Sequent Planning LLC

Item 5 – Fees and Compensation
In addition to the information provided in Item 4 – Advisory Business, this section provides additional
details regarding our firm’s services along with descriptions of each service’s fees and compensation
arrangements. It should be noted that lower fees for comparable service may be available from other
sources. The exact fees and other terms will be outlined in the asset management agreement between
you and Sequent Planning.
Sequent Planning allows your IAR to set Advisory Fees within ranges provided by Sequent Planning. As
a result, your IAR can charge more or less for the same service as another IAR of Sequent Planning.

Fees for Asset Management Services
Fees charged for our asset management services (“Advisory Fee”) are charged based on a percentage of
Assets Under Management (“AUM”), billed in arrears, net of income, withholding or other taxes (at the
end of the billing period) and deducted from your account on a quarterly calendar basis. The Advisory
Fees are calculated based on the fair market value of your account as of the last business day of the

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current billing period. Each quarter, the qualified custodian of your account sends or makes available to
you an account statement that includes an Advisory Fee notification which shows the computed fee, any
adjustments to the fee, an explanation of any adjustment and the net Advisory Fee to be deducted later in
the period from your account.
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 in arrears at the end of that billing period.
The asset management services continue until terminated by either party (i.e., Sequent Planning or you)
by giving thirty (30) days written notice to the other party. When fees are billed in arrears, Sequent
Planning will prorate the final fee payment based on the number of days services are provided during the
final period. The amount of client assets on the termination date will be used to determine the final
Advisory Fee payment amount.
Advisory Fees charged for our asset management services are negotiable based on the IAR providing the
services, the type of client, the complexity of the client's situation, the composition of the client's account
(i.e., equities versus mutual funds), the potential for additional account deposits, the relationship of the
client with the IAR, and the total amount of assets under management for the client.
The annual Advisory Fee for asset management services will never exceed 1.75% (Advisory Fee Cap).
Each advisor has the authority and discretion to price their advisory services; therefore, the annual
Advisory Fee may fluctuate from advisor to advisor and from client to client.
Sequent Planning believes that its annual Advisory 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 Advisory Fee may be higher than that charged by other investment advisers offering similar
services/programs.
In addition to the Advisory Fee, you may incur additional charges imposed by third parties other than
Sequent Planning in connection with investments made through your account including, but not limited to
mutual fund sales loads, internal expenses of the security which may include 12(b)-1 fees, surrender
charges, variable annuity fees and surrender charges, IRA and qualified retirement plan fees, and
custodian service charges. Advisory Fees charged by Sequent Planning are separate and distinct from
the fees and expenses charged by the investment company that created and manages the mutual fund or
exchange traded fund. A description of the fees and expenses charged on the investment are available
in each investment prospectus.
The Advisory Fees are 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 Advisor Fees directly to our firm. The billing statement will detail the formula
used to calculate the Advisory Fee, the assets under management and the time period covered.
You should review your account statements received from the qualified custodian(s) and verify that
appropriate Advisory Fees are being deducted. The qualified custodian(s) will not verify the accuracy of
the Advisory Fees deducted.

Fees for Financial Planning Services
Sequent charges for the time, energy and knowledge utilized to create your financial plan. Fees charged
for our financial planning services are negotiable based upon the particular investment advisor
representative working with client, the type of client (including prospective clients for marketing purposes),
the complexity of the client's situation, the composition of the client's account (i.e., equities versus mutual

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funds), the potential for additional account deposits, the relationship of the client with the investment
advisor representative, the geographic location and the total amount of assets under management for the
client (combined as “negotiable factors”).
Sequent provides financial planning services under either an hourly or fixed fee arrangement, as specified
in the agreement. Each investment advisor representative has the authority to waive the financial
planning fee. By signing an Asset Management Agreement with Sequent, we may offer to waive or
reduce the fees for financial planning services.
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Item 7 – Types of Clients
Sequent Planning generally provides investment advice to the following types of clients:
    •   Individuals
    •   High net worth individuals
    •   Defined Benefit and Define Contribution Plans
    •   Small and Medium size Businesses
    •   Endowments
    •   Non-Profit Organizations
We require you to execute a written agreement with us specifying the particular advisory services in order
to establish a client arrangement with Sequent Planning.
Minimum Investment Amounts Required
Sequent does not have any minimum account requirements.