Rockwall Wealth Management Inc

Item 5 Fees & Compensation

Fees for non-ERISA 3(21) investment advisory services are generally based upon the following
fee schedule:

Fee                 Assets Under Management
1.2%           $0           to $499,999
1.00%          $500,000     to unlimited

Fees charged for our asset management services may be billed in advance (at the beginning of
the billing period) or in arrears. If billed in arrears, the fee is calculated based on the fair market
value of your account as of the last business day of the billing period. If billed in advance, the fee
is calculated based on the fair market value of your account as of the last business day of the
previous billing period. Certain accounts may be billed on an average daily balance.

The billing frequency may be monthly or quarterly. Fees are prorated (based on the number of
days service is provided during the initial billing period) for your account opened at any time other
than the beginning of the billing period. If asset management services are commenced in the
middle of the billing period, then the prorated fee for that billing period will be billed based on
balance in the account at that time. Accounts which involve the management of annuities are
billed quarterly in arrears. The details of a particular client’s fee schedule shall be specified in their
advisory agreement.

Limited Negotiability of Advisory Fees:

Although Rockwall Wealth Management has established the aforementioned fee schedule(s), we
retain the discretion to negotiate alternative fees on a client-by-client basis. Client facts,
circumstances and needs are considered in determining the fee schedule. These include the
complexity of the client, assets to be placed under management, anticipated future additional
assets; related accounts; portfolio style, account composition, reports, among other factors. The
specific annual fee schedule is identified in the contract between the adviser and each client. We
may group certain related client accounts for the purposes of achieving the minimum account size
requirements and determining the annualized fee.

Discounts, not generally available to our advisory clients, maybe offered to family members and
friends of associated persons of our firm.

Rockwall Wealth Management believes that its annual fee is reasonable in relation to: (1) services
provided and (2) the fees charged by other investment advisers offering similar
services/programs.

However, our annual investment advisory fee may be higher than that charged by other
investment advisers offering similar services/programs.

Exclusions: As part of the limited negotiability of our advisory fees, some client’s positions may
be excluded from their total billable balances. For example, this may include, but is not limited to,
stock from employers or positions the client does not want to be sold.

Payment of Fees: The investment advisory fees may be deducted from your account and paid
directly to our firm by the qualified custodian(s) of your account. You will authorize the qualified
custodian(s) of your account to deduct fees from your account and pay such fees directly to our
firm. If requested, fees may also be invoiced to the client or charged manually to a specific
account. Any invoices issued are due upon receipt.

You should review your account statements received from the qualified custodian(s) and verify
that appropriate investment advisory fees are being deducted. The qualified custodian(s) will not
verify the accuracy of the investment advisory fees deducted

Termination of the Advisory Relationship:
A client agreement may be canceled at any time, by either party, for any reason upon receipt of
30 days written notice. As disclosed above, certain fees are paid in advance of services provided.
Upon termination of any account, any prepaid, unearned fees will be promptly refunded upon
request. In calculating a client’s reimbursement of fees, we will prorate the reimbursement
according to the number of days remaining in the billing period.

Sub-Advisory Fees
Rockwall Wealth Management has the option to also retain sub-advisors to assist in client
management and investment selection. Depending on our agreement with the sub-advisor, we
may collect your advisory fee and pay the sub-adviser or the sub-advisor may collect the advisory
fee and pay us.

FINANCIAL PLANNING FEES

Financial Planning fee is determined based on the nature of the services being provided and the
complexity of each client’s circumstances. All fees are agreed upon prior to entering into a contract
with any client.

Our Financial Planning fees are calculated and charged on an hourly basis, ranging from $100 to
$500 per hour. Although the length of time it will take to provide a Financial Plan will depend on
each client's personal situation, we will provide an estimate for the total hours at the start of the
advisory relationship.

Our Financial Planning fees are calculated and charged on a fixed fee basis, typically ranging
from $350 to $15,000, depending on the specific arrangement reached with the client.

We may request a retainer upon completion of our initial fact-finding session with the client;
however, advance payment will never exceed $500 for work that will not be completed within six

months. The balance is due upon completion of the plan.

Financial Planning Fee Offset: Rockwall Wealth Management reserves the discretion to reduce
or waive the hourly fee and/or the minimum fixed fee if a financial planning client chooses to
engage us for our Portfolio Management Services.

Financial Planning Fee Refund: A full refund of the plan fee will be returned to the client if
requested in writing within 30 days of the plan delivery. Refund requests received after the 30-
day period will be considered on an individual basis depending on the situation and time frame
since the plan delivery.

CONSULTING SERVICES FEES
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Item 7 Types of Clients

Rockwall Wealth Management provides investment advisory and investment management
services to individuals, high net worth individuals, trusts, institutions, charitable organizations and
foundations, pension and profit-sharing plans (other than participants), and corporations or other
businesses not listed.

There are no minimum investment amounts or conditions required for establishing an account
managed by Rockwall Wealth Management however, we reserve the right to terminate an account
that falls below an amount that we feel we cannot effectively manage. All clients are required to
execute an agreement for services in order to establish a client arrangement with us and/or the
third-party money manager or the sponsor of third-party money manager platforms.