Riverchase Wealth Management LLC

Item 5: Fees and Compensation

A. Fee Schedule

Investment Management Services Fees

            Assets Under Management                  Annual Fee
                 First $1,000,000                      1.00%
                 Next $2,000,000                       0.85%
                 Next $2,000,000                       0.75%
                Above $5,000,000                       0.65%

These fees are negotiable and the final fee schedule will be included in the Investment Advisory Agreement.
Fees are paid quarterly in advance, and clients may terminate their contracts with ten days’ written notice.
Refunds are given on a prorated basis, based on the number of days remaining in a quarter at the point of
termination. Clients may terminate their contracts without penalty, for full refund, within 5 business days
of signing the advisory contract. Advisory fees are withdrawn directly from the client’s account(s) with
client’s written authorization. In cases where Advisor fees are directly deducted, the Custodian will send
the client account statements, at least quarterly, reflecting the deduction of the advisory fees.

Financial Planning Fees

Depending upon the complexity of the situation and the needs of the client, the rate for creating client
financial plans is between $500 and $15,000. Fees are negotiable and the final fee schedule will be included
in the Financial Planning Agreement, or if applicable, the Wealth Management Agreement. A deposit of the
lesser of $500 or half of the estimated fees may be collected at the beginning of the engagement, but never
more than six months in advance, with the fee balance, if any, due at the time the final plan is delivered.
Fees that are charged in advance will be refunded based on the prorated amount of work completed at the
point of termination. Clients may terminate their contracts without penalty within five business days of
signing the advisory contract.

Retirement Plan Advisory & Consulting Fees
Fees for retirement plan advisory and consulting services will vary depending on the specific services
selected. In general, the more services provided by RWM, the higher the fee level, and the more basic and
limited the services provided, the lower the fee level. Fees will be based on a percentage of plan assets
and/or a flat fee and/or a project fee. Fees can be paid via an agreement to have the plan custodian or
recordkeeper deduct and pay fees directly to RWM, an invoice to the plan custodian/recordkeeper, a direct
invoice to the plan sponsor, or direct fee deduction from participant accounts subject to the Plan
Agreement.

Selection of Other Advisor Fees
RWM may direct clients to third-party money managers. RWM will charge clients a separate and distinct
fee from that charged by any third-party manager. Third-party managers will charge management fees for
accounts that use their separately managed accounts. These fees are in addition to the fees charged by
RWM. This relationship will be disclosed in each contract between RWM and each third-party manager.

B. Payment of Fees

Payment of Investment Supervisory Fees
Advisory fees are withdrawn directly from the client’s accounts with client written authorization. Fees are
paid quarterly in advance.

Advisory fees may also be invoiced and billed directly to the client quarterly in advance at the discretion of
the Advisor. If approved by the Advisor, payments are due 15 days following end of month or quarter.

Payment of Financial Planning Fees
Fixed Financial Planning fees are paid via check in advance, or electronically if available, but never more
than six months in advance. A deposit of the lesser of $500 or half of the estimated total fees may be
collected at the beginning of the engagement. Fees that are charged in advance will be refunded based on
the prorated amount of work completed at the point of termination.

C. Clients Are Responsible for Third Party Fees

Clients are responsible for the payment of all third-party fees (i.e., custodian fees, mutual fund fees,
transaction fees, etc.). Those fees are separate and distinct from the fees and expenses charged by RWM.
Please see Item 12 of this brochure regarding broker/custodian.

D. Prepayment of Fees

RWM collects fees in advance, but never more than six months in advance. Fees that are collected in
advance will be refunded based on the prorated amount of work completed at the point of termination and
the total days during the billing period. Fees will be returned within fourteen days to the client via check.

E. Outside Compensation for the Sale of Securities to Clients

Neither RWM nor its supervised persons accept any compensation for the sale of securities or other
investment products, including asset-based sales charges or services fees from the sale of mutual funds.
While there is no direct compensation for the sale of securities or investment products, there may be
incidental and non-material value provided by investment providers as a normal part of RWM’s
relationship with investment providers. Examples include being provided lunch or dinner while visiting
with a representative of the investment provider to learn about their products and how they can benefit
clients, hotel rooms at investment conferences and other non-material value.

types of clients:

   •   Individuals
   •   High-Net-Worth Individuals
   •   Trusts
   •   Estates
   •   Pension & Profit-Sharing Plans
   •   Small Businesses
   •   Corporations

Minimum Account Size

There is an relationship minimum of $250,000 for investment management services, which may be waived
by the RWM, based on the needs of the client and the complexity of the situation.