Regatta Capital Group LLC

Item 5 – Fees and Compensation                                 Financial Planning and Consulting Services
                                                               Regatta offers standalone financial planning or consulting
The following paragraphs detail the fee structure and
                                                               services on an hourly basis or for a fixed fee. Hourly fees
compensation methodology for services provided by the
                                                               range from $50 to $300. Fixed fees range from $1,000 to
Advisor. Each Client engaging the Advisor for services
                                                               $15,000. Fees may be negotiable depending on the nature
described herein shall be required to enter into one or
                                                               and complexity of the services to be provided and the
more agreements with the Advisor.
                                                               overall relationship with the Advisor.
A. Fees for Advisory Services                                  Estate Planning Document Generation – Regatta offers
                                                               estate planning document generation services as an
Wealth Management Services
                                                               additional service under financial planning for a one-time
Wealth management fees are paid quarterly, in advance          flat fee up to $10,000.
of each calendar quarter, pursuant to the terms of the
wealth management agreement. Wealth management                 Retirement Plan Advisory Services
fees are based on the market value of assets under
                                                               Fees for retirement plan advisory services are charged an
management at the end of the previous calendar quarter.
                                                               annual asset-based fee of up to 1.40%, billed at the end
Wealth management fees range from 1.20% to 0.30%,
                                                               of each quarter, pursuant to the terms of the retirement
based on the following schedule:
                                                               plan advisory agreement. Retirement plan advisory fees
 Assets Under Management                  Annual Rate          are based on the market value of assets under
                                                               management at the end of the prior quarter. Fees may be
 Up to $100,000                             1.20%              negotiable depending on the size and complexity of the
 $100,001 to $250,000                       1.10%              Plan.
 $250,001 to $500,000                       1.00%
 $500,001 to $1,000,000                     0.85%              Transformational Coaching Services
 $1,000,001 to $2,500,000                   0.75%              Regatta offers transformational coaching services at a
                                                               fixed rate ranging up to $40,000. Fees may be negotiable
 $2,500,001 to $5,000,000                   0.70%              depending on the nature and complexity of each Client’s
 $5,000,001 to $7,500,000                   0.65%              circumstances.
 $7,500,001 to $10,000,000                  0.60%
 $10,000,001 to 20,000,000                  0.55%
                                                               B. Fee Billing
                                                               Wealth Management Services
 $20,000,001 to $30,000,000                 0.50%
                                                               Wealth management fees are calculated by the Advisor
 $30,000,001 to $40,000,000                 0.45%              and deducted from the Client’s account[s] at the
 $40,000,001 to $50,000,000                 0.40%              Custodian. The Advisor or delegate shall send an invoice
 $50,000,001 to $100,000,000                0.30%              to the Custodian indicating the amount of the fees to be
                                                               deducted from the Client’s account[s] at the respective
Certain existing Clients may have a fee schedule that          quarter-end date. The amount due is calculated by
differs from the schedule above. For engagements with          applying the quarterly rate (annual rate divided by 4) to the
institutional Clients, Regatta may charge a fee of up to       total assets under management with Regatta at the end of
0.10% on managed cash or cash equivalent positions.            the prior quarter. Clients will be provided with a statement,
                                                               at least quarterly, from the Custodian reflecting the
The wealth management fee in the first quarter of service
is prorated from the inception date of the account[s] to the   deduction of the wealth management fee. It is the
end of the first quarter. Fees may be negotiable at the sole   responsibility of the Client to verify the accuracy of these
discretion of the Advisor. The Client’s fees will take into    fees as listed on the Custodian’s brokerage statement, as
consideration the aggregate assets under management            the Custodian does not assume this responsibility. Clients
with the Advisor. All securities held in accounts managed      provide written authorization permitting advisory fees to be
by Regatta will be independently valued by the Custodian.      deducted by Regatta directly from their accounts held by
Regatta will conduct periodic reviews of the Custodian’s       the Custodian as part of the wealth management
valuations.                                                    agreement and separate account forms provided by the
                                                               Custodian.
The Advisor’s fee is exclusive of, and in addition to,
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