Roserock Wealth Management LLC

Item 5 – Fees and Compensation

The following paragraphs detail the fee structure and compensation methodology for services provided by the
Advisor. Each Client engaging the Advisor for services described herein shall be required to enter into one or
more written agreements with the Advisor.

A. Fees for Advisory Services
Wealth Management Services
Wealth management fees are paid quarterly at the end of each quarter, pursuant to the terms of the wealth
management agreement. Wealth management fees are based on the average daily balance of assets under
management during the quarter. Wealth management fees are based on the following schedule:

                                                Annual Rate (%)
                             1.10% of value on first $1.5 million of managed assets
                      0.85% of value on next $1.5 million of managed assets, up to $3 million
                      0.55% of value on next $7 million of managed assets, up to $10 million
                               0.30% of value on managed assets over $10 million

Fees may vary from the above fee schedule depending on the nature and complexity of each Client’s
circumstances or with the inclusion of financial planning or other services pursuant to the terms of the wealth
management agreement. Additionally, the Advisor, at its discretion, may negotiate fees for certain Client
accounts. RoseRock may impose a minimum annual account fee of $11,000.00, which is negotiable at the
discretion of the Advisor. An estimate for the total costs will be determined prior to establishing the advisory
relationship.

Wealth management fees in the first quarter of service are prorated from the inception date of the account[s] to the
end of the first quarter. Fees may be negotiable at the sole discretion of the Advisor. The Client’s fees will take into
consideration the aggregate assets under management with the Advisor. All securities held in accounts managed
by RoseRock will be independently valued by the Custodian. The Advisor will conduct periodic reviews of the
Custodian’s valuation to ensure accurate billing.

The Advisor’s fee is exclusive of, and in addition to, brokerage fees, transaction fees, and other related costs and
expenses, which may be incurred by the Client. However, the Advisor shall not receive any portion of these
commissions, fees, and costs.

Use of Independent Managers – As noted in Item 4, the Advisor may implement all or a portion of a Client’s
investment portfolio utilizing one or more Independent Managers. To eliminate any conflict of interest, the
Advisor does not earn any compensation from an Independent Manager. The Advisor will only earn its
investment advisory fee as described above. The Advisor and Independent Managers will calculate and deduct
fees independent of each other pursuant to the terms of the executed agreement between the Advisor and the

                                          RoseRock Wealth Management, LLC
                                       5950 Sherry Lane, Suite 201, Dallas, TX 75225
                                                  Phone: (214) 220-8989
                                                 www.roserockwealth.com

Independent Manager. The total blended fee, including the Advisor’s fee and the Independent Manager’s fee, will
not exceed 2.00% annually.

Third-Party Access Platforms
For assets managed through a third-party platform, the Client is not charged any additional platform fees. The
Advisor bears the cost of the platform in order to service these Client assets. Advisory fees apply to assets
accessed and managed through the platform as part of the Client’s assets under management, as disclosed
above.

Foundations Services
As part of Foundations services, the Advisor offers Clients with less than $1,000,000 in assets under management,
investment management and ongoing financial planning as separate services for an annual investment
management fee of 1.10%, payable at the end of each quarter. The Advisor generally requires a minimum
relationship size of $250,000 and a minimum quarterly investment management fee of $687.50.

Financial Planning Services
RoseRock offers ongoing financial planning services, which are included in its wealth management services for
Clients with greater than $1,000,000 in assets under management.

Ongoing standalone financial planning services are offered for an additional monthly fee for Clients with less than
$1,000,000 in assets under management. Additionally, for Clients with less than $1,000,000 in assets under
management, there is a one-time fee ranging from $1,000 to $3,000 for the preparation of the initial financial plan.
This fee will vary depending on the nature and complexity of each Client’s circumstances. An estimate for total
costs will be determined prior to establishing the advisory relationship. Fees for ongoing financial planning services
are offered for a fixed monthly fee of $150 per month. Financial planning fees are negotiable at the sole discretion
of the Advisor.

Retirement Plan Advisory Services
Fees for pension/retirement plan advisory services are charged an annual asset-based fee of up to 0.75% and are
billed at the end of the quarter, pursuant to the terms of the retirement plan advisory agreement. Retirement plan
advisory fees are based on the average daily balance of assets supervised by the Advisor during the quarter. Fees
may be negotiable depending on the size and complexity of the Plan.

Fees are generally based on the following schedule:

                            Assets Under Management ($)                   Annual Rate (%)
                            Under $2,000,000                                  0.75%
                            $2,000,000 to $5,000,000                          0.60%
                            $5,000,001 and over                               0.45%

Certain existing Clients may have fee schedules that differ from the schedule above.

B. Fee Billing
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Item 7 – Types of Clients

RoseRock offers advisory services to individuals, high net worth individuals, trusts, estates, pensions and profit-
sharing plans, and charitable organizations. The amount of each type of Client is available on RoseRock’s Form
ADV Part 1A. These amounts may change over time and are updated at least annually by the Advisor.
RoseRock generally imposes a minimum annual fee of $11,000 for wealth management Clients with over
$1,000,000 in assets under management and a minimum quarterly fee of $687.50 for Clients with under
$1,000,000 in assets under management.