Taiko Private Wealth

Item 5. Fees and Compensation
Investment Management Services
For the services contemplated in Item 4 of this brochure TPW charges an asset-based fee that
ranges from 0.20%-1.2% dependent upon several factors including average account size, number
of accounts, fee structures of third-party model providers, if applicable, and whether TPW is
providing its proprietary model portfolios to the Adviser. Fees will be calculated at the negotiated
rate and will be billed in arrears.
General Information on Fees
In certain circumstances, all fees and account minimums may be negotiable. The fee charged is
calculated as described above and is not charged on the basis of a share of capital gains upon or capital
appreciation of the funds or any portion of the funds of an advisory client (SEC Rule 205(a)(l)).
In addition to TPW’s fees, Clients will be responsible for trading costs, custodian fees, transfer taxes,
SEC fees and related fees. TPW pays third-party managers, if appointed by TPW, from its portion of
the aggregate advisory fee which it bills to clients quarterly in arrears.
Clients may terminate any client agreement any time as provided therein or otherwise terminate that
client’s participation in the Program.
All fees paid to TPW for investment advisory services are separate and distinct from the fees and
expenses charged by mutual funds to their shareholders. These fees and expenses are described in
each fund's prospectus. These fees will generally include a management fee, other fund expenses,
and occasionally a marketing/distribution fee. A client could invest in a mutual fund directly,
without the services of TPW. In that case, the client would not receive the services provided by
TPW which are designed, among other things, to assist the client in determining which mutual
fund or funds are most appropriate to each client’s financial condition and objectives.

TPW’s advisory professionals are compensated primarily through a salary and bonus structure.
TPW’s advisory professionals may receive commission-based compensation for the sale of insurance
products. Please see Item 10 for detailed information and conflicts of interest.

Financial Planning Services

Financial planning engagements may be either comprehensive, limited or hourly.
Comprehensive and limited engagements are a fixed annual fee, and hourly engagements are
billed on an hourly rate as described below.

Annual Fee Schedule

Financial planning fees under this agreement are billed quarterly in arrears. The Financial
planning fee is subjectively determined based on the estimated complexity of the planning
engagement and anticipated amount of time and resources required to deliver the agreed upon
services. Below is an approximate range of fees. The actual agreed upon fee is stipulated at the
end of this Schedule A.

                        Standard Financial Planning Fee Schedule
             Basic                   Intermediate                   Complex
   $2,000 – $3,500 Annually     $4,000 – $7,500 Annually    $8,000 – $12,000 Annually

Hourly Fees - Paid upon completion of services (Invoiced)
Fees for financial plans are based on the complexity of the work to be performed and depend on
the level of time, effort, and expertise needed as well as the client’s assets and/or income, and each
client’s unique circumstances. Depending upon the complexity of the situation and the needs of
the client, the hourly fee for these services is between $100 and $400. The hourly fee is billed in
six-minute increments, for financial planning services. Fixed fees typically range between $1,000
and $50,000 and are based on the complexity of the work required. All financial planning fees are
negotiable.

Item 7. Types of Clients
TPW primarily provides customized investment management services to individuals and associated
trusts, foundations, endowments, banks or thrift institutions, pension and profit-sharing plans, and
other corporations or business entities not otherwise considered institutional clients. TPW considers
portfolios of an aggregate value of less than $5,000,000 to be non-institutional.
A minimum aggregate portfolio size of $25,000; however, in certain circumstances the minimum
portfolio size may be negotiable.