ITEM 5. FEES AND COMPENSATION
Soltis receives its compensation in the form of advisory fees as set forth below. As a policy, Soltis
does not receive direct compensation from its recommended managers or other investments.
Investment Advisory Fees
Soltis’ investment advisory fees are computed quarterly based on the market value of the assets in
the Client’s account. The investment advisory fee is billed and payable in advance on the first day
of each calendar quarter and equals the market value of the assets in the Client’s account as of the
last business day of the prior calendar quarter multiplied by the fee schedule below.
Notwithstanding the foregoing, if the effective date of a Client’s investment advisory agreement
is a date other than the first day of a calendar quarter, the first invoice will bill the Client (a) in
Soltis Investment Advisors, LLC (SEC #801-71833)
March 2026
arrears for the period from the effective date to the end of the partial calendar quarter based upon
the market value of the assets in the account as of the effective date, and (b) in advance for the first
full calendar quarter, based upon the market value of the assets in the account as of the last business
day of the partial calendar quarter.
Annual % Fee Schedule
Assets Under Management Marginal Fee Rate
Up to $1,000,000 1.25
$1,000,000 - $2,000,000 1.15
$2,000,000 - $5,000,000 .90
$5,000,000 - $10,000,000 .80
Over $10,000,000 To be negotiated with Client
The above fees may vary depending upon the services provided and can be negotiated on an
individual basis. Soltis’ annual management fee is exclusive of, and in addition to, brokerage
commissions, transaction fees and other related costs and expenses that the Client may incur,
including those by unaffiliated third-party custodians, investment managers/sub-advisers and
investment funds. Soltis will not receive any portion of these commissions, fees and costs. For certain
“qualified” accounts; performance-based fees may be offered. If the Client requests additional
personal administrative or other special services (as distinguished from Soltis’ customary
investment advisory services), Soltis may bill the Client separately for such other services at an
hourly or fixed rate to be negotiated with the Client. Lower fees for comparable services may be
available from other service providers.
Investment advisory fees will be automatically deducted from Client’s brokerage accounts. If
Client desires to make annual payments rather than quarterly, or wishes to pay the investment
advisory fee directly rather than have it deducted from their account, the Client must notify Soltis
of such intent in writing prior to the billing date.
Financial Planning and Consulting Fees
Soltis may charge fixed fees and monthly fees for financial planning and consulting services. These
fees are negotiable, but generally range from $500 to $50,000 on a fixed fee basis and $2,500 to
$6,000 per month on a monthly basis depending upon the level and scope of the professional
financial planning and/or the consulting services required. If the Client engages Soltis for
investment advisory services, Soltis may offset all or a portion of its fees for those services for the
financial planning and/or consulting services. Prior to engaging Soltis to provide financial planning
and/or consulting services, the Client is required to enter into a written agreement with Soltis
setting forth the terms and conditions of the engagement.
Self-Directed Fees
If an account that forms part of a broader Client relationship with Soltis is self-directed (i.e., the
Client directs trading in that account), and Soltis’ services related to that account are limited to
trade execution and quarterly reporting, no investment advisory fee will be charged on the assets
held in that account, and instead, Soltis may charge an account fee equal to the higher of $300 per
Soltis Investment Advisors, LLC (SEC #801-71833)
March 2026
year or 0.25% per annum billed in the same manner as described above. The Client is responsible
for all transaction fees and commission charges related to the account as described above.
Sub-Advisory Fees
Soltis may refer Clients to independent investment managers to act as sub-advisers in its sole
discretion, subject to the investment guidelines provided by Soltis. The independent managers
will arrange for the execution of securities transactions for the accounts through brokers or dealers
that they believe will provide best execution. All or a portion of the account transactions may be
placed away from the Client’s custodian if the independent managers believe this will result in
best execution. Each independent manager’s advisory fee is payable in addition to Soltis’ fee and
is debited separately by the custodian or is debited by Soltis and paid to the sub-adviser.
Pension/401(k) Consulting Services Fees
Soltis may determine to provide certain fiduciary consulting services to plan sponsors on a fixed
fee basis. This fee generally starts at $25,000 but will be determined based on the scope of the
services provided and risk associated with such services.