TA Capital Management LLC

Item 5 – Fees and Compensation
In addition to the information provided in Item 4 – Advisory Business, this section provides additional
details regarding our firm’s services along with descriptions of each service’s fees and compensation
arrangements. It should be noted that lower fees for comparable service may be available from other
sources. The exact fees and other terms will be outlined in the agreement between you and TA Capital
Management.

TA Capital Management allows a client’s investment adviser representative to set fees within ranges
provided by TA Capital Management. As a result, a client’s investment adviser representative may
charge more or less for the same service than another investment adviser representative of TA Capital
Management.

Wealth Management Services
Our wealth management services provided are charged based on a percentage of assets under
management, billed in advance (at the beginning of the period) on a quarterly calendar basis and
calculated based on the fair market value of a client’s account as of the last business day of the current
billing period. We do not charge a separate fixed or hourly fee for the financial planning component of
our wealth management services.

Fees are prorated (based on the number of days service is provided during the initial billing period) for a
client’s 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 added to the next billing period.

The Wealth Management Services continue in effect until terminated. You may terminate the services by
providing TA Capital Management with notice. TA Capital Management may terminate the services by
providing you with written notice effective 30 days after you receive the written notice. When fees are
billed in advance, TA Capital Management will prorate the refund based on the number of days services
are provided during the final period.

The annual fee for asset management services is typically 1.00%. However, fees charged for our
services are negotiable based on the investment adviser representative providing the services, the
complexity of the client's situation, the composition of the client's account (i.e., equities versus mutual
funds) the relationship of the client with the investment adviser representative, and the total amount of
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Brochure

assets under management for the client. Fees for wealth management services are waived for those
clients who are also clients of TA Capital's affiliated firm, Total Alignment Wealth Advisors, and who
subscribe to their Private Family Office with Analytics offering do not pay a fee to TA Capital
Management. Through an intercompany agreement between Total Alignment Wealth Advisors and TA
Capital, Total Alignment Wealth Advisors will be responsible for a preferential fee of 0.05% annum to
Total Alignment Wealth Advisors Analytics Service when they elect into TA Capital’s low-cost model
portfolios. This arrangement shall last as long as the intercompany agreement between the two entities
remains in effect and Client remains a client of the Total Alignment Wealth Advisors Analytics platform.
Clients that cease to subscribe to Total Alignment Analytics Service will be notified that assets held at TA
Capital Management will increase and normalize.
TA Capital 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, our
annual investment advisory fee may be higher than that charged by other investment advisers offering
similar services/programs. In addition to our compensation, you may also incur charges imposed at the
mutual fund level (e.g., advisory fees and other fund expenses).

The investment advisory fees will be deducted from a client’s account and paid directly to our firm by the
qualified custodian(s) of a client’s account. You will authorize the qualified custodian(s) of a client’s
account to deduct fees from a client’s account and pay such fees directly to our firm.

You should review a client’s 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. TA Capital Management does not receive any portion of such
commissions or fees from you or the qualified custodian. In addition, you may incur certain charges
imposed by third parties other than TA Capital Management in connection with investments made
through a client’s 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 a client’s account. Management fees charged by
TA Capital 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.

Item 7 – Types of Clients
TA Capital Management currently provides investment advice to the following types of clients:

     · Individuals
     · High net worth individuals
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Brochure

     · Trusts, estates, or charitable organizations
     · Corporations and other businesses

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

Minimum Investment Amounts Required
TA Capital Management requires a minimum of $100,000 in order to open an account. To reach this
account minimum, clients can aggregate all household accounts. Exceptions may be granted to this
minimum for at the discretion of a client’s investment adviser representative and the Chief Compliance
Officer.