Rothschild Wealth LLC

Item 5: Fees and Compensation

Rothschild Wealth may be paid performance-based fees by the affiliate private fund for which it serves as the
investment manager. Such performance-based fees create an economic incentive for the investment manager to
take additional risks in the management of a client portfolio that may be in conflict with the client’s current
investment objectives and tolerance for risk. Please refer to Item 6 for more information on performance-based
fees.

E. Important Disclosure – Custodian Investment Programs
Please be advised that certain of the firm’s investment adviser representatives are registered with a broker-dealer
and/or the firm is a broker-dealer or affiliated with a broker-dealer. Under these arrangements, we can access
certain investment programs offered through the broker-dealer that offer certain compensation and fee
structures that create conflicts of interest of which clients need to be aware. As such, the investment adviser
representative and/or the firm may have an economic incentive to recommend the purchase of 12b-1 or revenue
share class mutual funds offered through the broker-dealer platform rather than from the investment adviser
platform. Please note the following:
Limitation on Mutual Fund Universe for Custodian Investment Programs: Please note that as a matter of policy we
prohibit the receipt of revenue share fees from any mutual funds utilized for our advisory clients’ portfolios. There
are certain programs in which we participate where a client’s investment options may be limited in certain of
these programs to those mutual funds and/or mutual fund share classes that pay 12b-1 fees and other revenue
sharing fee payments, and the client should be aware that the firm is not selecting from among all mutual funds
available in the marketplace when recommending mutual funds to the client.
Conflict Between Revenue Share Class (12b-1) and Non-Revenue Share Class Mutual Funds: Revenue share class/12b-1
fees are deducted from the net asset value of the mutual fund and generally, all things being equal, cause the
fund to earn lower rates of return than those mutual funds that do not pay revenue sharing fees. The client is
under no obligation to utilize such programs or mutual funds. Although many factors will influence the type of
fund to be used, the client should discuss with their investment adviser representative whether a share class from
a comparable mutual fund with a more favorable return to investors is available that does not include the
payment of any 12b-1 or revenue sharing fees given the client’s individual needs and priorities and anticipated
transaction costs. In addition, the receipt of such fees can create conflicts of interest in instances (i) where our
adviser representative is also licensed as a registered representative of a broker-dealer and receives a portion of
12b-1 and or revenue sharing fees as compensation – such compensation creates an incentive for the investment
adviser representative to use programs which utilize funds that pay such additional compensation; and (ii) where
the custodian receives the entirety of the 12b-1 and/or revenue sharing fees and takes the receipt of such fees
into consideration in terms of benefits it may elect to provide to the firm, even though such benefits may or may
not benefit some or all of the firm’s clients.

Item 7: Types of Clients
Rothschild Wealth offers its investment services to various types of clients, including individuals and high-net-
worth individuals, corporate executive groups, trusts, corporations, partnerships, retirement plans, tax exempt,
proprietary private fund, and other legal entities. Although Rothschild Wealth provides investment services to
the various types of clients mentioned, the services are conditioned upon meeting certain minimum criteria
established by Rothschild Wealth for each of the investment programs it offers.
For retail client accounts, Rothschild Wealth generally requires a minimum account value of $100,000 for
accounts it manages on a discretionary basis. Prospective clients may find comparable services at more favorable
pricing elsewhere. For accounts utilizing a sub-adviser, Rothschild Wealth imposes a minimum account size of
$150,000. In the case of Rothschild Wealth supervised assets, Rothschild Wealth, in its sole discretion, may waive
the required minimum.
For institutional client accounts, Rothschild Wealth generally requires a minimum annual fee of $10,000. This
equates to a minimum account size of $1,000,000. As such, clients with plan balances of less than $1,000,000 may
be charged a plan set-up fee in year 1 to account for the upfront work to establish, set up, and implement a new
plan. Rothschild Wealth may waive the required minimum account values in special circumstances and reserves
the right to make exceptions to such minimum account values at its sole discretion.