Regency Capital Management Inc

ITEM 5: Fees and Compensation
  Separate Accounts Management       Assets Under Management per
  Strategy                           Market Value                        Annual Fee
  Stock Portfolio,                   First $10,000,000                   1.00%
  Global Stock Portfolio             Next $10,000,000                    0.70%
                                     Amounts over $20,000,000            Negotiable

  Balanced + Diversified,            First $10,000,000                   1.00%
  All-Weather Absolute Return        Next $10,000,000                    0.70%
                                     Amounts over $20,000,000            Negotiable

  IncomePlus                         First $10,000,000                   0.60%
                                     Next $10,000,000                    0.50%
                                     Amounts over $20,000,000            Negotiable

  Cash Management*                   First $25,000,000                   0.20%
                                     Amounts over $25,000,000            Negotiable

  ETF-Based Separate Accounts        Assets Under Management per
  Management Strategy                Market Value                        Annual Fee
  Stock Portfolio,                   First $10,000,000                   0.70%
  Global Stock Portfolio             Amounts over $10,000,000            Negotiable

  Balanced + Diversified,            First $10,000,000                   0.70%
  All-Weather Absolute Return        Amounts over $10,000,000            Negotiable

  IncomePlus*                        First $10,000,000                   0.50%
                                     Amounts over $10,000,000            Negotiable

*Minimum fee for Cash Management accounts is $500 per quarter.
Advisory fees are based on the account value at the inception date. Fees are paid in advance and
pro- rated for the remaining calendar quarter. Thereafter, fees are billed one-quarter in advance
based on the account’s market value as of the close of the previous calendar quarter. Clients may
have fees deducted from their accounts or can make other arrangements subject to mutual
approval. The Firm reserves the right to offer discounts on fees.
Both clients and the Firm may terminate our services with written notice. With our fees billed in advance,
a refund will be issued for any unearned fees on a pro-rata basis.
In addition to the Firm’s fees, clients may pay other fees to third-party service providers, including
brokerage/trading fees, transaction fee taxes, exchange fees, and custody fees. The types and
amounts of fees paid to third parties depend on the brokerage or custodian the client selects, the
frequency and types of trades performed by the Firm, and fee structures established by exchanges
and taxing authorities.
Clients may pay management/advisory fees to the third-party sponsors of exchange traded funds
and notes, mutual funds, money market funds, and separate investment advisers. Fees associated

with third-party investments are disclosed in each fund’s prospectus, Form ADV filings, and other
disclosure document requirements. The Firm can assist in finding and reviewing disclosures upon
request.
The Firm and its supervised persons do not accept compensation for the sale of securities or other
products.
Regency Capital Management Fund L.P.: The Fund is not assessed an ongoing management fee. Certain
expenses, including organizational, brokerage commissions, custody, outside legal and administration,
tax preparation, taxes, and other direct expenses may be paid by the Fund. The Fund and its investors
pay performance-based fees as set forth in Item 6.

ITEM 7: Types of Clients

The Firm offers investment and wealth management to individuals, trusts, estates, corporations,
non-profit organizations, and retirement plans. We require a minimum of $1,000,000 in investable
assets per client or client household to retain our services. This minimum can be waived under
certain circumstances and at the discretion of the Firm.

Minimum investments in the Fund are set forth in the Fund’s private placement memorandum.