Sovereign Wealth Advisors LLC

Item 5: Fees & Compensation
How We Are Compensated for Our Advisory Services

Wrap Comprehensive and Comprehensive Portfolio Management
The maximum annual advisory fee for both Wrap Comprehensive and Comprehensive Portfolio Management
accounts is 2.50% of assets under management. Fees are negotiable in our discretion based on factors such as
account size, complexity, related accounts, anticipated services, and legacy pricing arrangements. Our fees are
generally billed quarterly in advance on a pro rata annualized basis, based on the value of the account on the last
day of the preceding quarter unless the applicable agreement provides otherwise.
Fees are typically deducted directly from the client’s managed account pursuant to written authorization. The
qualified custodian sends account statements to clients at least quarterly showing all disbursements from the
account, including advisory fees paid to SWA. Clients may also elect, where permitted, to pay fees by other
methods described in the applicable advisory agreement.

Advisory Sponsored Programs
The maximum annual fees for sponsored or platform-based advisory programs offered through our firm are as
follows:
Program                                                                            Maximum Annual Fee
Optimum Market Portfolios Program (OMP) – LPL                                      2.50%
Personal Wealth Portfolios Program (PWP) – LPL                                     2.95%
Model Wealth Portfolios Program (MWP) – LPL                                        2.50%
Manager Access Select Program (MAS) – LPL                                          2.95%
Guided Wealth Portfolios (GWP) – LPL                                               1.35%

PWP, MWP, MAS, and similar programs may include both an SWA advisory fee component and a sponsor,
manager, strategist, or program fee component. For example, MAS, PWP, and MWP may include an SWA
advisory fee of up to 2.35% together with a manager or strategist fee of up to 0.60%, depending on the program
and selected model or manager. GWP clients are generally charged an LPL program fee of 0.35% and an SWA
advisory fee of up to 1.00%. Clients should review the applicable program brochure and account agreement for a
complete description of fees, costs, billing, and services.
Program fees are generally billed quarterly in advance, although certain programs, custodians, or account types
may bill in arrears. LPL acts as sponsor, co-investment adviser, broker-dealer, custodian, and/or administrator for
certain LPL programs, depending on the structure of the program. Charles Schwab acts as custodian for certain

                                                                       Sovereign Wealth Advisors, LLC — Form ADV Part 2A

Schwab-based arrangements. SWA may share in program fees or other compensation associated with these
arrangements as described in the applicable program materials.

Conflicts Related to Sponsored or Platform-Based Programs
SWA receives compensation as a result of a client’s participation in certain platform-based or sponsored
programs. Depending on the type and size of the account, the investments used, the services provided, the
number of transactions, and the ability to negotiate fees, the compensation SWA receives from one program
may be more or less than the compensation SWA would receive if the client used another program or paid
separately for advisory, brokerage, and related services. As a result, SWA has a financial incentive to recommend
programs that are more profitable to SWA.
The total fee charged in a sponsored or platform-based program may be higher than the fee charged by another
investment adviser or by a client obtaining comparable services separately. We address these conflicts by
making recommendations we believe are in the client’s best interest, by disclosing material conflicts, and by
encouraging clients to review the applicable program brochure and account agreement carefully.

Financial Planning & Consulting
We charge for financial planning and consulting services on an hourly or flat-fee basis. Our hourly fee is $350.
Flat fees generally range from $1,500 to $10,000, depending on the scope and complexity of the engagement.
Fees are negotiable in our discretion.
We generally require a retainer equal to 50% of the total financial planning or consulting fee, with the balance
due within 30 days after delivery of the financial plan or completion of the consultation. We will not require a
retainer exceeding $1,200 for services that cannot be rendered within six months. Clients may pay by check,
through an authorized custodian debit from a non-retirement account where permitted, or through an approved
third-party payment processor.

Educational Seminars
Clients may be charged up to $500 to attend an educational seminar. The fee, if any, is payable in advance and is
described in the applicable seminar agreement. Clients may rescind their reservation and receive a full refund if
they cancel at least 48 hours before the seminar.

Retirement Plan Consulting
Our maximum fee for Retirement Plan Consulting is 1.50% of plan assets under advisement. We may also charge
hourly fees for one-time consulting engagements, with a maximum hourly fee of $350. Fees are negotiable in
our discretion and are set forth in the applicable agreement.
Ongoing retirement plan consulting fees are generally billed quarterly in arrears based on plan asset value as of
the last day of the quarter and are typically deducted from plan assets pursuant to written authorization. Hourly
consulting engagements are generally billed directly and are due within 30 days.

Other Types of Fees & Expenses
Clients may incur additional fees and expenses in connection with our advisory services that are separate from
and in addition to SWA’s advisory fee. These may include custodial fees, brokerage commissions, ticket charges,
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Item 7: Types of Clients & Account Requirements
We provide advisory services to the following types of clients:
 • Individuals and high net worth individuals
 • Trusts, estates, and charitable organizations
 • Pension and profit-sharing plans
 • Corporations, limited liability companies, and other business entities
General account minimums are as follows, although exceptions may be made in our discretion:
 • Comprehensive Portfolio Management: $10,000
 • Optimum Market Portfolios (OMP): $10,000
 • Personal Wealth Portfolios (PWP): $250,000
 • Model Wealth Portfolios (MWP): $10,000
 • Guided Wealth Portfolios (GWP): $5,000
 • Manager Access Select (MAS): generally $100,000, although certain strategies may have higher or lower
   minimums