Prospera Capital Management LLC

Item 5: Fees & Compensation

Compensation for Our Advisory Services

Asset Management:

The maximum annual fee charged for this service will not exceed 1.00%. Fees to be assessed will be
outlined in the advisory agreement to be signed by the client. Our firm does not bill on cash or
money market products. Annualized fees are billed on a pro-rata basis quarterly in arrears based on
the value of the account(s) on the time-weighted daily average of the quarter. Fees are negotiable
and will be deducted from client account(s). Adjustments will be made for deposits and

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withdrawals during the quarter. In rare cases, our firm will agree to directly invoice. As part of this
process, Clients understand the following:

    a)​ The client’s independent custodian sends statements at least quarterly showing the market
        values for each security included in the Assets and all account disbursements, including the
        amount of the advisory fees paid to our firm;
    b)​ Clients will provide authorization permitting our firm to be directly paid by these terms. Our
        firm will send an invoice directly to the custodian; and
    c)​ If our firm sends a copy of our invoice to the client, a legend urging the comparison of
        information provided in our statement with those from the qualified custodian will be
        included.

Comprehensive Portfolio Management:

The maximum annual fee charged for this service will not exceed 1.00%. Fees to be assessed will be
outlined in the advisory agreement to be signed by the client. Our firm does not bill on cash or
money market products. Annualized fees are billed on a pro-rata basis quarterly in arrears based on
the value of the account(s) on the time-weighted daily average of the quarter. Fees are negotiable
and will be deducted from client account(s). Adjustments will be made for deposits and
withdrawals during the quarter. In rare cases, our firm will agree to directly invoice. As part of this
process, Clients understand the following:

    a)​ The client’s independent custodian sends statements at least quarterly showing the market
        values for each security included in the Assets and all account disbursements, including the
        amount of the advisory fees paid to our firm;
    b)​ Clients will provide authorization permitting our firm to be directly paid by these terms. Our
        firm will send an invoice directly to the custodian; and
    c)​ If our firm sends a copy of our invoice to the client, a legend urging the comparison of
        information provided in our statement with those from the qualified custodian will be
        included.

Financial Planning & Consulting:

Our firm charges on an hourly or flat fee basis for financial planning and consulting services. The
total estimated fee, as well as the ultimate fee charged, is based on the scope and complexity of our
engagement with the client. The maximum hourly fee to be charged will not exceed $500. Flat fees
will not exceed $25,000. The fee-paying arrangements will be determined on a case-by-case basis
and will be detailed in the signed consulting agreement. Our firm will not require a retainer
exceeding $1,200 when services cannot be rendered within 6 months.

Other Types of Fees & Expenses

Clients will incur transaction fees for trades executed by their chosen custodian, either based on a
percentage of the dollar amount of assets in the account(s) or via individual transaction charges.
These transaction fees are separate from our firm’s advisory fees and will be disclosed by the
chosen custodian. Charles Schwab & Co., Inc. (“Schwab”) and The Vanguard Group (“Vanguard”)
does not charge transaction fees for U.S. listed equities and exchange traded funds.

Clients may also pay holdings charges imposed by the chosen custodian for certain investments,
charges imposed directly by a mutual fund, index fund, or exchange traded fund, which shall be

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disclosed in the fund’s prospectus (e.g., fund management fees and other fund expenses),
distribution fees, surrender charges, variable annuity fees, IRA and qualified retirement plan fees,
mark-ups and mark-downs, spreads paid to market makers, fees for trades executed away from
custodian, wire transfer fees and other fees and taxes on brokerage accounts and securities
transactions. Our firm does not receive a portion of these fees.

Termination & Refunds

Either party may terminate the advisory agreement signed with our firm for Asset Management and
Comprehensive Portfolio Management services in writing at any time. Upon notice of termination
pro-rata advisory fees for services rendered to the point of termination will be charged. If advisory
fees cannot be deducted, our firm will send an invoice for due advisory fees to the client.

Financial Planning & Consulting clients may terminate their agreement at any time before the
delivery of a financial plan by providing written notice. For purposes of calculating refunds, all work
performed by us up to the point of termination shall be calculated at the hourly fee currently in
effect. Clients will receive a pro-rata refund of unearned fees based on the time and effort expended
by our firm.

Commissionable Securities Sales

Our firm and representatives do not sell securities for a commission in advisory accounts.

Item 7: Types of Clients & Account Requirements

Our firm has the following types of clients:
   ●​ Individuals and High Net Worth Individuals;
   ●​ Trusts, Estates or Charitable Organizations;
   ●​ Pension and Profit-Sharing Plans; and
   ●​ Corporations, Limited Liability Companies and/or Other Business Types.

Our firm does not impose requirements for opening and maintaining accounts or otherwise
engaging us.

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