Swiss Alpine Wealth Management LLC

Item 5 – Fees and Compensation

In addition to the information provided in Item 4 – Advisory Business, this section provides additional
details regarding my firm’s services along with descriptions of each service’s fees and compensation
arrangements. It should be noted that lower fees for comparable service can be available from other

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sources. The exact fees and other terms will be outlined in the agreement between you and Swiss Alpine
Wealth Management.

Asset Management Services

Fees charged for my asset management services are charged based on a percentage of assets under
management, billed in arrears (at the end of the billing period) on a quarterly basis and calculated based
on the fair market value of your account as of the last business day of the current billing period. Fees are
prorated (based on the number of days service is provided during the initial billing period) for your
account opened at any time other than the beginning of the billing period. If asset management services
are commenced in the middle of the billing period, then the prorated fee for that billing period will be billed
in arrears at the end of that billing period.

The asset management services continue until terminated by either party (i.e., Swiss Alpine Wealth
Management or you) by giving thirty (30) days written notice to the other party. When fees are billed in
arrears, Swiss Alpine Wealth Management will prorate the final fee payment based on the number of
days services are provided during the final period. The amount of client assets on the termination date
will be used to determine the final fee payment.

Fees charged for my asset management services are negotiable based on the type of client, the
complexity of the client's situation, the composition of the client's account (i.e., equities versus mutual
funds), the potential for additional account deposits, the relationship of the client with the investment
adviser representative, and the total amount of assets under management for the client.

For my asset management services, client will be charged the following annual fee based upon the
amount of assets under management:

        Assets Under Management                                              Annual Fees
        Under $250,000                                                       1.50%
        $250,001 – $500,000                                                  1.25%
        $500,001 – $750,000                                                  1.00%
        Above $750,001                                                       0.75%

Currently, there is not a minimum account size required to establish services with Swiss Alpine Wealth
Management.

Swiss Alpine Wealth Management believes that its annual fee is reasonable in relation to: (1) services
provided and (2) the fees charged by other investment advisers offering similar services/programs.
However, my annual investment advisory fee may be higher than that charged by other investment
advisers offering similar services/programs. In addition to my compensation, you may also incur charges
imposed at the mutual fund level (e.g., advisory fees and other fund expenses).

You will pay Swiss Alpine Wealth Management the quarterly advisory fee upon receipt of a billing notice
sent directly to you. The billing notice will detail the formula used to calculate the fee, the assets under
management and the time period covered. Fees for our services will be due within 30 days upon receipt
of the billing notice.

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You should review your account statements received from the qualified custodian(s) and verify that
appropriate investment advisory fees are being deducted. The qualified custodian(s) will not verify the
accuracy of the investment advisory fees deducted.

Brokerage commissions and/or transaction ticket fees charged by the qualified custodian are billed
directly to you by the qualified custodian. Swiss Alpine Wealth Management may receive a portion of
such fees from you or the qualified custodian. In addition, you may incur certain charges imposed by
third parties other than Swiss Alpine Wealth Management in connection with investments made through
your account including, but not limited to, mutual fund sales loads, 12(b)-1 fees and surrender charges,
variable annuity fees and surrender charges, IRA and qualified retirement plan fees, and charges
imposed by the qualified custodian(s) of your account. Management fees charged by Swiss Alpine
Wealth Management are separate and distinct from the fees and expenses charged by investment
company securities that may be recommended to you. A description of these fees and expenses are
available in each investment company security’s prospectus.

Financial Planning & Consulting Services

Fees charged for my financial planning and consulting services are negotiable based upon the type of
client, the services requested, the complexity of the client's situation, the composition of the client's
account and other advisory services provided. The following are the fee arrangements available for
financial planning and consulting services offered by Swiss Alpine Wealth Management.

                                  Fees for Financial Planning Services

Swiss Alpine Wealth Management provides financial planning services under a fixed fee arrangement. A
mutually agreed upon fixed fee is charged for financial planning services under this arrangement. There
is a range in the amount of the fixed fee charged by Swiss Alpine Wealth Management for financial
planning services. The minimum fixed fee is generally $1,200, and the maximum fixed fee is generally no
more than $3,000. The amount of the fixed fee for your engagement is specified in your financial planning
...

Item 7 – Types of Clients

Swiss Alpine Wealth Management generally provides investment advice to the following types of clients:

    •   Individuals
    •   High net worth individuals
    •   Investment companies
    •   Pension and profit-sharing plans
    •   Trusts, estates, or charitable organizations
    •   Corporations or business entities other than those listed above

You are required to execute a written agreement with Swiss Alpine Wealth Management specifying the
particular advisory services in order to establish a client arrangement with Swiss Alpine Wealth
Management.

Minimum Investment Amounts Required

There are no minimum investment amounts or conditions required for establishing an account managed
by Swiss Alpine Wealth Management. However, all clients are required to execute an agreement for
services in order to establish a client arrangement with Swiss Alpine Wealth Management and/or the
third-party money manager or the sponsor of third-party money manager platforms.

The minimum fee generally charged for financial planning services provided on an hourly basis is $200.

The minimum hourly fee generally charged for consulting services is $200

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