Quadcap Wealth Management LLC

Item 5 - Fees and Compensation

General Fee Information

As further described below, fees paid to QuadCap are exclusive of all custodial and transaction costs paid to the
client’s custodian, brokers, or other third-party consultants. Please see Item 12 - Brokerage Practices for additional
information. Fees paid to QuadCap are also separate and distinct from the fees and expenses charged by mutual
funds, ETFs (exchange-traded funds), or other investment pools to their shareholders (generally including a
management fee and fund expenses, as described in each fund’s prospectus or offering materials). The client should
review all fees charged by funds, brokers, Independent Manager(s), QuadCap and others to fully understand the total
amount of fees paid by the client for investment and financial-related services.

Asset-Based Fees
Clients are charged for QuadCap’s asset management services as a percentage of assets under management. The
fee is negotiable at the adviser’s discretion and can be based on the nature and complexity of the engagement, length
of relationship, and asset amount or life cycle of the account up to a maximum of 1%. Fees are billed at the start of
each quarter and are based on the average daily balance of the account over the preceding quarter. Fees are deducted
from client accounts.

Our investment approach combines a diversified portfolio of equity and fixed income securities, tailored to meet
your financial goals and risk tolerance. Our advisory fee is capped at a maximum of 1% of your assets under
management (AUM), ensuring transparent and competitive pricing while maximizing your returns. Advisory fees
are based upon the value of assets managed by QuadCap rather than the level of activity in the account. For
purposes of advisory fee calculations, QuadCap relies on the account values provided by the client’s custodian.
QuadCap prefers to have its advisory fees deducted directly from the client’s account. In these cases, clients must
provide the custodian with written authorization to have fees deducted from the client’s account and paid to
QuadCap. Clients who engage QuadCap after the beginning of a quarter will be subject to a prorated advisory fee, so
that the client is charged for the time the advisory agreement with QuadCap is entered into until the end of the
quarter. Clients who terminate services will generally be subject to prorated fees.

A client shall cause its custodian to deliver quarterly or monthly account statements to each client. Among other
details, account statements shall list disbursements made from the account, including the amount of the advisory
fee payable to QuadCap when deducted directly from the client’s account. Advisory fees are negotiable and can
vary amongst QuadCap clients. Your fees will be dependent on several subjective and objective factors including
time spent with QuadCap, number of meetings, complexity of your situation, amount of research, services
requested and staff resources. As a result of these factors, clients provided similar services can be subject to
differing fee arrangements.

Financial Planning
Financial planning fees can be included as part of the client’s advisory fee or can be considered separate and
exclusive of QuadCap’s advisory fees, as determined by QuadCap on a case-by-case basis. Where financial
planning is considered a standalone service, QuadCap will charge a fixed, annual fee, which is determined based

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                                       QuadCap Wealth Management, LLC

on a number of factors, including the specific strategies and the complexity of the financial planning, but is negotiable
at QuadCap’s sole discretion. QuadCap’s flat annual fee for financial planning services ranges up to $12,000 per
year. One-half of the estimated fee is due thirty (30) days after the engagement letter is signed, and the remaining
balance is due six (6) months thereafter.

QuadCap can also choose, on a case-by-case basis, to accept fees for its financial planning services in the form of direct
payments. If a client is subject to this type of direct payment arrangement, payment is due upon the client’s receipt
of a billing statement from QuadCap. Direct billing statements, if applicable, are delivered to clients every six (6)
months. In the event you opt to discontinue the financial planning arrangement prior to its completion, QuadCap
will calculate the amount due based upon the agreement in force and amount of time completed on the project, and
will either issue a refund for your unused balance, or QuadCap will provide an invoice for work that has been
completed with any remaining balance due, taking into account payments made in advance.

QuadCap reserves the right to raise fees for financial planning services at its discretion in an amount not to exceed
15% per annum. In these instances, QuadCap will provide you with written notice not less than thirty (30) days prior
to any increase in financial planning fees pursuant to this provision.

Tax Preparation Service
QuadCap’s tax and accounting services are included in the advisory services QuadCap offers to clients. Individuals
can engage QuadCap specifically for tax and accounting services and will be invoiced directly.

Trustee Services
Upon a client’s request, an Advisory Representative of QuadCap can serve as trustee for trusts established by clients.
The Advisory Representative of QuadCap will receive trustee fees as specified within the trust documents. These
fees are separate from and in addition to advisory fees and other fees disclosed in this Item 5.

Third-Party Managers
In accordance with the client’s investment objective, QuadCap can allocate (and/or recommend that the client
allocate) a portion of a client’s investment assets among unaffiliated independent third-party investment managers
(“Independent Manager”(s)). Clients should review the third-party investment management agreement to determine
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Item 7 - Types of Clients

The types of clients, QuadCap, provides investment advice to include, but is not limited to, individuals, high net
worth individuals, trusts, estates, and charitable organizations.

QuadCap does not have a minimum account size requirement although all accounts are accepted at QuadCap’s
sole discretion.