Strategic Wealth Capital LLC

Item 5            Fees and Compensation

The information below provides an overview of the fees and compensation we generally receive for the
services we provide. Please refer to your agreement with SWC for information about the specific fees to
be imposed with respect to your account and the other terms and conditions that will govern your
relationship with SWC. Fees may vary due to factors that may include, but are not limited to, the
circumstances of the Client, size and scope of overall Client relationship, Client service needs and
restrictions, or different servicing components.

5A. Strategic Wealth Capital Compensation
Financial Planning Fees
SWC may offer fixed fee arrangements to a Client for financial planning services. Fixed fees are computed
based upon a good faith estimate of the hours required to perform services. SWC attempts to maintain
parity with fixed charges while allowing some flexibility in estimation, considering case complexity and
Client-specific circumstances. Financial planning fees are determined at the time of the engagement.
Factors considered in determining the fees charged include the type of financial planning services provided.

The financial planning fee shall be mutually agreed upon in advance in the Financial Planning Agreement
executed by and between the Client and SWC. The financial planning fees charged under the Financial
Planning Agreement may be higher than fees charged by other investment advisers for the same services. Fees
are payable immediately upon receipt of an invoice for the services, or completion of the agree-on scope of
services, whichever occurs first. Any such fee shall be separate from the asset-based investment
management fee.

Investment Management Fees
The Adviser bases its annual investment management fee upon a percentage of assets under
management. The Adviser charges, monthly in advance, an annual fee of up to 2.00% of assets under
management. A non-wrap annual investment management fee may be the same, more, or less than a
wrap program fee. Fees may vary due to factors that may include, but are not limited to, the
circumstances of the Client, size and scope of the overall Client relationship, Client investment guidelines,
additional or differing levels of servicing, or as may be otherwise agreed with specific Clients.

TPMM Fees
Client accounts are generally managed via TPMM platforms. SWC has entered into sub-advisory service
agreements directly with TPMMs where such agreements set forth the types of services TPMMs can provide
to SWC and its Clients. Such TPMM agreements disclose the fees they charge SWC for portfolio
management, i.e., investment model strategies utilized in Client accounts. The TPMM agreements with

SWC may also disclose the fees charged for other account services. SWC pays TPMMs directly for their fees,
which vary depending upon the TPMM and the service provided to Client portfolios.

TPMM related fees include “platform fees,” which are paid by SWC. SWC pays platform fees to TPMMs
such as Adhesion and to the Clients’ account custodian, Charles Schwab & Co. (“Schwab”) to obtain access
to TPMMs and their investment models. Platform fees charged by TPMM and Schwab are paid by SWC, and
such fees are based on the amount of Client assets on the platform.

5B. Deducting Fees From Client Accounts
Adviser’s Fees
SWC generally requires Clients to authorize the direct debit of advisory service fees from their accounts.
However, certain exceptions may be granted, subject to SWC’s written consent, to permit Clients to be
billed directly for advisory service fees. The Client may withdraw this authorization for direct debit of the
advisory service fee at any time by notifying SWC or the custodian in writing. If the cash portion of an
account is insufficient to pay the advisory service fee, SWC may direct the custodian to liquidate assets
selected by SWC to pay such fees.

Third-Party Money Manager Fees
Fees charged by TPMMs outside of a wrap program may be similar to, more, or less than fees assessed by
SWC. Clients not in a wrap program will pay any TPMM engaged fees, which are separate from and in
addition to the Adviser’s fees. TPMM fees may be deducted directly from Client accounts or billed separately.
Clients referred to a TPMM for the management of a separate account are directed to the TPMM’s
disclosure documents, such as the TPMM’s Form ADV Part 2A.

5C. Other Types of Fees
Certain “fees” not included in the investment management fee are paid for separately by the Client, for
example, Clients will pay charges imposed directly by a mutual fund, index fund, or exchange traded fund
which shall be disclosed in the fund’s prospectus (i.e., fund management fees, distribution fees, and other
fund expenses), mark-ups and mark-downs, spreads paid to market makers, or fees for trades executed
away from the custodian.

Additionally, Clients may incur certain charges imposed by custodians, brokers, and other third parties
such as deferred sales charges, odd-lot differentials, ADR Fees, transfer taxes, wire transfer and electronic
fund fees, and other fees and taxes on brokerage accounts and securities transactions. Also, Clients will
pay the following separately incurred expenses: charges imposed directly by an investment model. Clients
may be responsible for paying fees charged by TPMMs and platform providers such as Schwab and
Adhesion, which have been engaged to manage Client accounts as described more fully in SWC’s
investment management agreement. Such charges, fees, and commissions are exclusive of, and in
addition to, our fee.

As disclosed in SWC’s Wrap Fee Brochure, wrap fee program Clients may also pay fees not included in the
wrap fee. Clients in a wrap program may incur certain charges by custodians, brokers, and other third
parties such as custodian fees, deferred sales charges, odd-lot differentials, and ADR Fees. Also, Clients
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Item 7            Types of Clients

The Adviser predominantly offers its services to high net worth individuals and families, business owners
and executives.

The Adviser may waive its minimum asset of ($5,000,000), requirement based upon factors such as
anticipated future earning capacity, anticipated future additional assets, account composition and
complexity. Other exceptions may apply to employees of the Adviser and their relatives, or relatives of
existing Clients.