Principle Wealth Partners LLC

Item 5 – Fees and Compensation

The following paragraphs detail the fee structure and compensation methodology for services provided by the
Advisor. Each Client engaging the Advisor for services described herein shall be required to enter into a written
agreement with the Advisor.
                                              Principle Wealth Partners, LLC
                                          Principal Location         Mailing Address
                                           48 Wall Street             PO Box 1007
                                         Madison, CT 06443         Madison, CT 06443
                                        Phone: (203) 318-8892 * Fax: (203) 318-8898
                                             https://principlewealthpartners.com

A. Fees for Advisory Services
Wealth Management Services
Clients engaged for comprehensive wealth management services will be charged a single combined fee for
investment management and financial planning services based on the market value of assets under
management.

Investment advisory fees are paid quarterly, in advance of each quarter, pursuant to the terms of the investment
advisory agreement. Investment advisory fees are based on the market value of assets under management at
the end of the prior quarter. Investment advisory fees range from up to 1.25% annually based on several factors,
including: the scope and complexity of the services to be provided; the level of assets to be managed; and the
overall relationship with the Advisor. Fees may be reduced if certain asset thresholds are met. Relationships with
multiple objectives, specific reporting requirements, portfolio restrictions and other complexities may be charged
a higher fee.

The investment advisory fee in the first quarter of service is prorated from the inception date of the account[s] to the
end of the first quarter. Fees are negotiable at the sole discretion of the Advisor. The Client’s fees will take into
consideration the aggregate assets under management with the Advisor, the scope of work required, and the
services provided. All securities held in accounts managed by PWP will be independently valued by the Custodian.
The Advisor will conduct periodic reviews of the Custodian’s valuation to ensure accurate billing.. Legacy Clients
have fee arrangements that may differ from the above fee range.

The Advisor’s fee is exclusive of, and in addition to any applicable securities transaction and custody fees, and
other related costs and expenses described in Item 5.C below, which may be incurred by the Client. However, the
Advisor shall not receive any portion of these commissions, fees, and costs.

Use of Independent Managers – As noted in Item 4, the Advisor will implement all or a portion of a Client’s
investment portfolio utilizing one or more Independent Managers. To eliminate any conflict of interest, the Advisor
does not earn any compensation from an Independent Manager. The Advisor will only earn its investment
advisory fee as described above. Independent Managers typically do not offer any fee discounts but may have a
breakpoint schedule which will reduce the fee with an increased level of assets placed under management with
an Independent Manager. The terms of such fee arrangements are included in the Independent Manager’s
disclosure brochure and applicable contract[s] with the Independent Manager. The total blended fee, including
the Advisor’s fee and the Independent Manager’s fee, will not exceed the above posted fee schedule.

Financial Planning Services
For standalone financial planning services, the Advisor will charge a fixed fee ranging up to $5,000 per
engagement. Fees may be negotiable based on the nature and complexity of the services to be provided and the
overall relationship with the Advisor. An estimate for total costs will be determined prior to engaging for these
services.

Retirement Plan Advisory Services
Fees for retirement plan advisory services are paid quarterly, in advance of each calendar quarter, pursuant to the
terms of the retirement plan advisory agreement. Retirement plan advisory fees are based on the market value of
assets under management at the end of the prior calendar quarter. Investment advisory fees range up to 1.00%
based on the size and complexity of the plan.

B. Fee Billing
Wealth Management Services
Investment advisory fees are calculated by the Advisor or its delegate and deducted from the Client’s account[s] at
the Custodian. The Advisor shall send an invoice to the Custodian indicating the amount of the fees to be deducted
from the Client’s account[s] at the beginning of the respective quarter. The amount due is calculated by applying the
quarterly rate (annual rate divided by the number of days in the year, multiplied by the number of days in the
quarter) to the total assets under management with PWP at the end of the prior quarter. Clients will be provided
with a statement, at least quarterly, from the Custodian reflecting deduction of the investment advisory fee. It is the

                                              Principle Wealth Partners, LLC
                                          Principal Location         Mailing Address
                                           48 Wall Street             PO Box 1007
                                         Madison, CT 06443         Madison, CT 06443
                                        Phone: (203) 318-8892 * Fax: (203) 318-8898
                                             https://principlewealthpartners.com

responsibility of the Client to verify the accuracy of these fees as listed on the Custodian’s brokerage statement as
the Custodian does not assume this responsibility. Clients provide written authorization permitting advisory fees to
be deducted by PWP directly from their account[s] held by the Custodian as part of the investment advisory
agreement and separate account forms provided by the Custodian.
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Item 7 – Types of Clients

PWP offers investment advisory services to individuals, high net-worth individuals, trusts, estates, retirement
plans and corporations. The amount of each type of Client is available on PWP’s Form ADV Part 1A. These
amounts will change over time and are updated at least annually by the Advisor. The Advisor requires a
minimum annual fee of $5,000.