Sauberan & Company LLC

Item 5: Fees and Compensation

Full disclosures of the fees are made prior to providing service(s) and are agreed upon
by written contract. All fees are negotiable. Sauberan & Company manages assets on a
fee-only basis, advisory fees are deducted from the clients account in arrears at the end
of each quarter. Ticket charges for securities transactions are the clients’ responsibility.
Clients have total freedom to effect securities with any broker-dealer or financial
institution of their choice. Sauberan & Company transacts securities through Schwab
Advisor Services, a full service securities custodian.

Asset Management Fee Schedule – 1% annually of managed assets paid in arrears on
a quarterly basis. Sauberan & Company does not accept pre-payments! In certain more
complex situations fees could be 1.5% annually but only with prior agreement!

All debt instruments (bonds) include accrued interest when calculating advisory fees
charged to clients.

Sauberan & Company, nor any of it’s supervised employees, (if any) are compensated
for the sale of securities or other investment products.

Item 7: Types of Clients
We offer financial planning and investment management services to individuals, families
and small businesses. There are no strict minimum asset-, income-, or account size-
requirements to become a financial planning or investment management client of
Sauberan & Company, LLC, we work with clients who have at least $200,000+ in
investable assets.