Sunrise Financial Services LLC

Item 5: Fees and Compensation
Method of Compensation and Fee Schedule
 ASSET MANAGEMENT
 AE Wealth Management, LLC’s (AEWM)
 Sunrise offers direct asset management services to advisory Clients. Sunrise charges an
 annual investment advisory fee based on the total assets under management as follows:
         Assets Under Management                      Annual Fee            Monthly Fee
      First $1,000,000 ($0-$1,000,000)                  1.20%                   .1
    Subsequent amounts ($1,000,000.01 +)                 1.0%                .08333%

 For clients wishing to have Sunrise manage stocks or other holdings outside of Sunrise
 models, Sunrise will charge an annual fee of .50%.
 The annual fee may be negotiable. Accounts within the same household may be combined
 for a reduced fee. If margin is utilized, the fees will be billed based on the net asset value of
 the account. In computing the market value of any investment of 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. Sunrise itself, does not
 price any investment or security for which it charges a management fee or that is included
 in the portfolio return.
 As indicated in Agreement, AEWM receives a portion of Sunrise's fee for each account. For
 accounts where AEWM is engaged as a platform provider, Clients' fees will be calculated
 and deducted from Client account by AEWM with Sunrise's portion of the overall fee paid
 directly by AEWM to Sunrise. Fees are billed monthly in arrears based on the average daily
 balance of each month. Billing will begin after the account has trade activity or after two
 full monthly billing cycles, whichever is sooner.
 Under the fee billing described above, only one rate is charged against all of the client's
 assets under management in this program.
 Fees are calculated as follows:
 Average Daily Balance x (Fee/10,000)/ of days in a year x # of invested days in a month.
 Example:
 Account Average Daily Balance is $100,000
 Client Fee is 1.20% or 120 basis points
 Invested January 5th
 $100,000 x (120/10,000)/365 x 26 = $85.48
 Lower fees for comparable services may be available from other sources. Fees for asset
 management services are deducted from a designated Client account to facilitate billing.
 Please see Item 15 for more information regarding direct deduction of fees from client’s
 accounts.
 American Funds Service Company (“AFSC”)

Sunrise charges an annual investment advisory fee based on the total assets under
management as follows:
         Assets Under Management             Annual Fee           Quarterly Fee
                Up to $499,999                  1.00%                  0.25%
           $500,000 to $1,999,999               0.85%                0.2125%
           $2,000,000 to $4,999,999             0.50%                 0.125%
             $5,000,000 and Over                0.35%                0.0875%

Clients are invested in portfolios constructed solely of mutual funds managed by American
Funds. The fees will be billed quarterly in arrears. Fees shall be calculated by AFSC for each
quarterly period ending the last business day of February, May, August and November and
shall be the product of (i) the annual investment advisory fee charge by Sunrise and
calculated based on the Client’s cumulative asset value (includes all account types and Fund
share classes) held on the last day of the quarter; (ii) the average daily net asset value of
the Client’s assets invested in Funds through the Program during the quarter; divided by,
(iii) the number of days in the year multiplied by the number of days in the quarter. The
fees shall be paid within thirty (30) days following the end of the quarter for which such
fees are payable. AFSC shall deduct fees from Client accounts to pay Sunrise.
Clients may terminate their account within five (5) business days of signing the Investment
Advisory Agreement with no obligation and without penalty. After the initial five (5)
business days, the agreement may be terminated by Sunrise with thirty (30) days written
notice to Client and by the Client at any time with written notice to Sunrise. For accounts
opened or closed mid-billing period, fees will be prorated based on the days services are
provided during the given period. All unpaid earned fees will be due to Sunrise. 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.

FINANCIAL PLANNING AND CONSULTING
Sunrise charges either an hourly fee or 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. Services are completed and delivered inside of six (6) months
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 Sunrise. Should the Client choose to implement the
plan through Sunrise, they will waive the financial planning fee or offset the fee for related
advisory services of assets being managed by Sunrise.
Full Financial Plans and Hourly Consultation Services
Full Financial Plans and Hourly Consultation services are offered for a fixed fee of $ $250
per hour.
Financial planning fees are not negotiable. Fees for financial plans are due upon delivery of
the completed plan.
Clients can choose to pay for financial planning via Check – to be remitted by Client to
Sunrise.

Client Payment of Fees
 Investment management fees are billed quarterly in arrears, meaning that we charge you
...

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