Success Wealth Management LLC

Item 5: Fees and Compensation
Method of Compensation and Fee Schedule
 ASSET MANAGEMENT
 SWM offers discretionary direct asset management services to advisory Clients. Lower fees
 for comparable services may be available from other sources. Total fees to Client will never
 exceed the safe harbor threshold of 3% of assets under management per year. SWM
 charges an annual investment advisory fee based on the total assets under management as
 follows:
      Assets Under Management             Annual Fee               Quarterly Fee
             $0 - $250,000                   1.50%                      0.375%
        $250,001 - $1,000,000                1.25%                     0.3125%
          $1,000,001 and up                  1.00%                      0.25%
 This is a tiered or breakpoint fee schedule, the entire portfolio is charged the same asset
 management fee. For example, a Client with $750,000 under management would pay
 $9,375 on an annual basis. $750,000 x 1.25% = $9,375.
 The annual fee is negotiable based upon certain criteria (e.g., historical relationship, type of
 assets, anticipated future earning capacity, anticipated future additional assets, dollar
 amounts of assets to be managed, related accounts, account composition, negotiations with
 Clients, etc.). Fees are billed quarterly in arrears based on the amount of assets managed as
 of the close of business on the last business day of the previous quarter. Lower fees for
 comparable services may be available from other sources. Clients may terminate their
 account within five (5) business days of signing the Investment Advisory Agreement with
 no obligation and without penalty. Clients may terminate advisory services with thirty (30)
 days written notice. For accounts opened or closed mid-billing period, fees will be prorated
 based on the day’s services are provided during the given period. All unpaid earned fees
 will be due to SWM. Client shall be given thirty (30) days prior written notice of any
 increase in fees. Any increase in fees will be acknowledged in writing by both parties before
 any increase in said fees occurs.
 The investment advisory fee is billed directly to the Custodian. The Custodian deducts the
 fee for the Account upon receipt of the invoice, or shortly thereafter. SWM will not be
 compensated based on the basis of a share of capital gains or capital appreciation of the
 assets in the Account.
 In computing the market value of any investment in the Account, each security listed on
 any national securities exchange or otherwise subject to current last-sale reporting shall be
 valued at the last sale price on the valuation date. However, for assets such as alternative
 investments where a fee is charged and the custodian does not price the security, the asset
 may be priced by the provider of the asset according to their pricing policy or may also
 involve independent pricing services for assets that are priced in that manner. SWM itself,
 does not price any investment or security for which it charges a management fee or that is
 included in the portfolio return.
 SUB-ADVISOR
 For assets held in the SAVE Program, SAVE nor SWM do not charge a direct advisory fee.
 Instead, the Partner Bank pays revenue associated with client deposits. From this revenue,

 a 0.70% annual fee (calculated daily and deducted monthly) is paid to Save Tech for
 platform services. SWM receives 0.10% of the amount paid for platform services.
 This fee is not charged directly to client accounts but reduces the amount available for
 investment, meaning clients bear the cost indirectly.
 For example, if a client deposits $100,000 and the account earns 4.50% annually, it would
 generate approximately $375 in interest for the month.
 From this amount, a 0.70% annual fee would equal about $58.33 for that month. This fee is
 deducted from the program revenue (not directly from the client’s account).

 The remaining approximately $316.67 is then used to purchase strategy-linked
 investments in the client’s custodial account.
 FINANCIAL PLANNING AND CONSULTING
 SWM charges fixed fee based on complexity and unique Client needs for financial planning.
 Prior to the planning process the Client will be provided an estimated plan fee.
        FIXED FEES
        Financial Planning Services are offered based on a negotiable flat fee up to $5,000.
 Fees for financial plans are due upon delivery of the completed plan/recommendations.
 Services are completed and delivered inside of thirty (30) days contingent upon timely
 delivery of all required documentation. Client may cancel within five (5) business days of
 signing Agreement with no obligation and without penalty. If the Client cancels after five
 (5) business days, any unearned fees will be refunded to the Client, or any unpaid earned
 fees will be due to SWM. SWM reserves the right to waive the fee should the Client
 implement the plan through SWM.
Client Payment of Fees
 Investment management and assets held away fees are billed quarterly in arrears. Fees are
 usually deducted from a designated Client account to facilitate billing. The Client must
 consent in advance to direct debiting of their investment account.
 Fees for financial plans will be billed:
     • Check – to be remitted by Client to SWM.
    •   Electronic Payment via ACH, Debit Card, Credit Card, Venmo and/or PayPal (fees
        will be paid via a third party payment processor in which the client will securely
        input payment information and pay the advisory fee through a secure portal. SWM
        will not have continuous access to the Client’s banking information.)
 SWM, in its sole discretion, may charge a lesser investment advisory fee based upon certain
 criteria (e.g., historical relationship, type of assets, anticipated future earning capacity,
 anticipated future additional assets, dollar amounts of assets to be managed, related
 accounts, account composition, negotiations with Clients, etc.).
...

Item 7: Types of Clients
Description
 SWM generally provides investment advice to individuals and high net worth individuals.
 Client relationships vary in scope and length of service.
Account Minimums
 SWM does not require a minimum to open an account.