Realta Investment Advisors Inc

Item 5 – Fees and Compensation

RIA is generally compensated for investment advice by a percentage of the client's assets under management.
Advisory fees vary according to the program(s) selected, but are generally charged quarterly in advance, as some
legacy clients or certain managed programs may be subject to a different arrangement such as charges in arrears
versus in advance.

Fees are negotiable at the sole discretion of RIA or Financial Advisor, but fees shall not exceed the applicable
Fee Schedule. The fee to be charged each client will be stipulated within each client’s advisory agreement with
RIA and/or the respective program with a third-party manager and generally will apply to all of the assets within
the portfolio or household (as defined in the agreement). Certain clients, as described within a client’s advisory
agreement, may be billed in an "all-inclusive" manner. In such instances, RIA will assess one fee that captures
the management, brokerage, and administrative portions collectively. As a result, any RIA client could pay fees
and costs that are higher or lower than the fees and costs charged to other RIA clients, based upon the market
value of their assets, the complexity of the engagement, and the level and scope of the overall investment
advisory and/or consulting services to be rendered. As a result of these factors, the services to be provided by
RIA to any particular client could be available from other advisers at lower fees and costs. All clients and
prospective clients should be guided accordingly.

In addition, the advisory programs available to our advisors vary in cost. Therefore, an advisor has incentive to
recommend a program with a lower cost than others so that his or her net advisory fee will be greater, even if
there is a more expensive program that is better suited for your investment profile. This presents a conflict of
interest and you should ask your advisor questions about the various programs available to you in this brochure
to ensure you are placed in a program suitable to your needs.
For all services, Clients may terminate their engagement with RIA within five (5) business days of signing an
Agreement with no obligation and without penalty. After the initial five (5) business days, the Agreement may
be terminated by RIA with thirty (30) days written notice to Client and by the Client at any time with written
notice to RIA. For accounts opened or closed mid-billing period, fees will be prorated based on the days services
are provided during the given period. In the case of hourly engagements, fees will be prorated based on the
work completed at the stated hourly rate. All unpaid earned fees will be due to RIA and all unearned fees will
be refunded to the Client. Any increase in fees will be acknowledged in writing by all parties before any increase
in said fees occurs. Assets included in clients’ margin balances are included when calculating RIA’s fees; clients
should note that they may already be paying margin interest on these same assets. Depending on the program,
your fee may be adjusted based on deposits and withdrawals.

ADVISORY PLATFORMS

NOVA
Advisor Directed:
Advisor as Portfolio Manager with Tickets: APM-Tickets (Non-Wrap)
The maximum annualized fee charged for the APM program is 2.50%. This fee will be billed quarterly in advance
based on the amount of assets managed as of the close of business on the last business day of the previous
calendar quarter.

Advisor as Portfolio Manager Wrap: APM-Wrap
    See Wrap Appendix for additional information

Third Party Investment Advisor Platforms
Unified Managed Accounts: UMA & Separately Managed Accounts: SMA
The maximum annualized fee charged for the APM program is 2.50%. This fee will be billed quarterly in advance
based on the amount of assets managed as of the close of business on the last business day of the previous
billing period. All fees paid by Client to RIA are exclusive of the fees paid to the platform. Please note the total
annual fee for the client (RIA’s Fee, Third Party Platform Fee, etc.) shall not exceed 3.00%.

FINANCIAL PLANNING SERVICES
Fees are negotiated between the Financial Advisor and the client on a case-by-case basis. They may be charged
on an hourly or fixed fee basis. Once determined, the fee arrangement is set forth in the Client Agreement with
RIA.

Hourly Fees. Hourly rates range from $60 to $400 per hour based upon the knowledge and experience of the
individual providing the work. Fees are billed in 15-minute increments. Hourly fees will be billed monthly as the
work is provided (in arrears).

Fixed Fees. Fees are typically determined by estimating the number of hours to be spent preparing the plan and
then quoting a fixed price. If additional work is requested (that goes beyond the original scope of the project),
it may be billed on an hourly basis or a fixed price basis as negotiated. Fixed fees will be invoiced monthly or
quarterly depending upon the negotiated agreement with the client and the anticipated delivery of the plan.
Other limited planning services are billed monthly. In addition, some or all of the financial planning fees may be
included in the investment management fees agreed upon by clients and their Financial Advisor. Financial
planning is not always billed separately. Total costs for financial plans, whether per hour or on a fixed basis, may
range from as little as $500 to as much as $5,000 or more. There is no "typical" plan, as services are customized
to the particular needs of the client; thus there is a wide range of fees that may be imposed. Should a contract
be terminated prior to the service being delivered, RIA will bill for work completed. In the case of prepayment
of fees, the prorated refund will be based upon the hourly rate of the individuals who provided services.

THIRD-PARTY ASSET MANAGERS
RIA has entered into agreements with various TPMs to refer Clients to. The fees charged will be disclosed to the
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Item 7 – Types of Clients
Clients of RIA include but is not limited to individuals, pension and profit-sharing plans, including plans subject
to Employee Retirement Income Security Act of 1974 (“ERISA”), participants in such plans, charitable
organizations, corporations, businesses, institutions, trusts, and estates.

Clients who elect the NOVA UMA or SMA programs may be subject to minimum account sizes depending on
the model(s) selected. In addition, Clients who engage with a TPM may also be subject to a minimum account.
Any such minimum imposed by the TPM will be disclosed to the Client in the respective disclosure brochure (e.g.
ADV 2 and/or Wrap Appendix), and/or Client Agreement.