Synergy Asset Management LLC

Item 5         Fees and Compensation
Generally, we charge an annualized management fee based on the value of the assets we manage for you. Our
management fees for non-discretionary accounts are the same as those for discretionary accounts. Our fees
are assessed monthly or quarterly, either in advance or arrears, as indicated in the client agreement. Fees are
calculated based upon the value of your portfolio on the last day of the billing period or on the average daily
balance for the billing period. The method of billing will be agreed upon and outlined in the executed Client
Agreement.

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 SAM and all unearned fees will be
refunded to the Client. Any increase in fees will be acknowledged in writing by both parties before any
increase in said fees occurs. All fee calculations include accrued interest and dividends. Unless specifically
requested, we deduct the management fee directly from your account(s).

The custodian of your account is normally authorized to deduct our advisory fees based on the Account
Agreement we enter into with you at the onset of our relationship. All fees deducted and paid to us will be
reflected on your quarterly account reports as well as on your statement from the custodian.

Our standard advisory fee schedule for both discretionary and non-discretionary accounts is:

                         Account Value                                            Annualized Fee
                        $0 - $3,000,000                                              1.00%
                    $3,000,000 - $5,000,000                                           .75%
                        Over $5 million                                               .50%

The above fee structure is a blended schedule. Meaning, a client with $3,500,000.00 in assets under our
management would incur an annual fee of 1% on the first $3,000,000 and .75% on the remaining $500,000,
equal to $33,750.00 per year.

Please Note: As noted in Item 4 above, with respect to DST investments, such investments shall not be
included in the client’s assets under management for the purposes of SAM calculating its advisory fee. Rather,
DST investments shall be assessed a distinct asset-based fee, which fee shall be separate from, and in addition
to, SAM’s standard investment advisory fee as set forth above. Asset-based fees attributable to DST
investments are individually negotiated on a client-by-client basis.

We may negotiate fees with clients or enter into alternative fee arrangements not described herein which
differ from this schedule based on a variety of factors including the type of client, the account size and
anticipated increases in account size, or pre-existing relationship. We typically combine certain related
advisory client accounts for purposes of calculating a client’s aggregate account size and/or management fee.
Some existing advisory clients are governed by fee schedules different from the above schedule and,

                                                           March 2026
                   Synergy Asset Management, LLC  13215 SE Mill Plain Blvd. Suite C8-321  Vancouver, WA 98684 

therefore, those existing clients may pay higher or lower fees than new clients.

Advisory clients generally are responsible for all fees and expenses incurred by or arising in connection with an
account, including custodial fees, brokerage commissions, fees and expenses charged by mutual funds,
exchange traded funds, private funds, and DSTs, trade-away fees, clearing fees, interest, and taxes incurred in
connection with trading. Advisory clients pay these fees and expenses in addition to the management fee we
charge. We discuss brokerage and other transaction costs incurred by advisory client accounts in more detail
in Item 12 – Brokerage Practices.

Services to Third-Parties

Sub-Advisor Services
For sub-advisory engagements with TPIAs, our annual fee is based on a percentage of client assets placed
under our management. These fees are individually negotiated based upon various objective and subjective
factors, which could include the type, amount and market value of their assets under management; the
anticipated complexity of the engagement; the anticipated level and scope of the overall investment advisory
services to be rendered. Our maximum annual fee for sub-advisory engagements is 0.60%.

Third Party Asset Management
For clients who access SAM through a TPIA or TAMP, a $30 annual technology fee is applied to every open
client account, payable over equal quarterly installments. This fee may be passed along to the end-client or
may be absorbed by the end-client’s other professional adviser, at the other adviser’s discretion. If a client is
onboarded in the middle of a billing quarter, the first quarterly installment of the technology fee will first be
assessed at the client’s first billing interval and will include a non-prorated technology fee applied in arrears
for the first partial quarter of services, as well as an advance payment of the following quarter’s technology
fee. Upon termination, no refunds will be provided with respect to technology fees collected in advance.

In addition to SAM fees, you may pay internal fees and expenses attributable to mutual funds, exchange
traded funds, private funds, and DSTs are set forth in the applicable fund prospectus, private placement
memorandum, or equivalent, as applicable. Fees imposed are disclosed at the time you enter into an
investment advisory agreement with the TAMP. In situations where we recommend a TAMP, their fees and
expenses are billed directly to you either by debiting your account (with a signed discretionary advisory
agreement) or via invoice to you directly. Neither SAM nor any employee receives any compensation from any
TAMP chosen to manage a portion of your investments.
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Item 7         Types of Clients & Account Minimums
SAM provides investment advisory services to the following types of clients:
       Individuals (other than high net worth individuals)
       High net worth individuals
       Business owners
       Trusts and estates of individuals and high net worth individuals
       401(k) plans
       Corporations or other business entities
       Financial Advisors

SAM does not require any minimum asset level for advisory services.

Please refer to Item 5 – Fees and Compensation for additional information regarding the fees and
compensation we receive.