Professional Financial Strategies Inc

Item 5/Fees and Compensation
        A.	Advisor’s fee for Investment Advisory services for investment           Client Household       If Income and Net Asset Base                    Annually
           management includes limited Financial Planning and Consulting           A: STANDARD MANAGEMENT SCHEDULE
           (“FPC”) services (see pages 8 and 9). Levels and particulars of FPC        Aggregated
                                                                                    Standard Level ReportAdvisory   Accounts
                                                                                                           Up to $2 million                                $10,000
           services are described in the client’s FPC agreement. Clients may         Preferred Level Report      $3 million and above                      $25,000
           elect additional or higher levels of FPC services: either as a “pre-
           mium” surcharge or specifying particular consulting services to be      B:Premier
                                                                                       PREMIUM        MANAGEMENT
                                                                                             Level Report                   SCHEDULE
                                                                                                          $5 million and above                             $50,000
           added. FPC agreements automatically renew as long as the Invest-            Aggregated Advisory Accounts
                                                                                     Supreme Level Report        Negotiated                                Negotiable
           ment Advisory Agreement is in effect and terminate at the end
           of the same quarter when the Investment Advisory Agreement is          If investment advisory services are engaged prior to completion of FPC services, or within
                                                                                  60PREMIER
                                                                                      days thereafter,MANAGEMENT               SCHEDULE
                                                                                                       up to 50% of the advisory fee for planning paid or payable may be
                                                                                    Levelto 3–Aggregated
                                                                                  applied                            Household
                                                                                             initial investment management    services.Accounts

8   Professional Financial Strategies, Inc. | paulhill@professionalfinancial.com | professionalfinancial.com | (585) 218-9080
                                                                   STANDARD SUPERVISORY SCHEDULE

                                                                                  B: PREMIUM MANAGEMENT SCHEDULE
                                                                                     Aggregated Advisory Accounts

                                                                                  PREMIER MANAGEMENT SCHEDULE
                                                                                  Level 3–Aggregated Household Accounts

         Custodial Account and Platform Arrangement fees:  Assisting
         with account and reporting set-ups for Charles Schwab & Co., 529         STANDARD SUPERVISORY SCHEDULE
         plans, or any annuity or employer account coordinated with our
                                                                                  Level 1–Aggregated Household Accounts
         reporting platform is chargeable. Fee includes any set-ups related to    FINANCIAL PLANNING & CONSULTING
                                                                                  (NON-INVESTMENT) SCHEDULE Annualized
         account reporting connecting with Advisor’s platforms, including         PREFERRED
                                                                                  Total Assets Advised  MANAGEMENT Per QuarterSCHEDULE
                                                                                                                                    Rate
         aggregation set ups and financial planning system integrations.          Level 2–Aggregated Household Accounts
         Platform Arrangement Fees:  Advisor charges $1,000 for each
                                                                                  A:
                                                                                  FirstSTANDARD
                                                                                       $500,000            MANAGEMENT0.375%     SCHEDULE
                                                                                                                                    1.50%
                                                                                       Aggregated Advisory Accounts
         Charles Schwab custodial setup for a new client relationship and         DIMENSIONS              FOR MANAGEMENT
                                                                                  Next $500,000 to $1 million        0.250%         1.00%
         $500 each employer retirement plan coordination. The fee is at least     SYSTEMATICALLY STRUCTURED STRATEGIES
         $2,000 for each for any trust-related Schwab custodial account ar-       Next $1 million to $5 million      0.200%        0.80%
         rangements for living trusts, irrevocable trusts (including business
                                                                                  B: PREMIUM MANAGEMENT SCHEDULE
         qualified plans), charitable trusts, or donor advised funds. Set-up      NextAggregated            Advisory0.175%
...

Item 7/Types of Clients                                                   PREFERRED          MANAGEMENT
                                                                                    strategies adapted                         SCHEDULE
                                                                                                       for asset allocation coordinated across accounts.
        Advisor offers advisory services primarily to high-net-worth
                                                                                  Level 2–Aggregated Household Accounts
        individuals and their immediate family members, to affluent
        individuals, their families, and legacy clients. Also, small pension      DIMENSIONS FOR UNIFIED MANAGEMENT
        and profit-sharing plans, family trusts, estates, charitable trusts and   ACCOUNT STRUCTURED SOLUTIONS
        small business entities associated with high-net-worth clients.