Stone Wall Financial Group LLC

ITEM 5: FEES AND COMPENSATION

Sub-Advisory/Model Provider Fees
SWFG may provide investment advisory services as sub-adviser or Model Provider to unaffiliated
investment adviser firms and their advisers who desire active investment management of model portfolios
with specific securities. When acting as a sub-adviser or Model Provider, SWFG receives compensation for
investment management fees ranging between 0.50 – 0.95 percent of assets under management based on
the composition between equites, fixed income, or a blend of asset classes. Fees are payable monthly in
arrears, by the firm or TAMP. Fees are negotiable at the sole discretion of SWFG management. Additional
fees and costs may be imposed in the event unaffiliated investment adviser firms request services or
investment options beyond those offered through our service offerings described in Item 4 above. SWFG is
not involved or responsible for payments of any third-party fees or services provided by the organization,
TAMP or custodian (i.e. custodian fees, brokerage fees, mutual fund fees, trading, transaction fees, etc.).
Those fees are separate and distinct from the fees charged by SWFG. Please see Item 12 of this brochure
regarding broker-dealer/custodian. Clients, through their primary firm and adviser, may execute a separate
agreement with the TAMP allowing them to deduct all fees for services, including SWFG fees, from the
client’s account on a monthly basis, in arrears.

Investment Management Fees
SWFG may also provide investment advisory services to individual clients, operating as the primary adviser
in delivering active investment management of model portfolios with specific securities. When acting as a
primary adviser, SWFG receives compensation for investment management fees ranging between 0.50 –
0.95 percent of assets under management, payable monthly in arrears. Fees are negotiable at the sole
discretion of SWFG management. SWFG may employ a TAMP provider as a sub-adviser to deliver trading,

reporting, billing and custodial support services, with fees ranging between 0.10 and 0.15 percent of assets
under management. Any other expenses related to the ordinary servicing of the Account, including custody
fees, brokerage and other security transaction fees, and/or program fees shall be paid by the Client. Other
non-ordinary fees or fees incurred in the direction of the client shall be paid by the client.

ITEM 7: TYPES OF CLIENTS

SWFG generally provides advisory services to the following types of clients:

        ❖   Retail Clients
        ❖   Corporations or Business Entities
        ❖   Institutional Clients
        ❖   Other Investment Advisers

SWFG imposes an account minimum of $100,000.