Synergy Investment Management LLC

Item 5 – Fees and Compensation
The following paragraphs detail the fee structure and compensation methodology for services provided by the
Advisor. Each Client engaging the Advisor for services described herein shall be required to enter into one or
more written agreements/a written agreement with the Advisor.

A. Fees for Advisory Services
Investment Management Services
Investment advisory fees are paid quarterly, in advance of each calendar quarter, pursuant to the terms of the
investment advisory agreement. Investment advisory fees are based on the market value of assets under
management at the end of the prior quarter. Investment advisory fees range up to 1.50% annually based on several
factors, including the scope and complexity of the services to be provided, the level of assets to be managed, and
the overall relationship with the Advisor. Relationships with multiple objectives, specific reporting requirements,
portfolio restrictions, and other complexities may be charged a higher fee.

The investment advisory fee in the first quarter of service is prorated from the inception date of the account[s] to
the end of the first quarter. Fees may be negotiable at the sole discretion of the Advisor. The Client’s fees will take
into consideration the aggregate assets under management with the Advisor. All securities held in accounts
managed by Synergy will be independently valued by the Custodian. The Advisor will conduct periodic reviews of
the Custodian’s valuation to ensure accurate billing.

The Advisor’s fee is exclusive of and in addition to any applicable securities transaction and custody fees and
other related costs and expenses described in Item 5.C. below, which may be incurred by the Client. However,
the Advisor shall not receive any portion of these commissions, fees, and costs.

Use of Independent Managers
For Clients referred by the Advisor to an Independent Manager, the Client’s fee may be separately billed or
deducted from the Client’s account[s] by the Independent Manager or the Advisor based on the Independent
Manager being utilized. For certain Clients referred by the Advisor to an Independent Manager, the Client’s fee
will be deducted from the Client’s account[s] with the respective Independent Manager, and a portion of the fee
will be provided to Synergy based on Synergy’s agreement with the Client. Synergy is responsible for negotiating

                                           Synergy Investment Management, LLC

                                  215 North Westmonte Drive, Altamonte Springs, FL 32714
                                        Phone: (321) 203-4458 | Fax: (321) 203-4459
                                             www.synergywealthalliance.com

the fees with the Independent Manager on behalf of the Client. Synergy does not receive any compensation or
fees from the Independent Manager other than its investment advisory fee noted above.

Financial Planning Services
Synergy offers standalone financial planning services for a fixed engagement fee. Fixed fees range up to a
maximum of $20,000 with the total depending on the specific service[s] requested and the nature and complexity
of each Client’s circumstances. Fees may be negotiable based on the nature and complexity of the services to be
provided and the overall relationship with the Advisor. An estimate for total hours and/or total costs will be provided
to the Client prior to engaging for these services.

B. Fee Billing
Investment Management Services (Charles Schwab & Co., Inc.)
For Client account[s] held at Charles Schwab & Co., Inc.(“Schwab”), Investment advisory fees are calculated by
the Advisor or its delegate and deducted from the Client’s account[s] at the Custodian. The amount due is
calculated by applying the quarterly rate (annual rate divided by 4) to the total assets under management with
Synergy at the end of the prior quarter. Clients will be provided with a statement, at least quarterly, from the
Custodian reflecting the deduction of the investment advisory fee. Clients provide written authorization permitting
advisory fees to be deducted by Schwab to be paid directly from their account[s] held by the Custodian as part of
the investment advisory agreement and separate account forms provided by the Custodian.

Investment Management Services (LPL Financial, LLC)
For Client account[s] held at LPL Financial, LLC (“LPL Financial”), Investment advisory fees are calculated and
deducted by the Custodian. The amount due is calculated by applying the following formula: (Quarter End Value
x Advisory Fee] / 360 x 90 Days) to the total assets under management with Synergy at the end of the prior quarter.
Clients will be provided with a statement, at least quarterly, from the Custodian reflecting the deduction of the
investment advisory fee. Clients are urged to also review the statement provided by the Custodian, as the
Custodian does not perform a verification of fees. Clients provide written authorization permitting advisory fees to
be deducted by LPL Financial to be paid directly from their account[s] held by the Custodian as part of the
investment advisory agreement and separate account forms provided by the Custodian.

Investment Management Services (Fidelity Brokerage Services LLC)
For Client account[s] held at Fidelity Brokerage Services LLC (“Fidelity”), Investment advisory fees are calculated
and deducted by the Custodian. The amount due is calculated by applying the following formula: (Quarter End
Value x Advisory Fee] / 360 x 90 Days) to the total assets under management with Synergy at the end of the prior
quarter. Clients will be provided with a statement, at least quarterly, from the Custodian reflecting the deduction
of the investment advisory fee. Clients are urged to also review the statement provided by the Custodian, as the
Custodian does not perform a verification of fees. Clients provide written authorization permitting advisory fees to
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Item 7 – Types of Clients
Synergy offers investment advisory services to individuals, high-net-worth individuals, trusts, estates, businesses,
and charitable organizations. Synergy does not require a minimum dollar amount to open an advisory account.