Rockport Wealth LLC

ITEM 5: FEES, COMPENSATION AND TERMINATION OF SERVICES

A. FEE SCHEDULES

Financial Planning
The Advisor’s negotiable hourly fee ranges between $200 - $400. The fee rate will be
determined and agreed upon at engagement, based on the scope and/or complexity of
services.

Investment Management Services
As discussed in Item 4.D of this Brochure (and in Appendix 1, the Program Brochure), the
Advisor’s Investment Management fees are calculated as a percentage of assets under
management by household and combines portfolio management, commissions, trade
execution costs, custody, and other standard brokerage services within a single investment
management fee under The Rockport Wealth Wrap Fee Program. The wrap fee does not
include separate administrative costs that may be charged by sponsors of mutual funds or
excluded funds held in the account. The agreed upon annual fee is negotiable, based on the
nature, complexity, and scope of services as well as the amount and nature of assets to be
managed, pre-existing relationships, and other factors, at the discretion of the Advisor as
follows:

               Account Value                  Standard Fee Schedule
                $0 - $500.000                         1.25%
             $500,001 and above                 1.00% or negotiable
                            All fees are negotiable

The fees are charged based on a flat percentage using total account value (including cash and
cash equivalent positions such as money market funds), as opposed to a tiered rate. The
account value will be based upon the total value of all accounts attributable to the same
household, so the same fee rate will be applied to each of those accounts. Different accounts
within a household may have a different fee structure based on the assets involved. The
agreed upon fee schedule will be established in the Advisor’s Client Agreement.

Fees are paid monthly in advance, except for the initial month which is billed pro rata in
arrears.

Please refer to Item 4.A for our discussion titled, “Wrap Fee Program Disclosures”.

RWA has had different fee schedules in place in the past and, as stated above, our fees are
negotiable at our discretion, which means that not all RWA clients are paying the same fees.

The investment management fee may be revised during the engagement, particularly if
different needs and/or complexities arise, or the scope of services should change. In such
cases, the Advisor will notify the client of its intention to modify the fee with at least 30 days’
written notice. Should the client decide not to accept the amended fee terms, the client is
welcome to terminate services with 5 days’ written notice prior to the effective date of the fee
modification.

While the Advisor takes the position that its fees are competitive, fees may be higher or lower
than fees charged by other financial services providers for similar services.

Fee Treatment of Alternative Investments and Private Placements
If the Advisor recommends any alternative investments or private placements for a client’s
portfolio (typically these will be investments in products such as Delaware Statutory Trusts or
Opportunity Zones), the investment will be included as a part of the client’s AUM for purposes
of determining the fee charged; however any costs incurred by the alternative investment will
be covered by the Advisor under our wrap program.

Any outside alternative investments or private placements not recommended by the Advisor,
that are currently being held in an RWA account, will be excluded from billing. The client will be
responsible for any additional costs or alternative asset maintenance fees for these products,
even if these products are included within a wrap account, as the only service provided by
RWA for these accounts would be to facilitate redemptions as requested by the client. The firm
will not accept holding new outside private placements within RWA accounts that were not
recommended by the Advisor; RWA will continue to help facilitate redemptions of these
products as needed and upon client request.

Performance-Based Fee Arrangements
For Qualified clients, as defined by the Securities and Exchange Commission, the Advisor may
negotiate a fee based on a combination of a percentage of assets under management and a
performance fee. In such cases, the Advisor charges a maximum asset management fee of
10% of the annual gross profits for the account in performance fees. The performance fee is
invoiced directly to the client and is payable annually, in arrears. No performance fee will be
charged, except to the extent that the amount of capital increase exceeds the sum of any
cumulative loss in the account on a yearly basis. In the event the client makes a complete
withdrawal from the account on a date other than the end of the year, fees will be due at the
time of withdrawal. Annual gross profits are defined as the difference in the value of the
account for the previous 4 quarters, adjusted for deposits and withdrawals made during the
year. Please see important disclosures in Item 6 of this Brochure which discusses side-by-side
management.

For Clients Utilizing Betterment’s Services
Betterment collects the total investment management fee of .75% and retains .25% for its sub-
advisory services in accordance with its separate agreement with our clients. The Advisor is
compensated for its investment management services at annual rate of .50% of the assets
under management. Fees associated with this program are invoiced quarterly in arrears and
are based on the portfolio value on the last market day of the prior quarter, as determined by
the client’s custodian. Each quarter’s fee is calculated by multiplying the portfolio value by the
annual fee and dividing the sum by 4. A pro-rata fee is calculated for services initiated at any
time other than at the beginning of a calendar quarter.

Consultation Services
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ITEM 7: TYPES OF CLIENTS AND MINIMUM CONDITIONS

The Advisor offers investment advisory services to individuals and high net worth individuals.

The suggested account minimum for investment management services is $250,000 but can be
negotiated based upon individual circumstances.

A client seeking performance-based services, as discussed at Item 5.A of this brochure, must
meet the definition of a qualified client as established by the United States Securities and
Exchange Commission (assets under the Advisor’s management of at least $1,100,000, or a
minimum liquid net worth of $2,200,000).

Since ongoing investment management services may not be appropriate for some investors,
the Advisor reserves the right to decline to provide services to any person or firm and for any
reason.