The Capital Chart Room Ltd

ITEM 5 – FEES AND COMPENSATION

General Information
TCCR, depending upon the engagement, offers its services on a fee basis, which may include
fixed fees as well as fees based upon assets under management. All fees are subject to
negotiation.

Fees for Planning Advisory Services
TCCR charges a fixed fee for financial planning and consulting services. These fees are
negotiable, but generally range from $40,000 to $150,000, depending upon the level,
complexity, and scope of the services, and the professional rendering the financial planning
and/or the consulting services. If the client engages TCCR for additional investment
advisory services, TCCR may offset all or a portion of its fees for those services based upon
the amount paid for the financial planning and/or consulting services.
Prior to engaging TCCR to provide financial planning or consulting services, the client will
generally be required to enter into a written agreement with TCCR setting forth the terms
and conditions of the engagement and describing the scope of the services to be provided
and the portion of the fee that is due from the client prior to TCCR commencing services. A
portion of the planning fee (up to 50% for plans that are expected to take longer than six
months to complete and up to 100% for plans that are expected to take less than six
months for completion) may be due and payable at the time the Financial Planning
Agreement is signed with the balance of the fee due as portions of the Plan are completed

and delivered to the client. TCCR will not require the prepayment of more than $1200 in
fees by any client more than six months in advance of the planning services being provided.
The agreement between TCCR and the client may be cancelled at any time by providing
written notice to the other party of their desire to cancel the agreement. In the event that
the client wishes to cancel TCCR’s services prior to any services being performed, any
advance payments shall be fully refunded to the client. If the client cancels the agreement
after TCCR has begun the services requested in the agreement, the client shall be charged
for the services completed and the remainder of any advance payments, if any, shall be
refunded to the client. If termination occurs within five business days of entering into an
agreement for such services the client shall be entitled to a full refund.

Fees for Investment Advisory Services
The specific manner in which fees are charged by TCCR is established in a client’s written
investment management agreement. TCCR bills its fees on a quarterly basis. Accounts
initiated or terminated during a calendar quarter will be charged a prorated fee. Upon
termination of any account, any prepaid, unearned fees will be promptly refunded, and any
earned, unpaid fees will be due and payable.
TCCR’s Agreement and/or the separate agreement with the custodian may authorize TCCR
to direct the custodian to debit the client’s account for investment advisory or management
fees and to directly remit those fees to TCCR in accordance with applicable custody rules.
Custodians recommended by TCCR have agreed to send a statement to the client, at least
quarterly, indicating all amounts disbursed from the account including the amount of
management fees paid directly to TCCR.
TCCR’s fees are exclusive of brokerage commissions, transaction fees, and other related
costs and expenses which shall be incurred by the client. Clients may also incur charges
imposed by custodians, brokers, third party investment managers and other third parties
such as fees charged by managers, custodial fees, deferred sales charges, odd-lot
differentials, transfer taxes, wire transfer and electronic fund fees, and other fees and taxes
on brokerage accounts and securities transactions. Mutual funds and exchange-traded
funds also charge internal management fees, which are disclosed in a fund’s prospectus.
Such charges, fees and commissions are exclusive of and in addition to TCCR’s fee, and
TCCR shall not receive any portion of these commissions, fees, and costs.

The Chartered Portfolio Program Fees
TCCR charges an annual advisory fee for accounts on The Chartered Portfolio Program
based on a percentage of clients’ aggregated assets under management. TCCR’s annual fee
shall be prorated and charged quarterly, in arrears, at the end of each calendar quarter
based upon the average market value of the assets on the last day of each of the previous

three (3) months. TCCR may aggregate the portfolios of family members in computing fee
breakpoints.
The standard fee schedule is as follows:
                                           Maximum
        Assets Under Management             Annual
                                             Fee
$0 to $500,000                              1.00%
$500,001 to $1,500,000                      0.75%
$1,500,001 and above                        0.50%

TCCR generally imposes a minimum portfolio value for its investment management
services. TCCR, in its sole discretion, may negotiate to waive its stated account minimum
or charge a lesser management fee based upon certain criteria (i.e., anticipated future
earning capacity, anticipated future additional assets, dollar amount of assets to be
managed, related accounts, account composition, pre-existing client, competitive situations,
account retention, pro bono activities, etc.).

Independent Investment Manager Program Fees
The standard fee for assets managed by independent managers is based on a graduated
scale depending upon the market value of the assets under management and the type of
investment management services to be rendered. TCCR and independent managers, in
their discretion, may negotiate to charge a lesser management fee based upon certain
criteria (i.e., anticipated future earning capacity, anticipated future additional assets, dollar
amount of assets to be managed, related accounts, account composition, pre-existing client,
...

ITEM 7 – TYPES OF CLIENTS

TCCR primarily provides portfolio management services to high net worth individuals and
certain legal entities which are controlled and owned by those individuals.

Account Requirements
TCCR generally imposes a minimum portfolio value of $1,000,000 for its investment
management services, but may aggregate the portfolios of family members to meet the
minimum portfolio size. Certain Independent Managers may impose more restrictive
account requirements and varying billing practices than those of TCCR. In such instances,
TCCR may alter its corresponding account requirements and/or billing practices to
accommodate those of the Independent Manager.