Quad-Cities Investment Group LLC

Item 5: Fees & Compensation.

      Compensation for Our Advisory Services.

           Comprehensive Portfolio Management.

QUAD-CITIES INVESTMENT GROUP | ADV Part 2A: Firm Brochure – Page5

               On an annualized basis, our firm’s fees for asset management services are as follows:

                       Assets Under Management                      Annual % of Assets Charge
                            $0 to $499,999.99                                1.50%
                         $500,000 to $999,999.99                             1.25%
                       $1,000,000 to $4,999,999.99                           1.00%
                            Over $5,000,000                                  0.75%

               As part of this process, you understand and acknowledge the following:
               •    Your independent custodian sends statements at least quarterly to you showing the market
                    values for each security and all disbursements from your account, including the amount of
                    the advisory fees paid to us;

               •    You will provide us with duplicate monthly or quarterly statements for all accounts under
                    advisement for the duration of the service provided hereunder;

               •    You provide authorization permitting us to be directly paid by these terms. We send our
                    invoice directly to the custodian;

               •    If we send a copy of our invoice to you, it will include a legend urging you to compare
                    information provided with that from the qualified custodian.

               Our firm’s fees are billed on a pro-rata annualized basis monthly in arrears based on the value of
               your account on the last day of the month. Fees for sub-advisory services are separate and in
               addition to our fees and will be disclosed in the executed client agreement, if applicable. Unless
               otherwise agreed to in writing, advisory fees shall be applicable on cash and cash equivalents.

               Fees are generally negotiable.

               There is a minimum annual fee of $1,200.

           Retirement Plan Consulting.

               Our Retirement Plan Consulting services are billed as a fee based on the percentage of Plan
               assets under management. The total estimated fee, as well as the ultimate fee charged, is based on
               the scope and complexity of our engagement with the client. Fees based on a percentage of
               managed Plan assets will not exceed 1.00%. The fee-paying arrangements will be determined on
               a case-by-case basis and will be detailed in the signed consulting agreement.

      Fees incurred by the client and not received or shared by the adviser:
           •   Clients will incur fees charged by the Custodian, which will include transaction charges for trades
               executed in their accounts. These transaction fees are separate from our fees and will be
               disclosed by the firm executing the trades. Raymond James no longer charges transaction fees
               for U.S. listed equities and exchange traded funds.

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           •   Clients will also pay charges imposed directly by a mutual fund, index fund, or exchange traded
               fund which shall be disclosed in the fund’s prospectus (i.e., fund management fees and other
               fund expenses).

           •   Certain of the Adviser’s employees are licensed insurance agents. These employees receive
               compensation in the form of commissions for insurance products. We recognize that this
               practice presents a conflict of interest and provides these employees incentive to recommend
               investment products based on compensation received rather than on client need. We address this
               conflict by retaining and reviewing all orders for such securities to verify that there is an
               economic benefit for the client through such transactions.

Item 7: Types of Clients & Account Requirements.

      We have the following types of clients:
      •    Individuals;
      •    Trusts, Estates or Charitable Organizations;
      •    Pension and Profit Sharing Plans;
      •    Charitable Organizations;
      •    Corporations, Limited Liability Companies, and/or other business types.

      We require a minimum advisory fee of $1,200 for each household client.