charged by investment company securities that may be
           recommended to you. A description of these fees and expenses is available in each investment company
           security’s prospectus. Sales charges and 12b-1 fees are not to be paid to Prime Capital Financial as we do
           not accept any sales charges or 12b-1 fees. Should such charges or fees be paid to Prime Capital Financial,
           Prime Capital Financial will direct the applicable custodian or platform to remit such charges or fees back
           to the client. Prime Capital Financial seeks to utilize the lowest cost options available when prudent. Fees
           charged for our asset management services are negotiable based on the investment adviser
           representative providing the services, the type of client, the complexity of the client's situation, the

Prime Capital Financial – Disclosure Brochure                                                                    Page 17 of 57

           composition of the client's account (i.e., equities versus mutual funds), the level of trading activity, the
           potential for additional account deposits, the relationship of the client with the investment adviser
           representative, and the total amount of assets under management for the client. Thus, Prime Capital
           Financial's fees may vary among clients for the services provided due to such differing client needs,
           circumstances, objectives, services, and other factors that are deemed at the time to be relevant. It is
...

Item 7 – Types of Clients
Prime Capital Financial generally provides investment advice to the following types of clients.

           •    Individuals
           •    High-Net Worth Individuals
           •    Banking or thrift institutions
           •    Pension and profit-sharing plans
           •    Trusts, estates, or charitable organizations
           •    Corporations or business entities other than those listed above

You are required to execute a written agreement with Prime Capital Financial specifying the advisory services to
establish a client arrangement with Prime Capital Financial.

Minimum Investment Amounts Required

Prime Capital Financial generally requires a minimum account size to open an account, which will vary by strategy
as disclosed below. Exceptions may be granted to this minimum in consideration of (1) the current aggregate
investable balance of all household advisory accounts managed by Prime Capital Financial and/or (2) current
and/or expected cash/asset inflow and outflow for the account over the next twelve (12) months.

           Core Portfolios - Ambassador Series, Account Minimum: $50,000
           Core Portfolios - Diversified Income Strategy, Account Minimum: $100,000
           Core Portfolios - Generations Series, Account Minimum: $10,000
           Core Portfolios - Genesis Series, Account Minimum: $2,500
           Satellite Strategies - Building Block Strategies, Account Minimum: $10,000

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           Satellite Strategies - Covered Calls Strategy, Account Minimum: $1,000,000
           Satellite Strategies - Focused Equity Strategy, Account Minimum: $50,000
           Satellite Strategies - Focused Yield Strategy, Account Minimum: $50,000
           Satellite Strategies - High Quality - International, Account Minimum: $100,000
           Satellite Strategies - Rising Dividend - US, Account Minimum: $150,000
           Satellite Strategies - Sector Rotation Strategy, Account Minimum: $5,000
           Satellite Strategies - Select Alternative Strategy – Liquid, Account Minimum: $50,000
           Satellite Strategies - Tactical International Equity Strategy, Account Minimum: $10,000
           Satellite Strategies - Tactical U.S. Equity Strategy, Account Minimum: $10,000
           Satellite Strategies - Thematic Diversification Satellite Strategies, Account Minimum: $10,000
           Satellite Strategies - Total Stock Portfolio (Core-Focused), Account Minimum: $150,000
           Satellite Strategies - Ultra Stock Portfolio, Account Minimum: $100,000
           Custom Strategies - Alternative Investments, Account Minimum: $50,000 or sponsor minimum, whichever
           is greater
           Custom Strategies - Private Offering, Account Minimum: See applicable Offering Memorandum or
           Documents
           Custom Strategies - Custom IPS, Account Minimum: $2,500
           Custom Strategies - Custom IPS PLUS, Account Minimum: $1,000,000
           Rep-managed Accounts, Account Minimum: $2,500

           A minimum investment of $100,000 USD is required for the Opportunistic Growth Strategy.

           A minimum investment of $2,500 USD is required for an account under the Prime Capital Financial Limited
           Advisory Services Program.

All clients engaging in Asset Management Services for Held Away Assets must either engage in Comprehensive
Financial Planning with discretionary asset management (as described in this Brochure) or meet a $100,000
minimum of assets under management.

The account size and related fees may also be negotiable under certain circumstances, such as its applicability to
family members, employees, or employees of affiliated companies and their family members. For purposes of this
section only, family member is defined as spouse, and/or minor children. The account size threshold and
monthly/quarterly fee minimums do not apply to Qualified Plan participants as advisory fees for Qualified Plan
participants are subject to negotiation reflecting the service schedules selected by the Plan Sponsor. Separate
account managers and IARs/Agents/Brokers may and often require higher account minimums when offering their
services to clients.

Collective Investment Trusts

           For investment management services to collective investment funds, Prime Capital Financial currently
           works with one collective investment fund client. The minimum fee charged for Fiduciary Investment
           Trust: Aggressive; Growth; Balanced; Moderately Conservative; and Conservative generally ranges from
           27 to 72 basis points depending on the Fund class. The minimum fee charged for Fiduciary Investment
           Trust Core Series: Large Cap, generally ranges from 5 to 15 basis points depending on Fund class.

Third-party money managers and sub-advisors

Prime Capital Financial – Disclosure Brochure                                                          Page 33 of 57

           Third-party money managers and sub-advisors may have minimum account and minimum fee
           requirements to participate in their programs or obtain their services. Each third-party money manager
           or sub-advisor will disclose its minimum account size and fees in its Form ADV Part 2A Disclosure
           Brochure.