Principled Advisors Inc

Item	5	–	Fees	and	Compensation

The	specific	manner	in	which	fees	are	charged	by	Principled	Advisors,	Inc.	is	established	in
a	client’s	written	General	Advisory	Services	Agreement	or	Plan	Consulting	Services
Agreement	with	the	firm.		Principled	Advisors,	Inc.	will	generally	bill	its	fees	on	a	quarterly
basis	either	in	advance	or	arrears	depending	on	the	provider	utilized.	Some	clients	may	be
billed	on	a	monthly	basis	depending	on	the	provider	utilized.	Clients	may	elect	to	be	billed
directly	for	fees	or	to	authorize	Principled	Advisors,	Inc.	to	directly	debit	fees	from	client
accounts.	These	fees	may	be	negotiable	based	upon	specific	services	required.	Occasionally
these	fees	are	limited	to	a	fixed	dollar	amount	that	is	negotiated	based	upon	specified	one
time	services.	Fixed	fees	are	payable	within	30	days	of	execution	agreement.	With	written
notice,	clients	may	terminate	these	contracts	at	any	time.

Fee	Schedule:
Individual	Clients:

1%	on	all	assets	from	$0	-	$1,000,000	+
.75%	on	all	assets	from	$1,000,001	-	$5,000,000	+
.50%	on	all	assets	over	$5,000,000

Corporate	Pension	and	Profit-Sharing	Plan	Clients:
.50%	for	plans	between	$0	-	$10,000,000	in	assets,
.35%	for	plans	between	$10,000,001	-	$20,000,000	in	assets,

.25%	for	plans	between	$20,000,001	-	$50,000,000	in	assets,
.15%	for	plans	greater	than	$50,000,001	in	assets

Principled	Advisors,	Inc.’s	fees	are	exclusive	of	third	party	brokerage	commissions,
transaction	fees,	and	other	related	costs	and	expenses	which	shall	be	incurred	by	the	client.
Clients	may	incur	certain	charges	imposed	by	custodians,	brokers,	third	party	investment
managers	and	other	third	parties	such	as	fees	charged	by	managers,	custodial	fees,
deferred	sales	charges,	odd-lot	differentials,	transfer	taxes,	wire	transfer	and	electronic

fund	fees,	and	other	fees	and	taxes	on	brokerage	accounts	and	securities	transactions.
Mutual	funds	and	exchange	traded	funds	also	charge	internal	management	fees,	which	are
disclosed	in	a	fund’s	prospectus.

Item	7	–	Types	of	Clients

Principled	Advisors,	Inc.	provides	investment	advisory	services	to	corporate	pension	and
profit-sharing	plans,	individuals	and	high	net	worth	individuals.