The Foundry Financial Group Inc

Item 5: Fees and Compensation

A. Fee Schedule

 Investment Advisory Fees
The Foundry’s standard investment management fee schedule for investment advisory
services only is as follows:
         0.75% on the first $1,000,000
         0.65% on the next $9,000,000
         0.50% on all assets over $10,000,000

The Foundry’s investment management fee schedule to include financial planning
services is as follows (a minimum annual fee of $5,000 will apply):
         1.00% on the first $1,000,000
         0.80% on the next $9,000,000

         0.50% on all amounts over $10,000,000

The Foundry’s investment management fee schedule for 401(k) profit-sharing plans is as
follows:
         0.50% on the first $3,000,000
         0.40% on the next $7,000,000
         0.30% on all amounts over $10,000,000

The Foundry’s investment management fee schedule for SIMPLE IRA accounts is as
follows:
         0.50% on all plan assets

Grandfathered Schedule
Clients engaged with The Foundry prior to October 1, 2023 have been grandfathered
under their current fee schedule as follows:
         0.70% on the first $500,000
         0.60% on the next $1,500,000
         0.50% on the next $8,000,000
         0.40% on all assets over $10,000,000

Custodian Charges – Additional Fees
As discussed below at Item 12 below, when requested to recommend a broker-
dealer/custodian for client accounts, The Foundry generally recommends that Schwab
serve as the broker-dealer/custodian for client investment management assets. Broker-
dealers such as Schwab charge brokerage commissions, transaction, and/or other type
fees for effecting certain types of securities transactions (i.e., including transaction fees for
certain mutual funds, and mark-ups and mark-downs charged for fixed income
transactions, etc.). The types of securities for which transaction fees, commissions, and/or
other type fees (as well as the amount of those fees) shall differ depending upon the
broker-dealer/custodian. While certain custodians, including Schwab, generally (with the
potential exception for large orders) do not currently charge fees on individual equity
transactions (including ETFs), others do.

There can be no assurance that Schwab will not change their transaction fee pricing in the
future. Schwab may also assess fees to clients who elect to receive trade confirmations and
account statements by regular mail rather than electronically.

Financial Planning Fees
Fixed Fees
The negotiated fixed rate for creating client financial plans or for ongoing financial
planning that includes periodic updates and reviews is generally between $2,100 and
$8,000 per year based on net worth, plan complexity and the estimated time spent on the
plan. In some cases, clients may be charged more or less depending on client needs and
grandfathered agreements. For ongoing financial planning, the fee will recur annually
and may be paid monthly, quarterly, or semi-annually. Increases in client financial
planning fees may be scheduled and noted on the Financial Planning Services Agreement,

Schedule A – Fee exhibit.

Hourly Fees
The negotiated hourly fee for these services is between $200 and $350. The scope and
focus of the engagement may be limited, or it may include a full financial plan
presentation.

Clients may terminate the agreement without penalty, for full refund of The Foundry’s
fees, within five business days of signing the Financial Planning Agreement if the client
did not receive this brochure and brochure supplement at least 48 hours prior to entering
into the financial planning agreement. Thereafter, clients may terminate the Financial
Planning Agreement generally upon written notice.

Fee Dispersion
The Foundry, in its discretion, may charge a lesser investment advisory fee, charge a flat
fee, waive its fee entirely, or charge a fee on a different interval, 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, complexity of the
engagement, anticipated services to be rendered, grandfathered fee schedules, employees
and family members, courtesy accounts, competition, negotiations with client, etc.).

As result of the above, similarly situated clients could pay different fees. In addition,
similar advisory services may be available from other investment advisers for similar or
lower fees.

B. Payment of Fees

Payment of Financial Planning Fees
Fixed financial planning fees are paid via check, ACH transfer through a third-party
service provider, or withdrawn with the client’s authorization from an account of the client
held by a third party custodian. Fees are never charged for work performed more than six
months in advance.

For one-time financial plans without ongoing review services, the fixed fee is paid 50% in
advance with the remainder due upon presentation of the plan.

For ongoing financial planning, fixed fees may be paid semi-annually or quarterly.
Clients may also choose to pay for ongoing services monthly, but only by ACH.

Hourly financial planning fees are paid by check, 50% in advance based on a fair estimate
of the time required to complete the plan or limited engagement, with the remainder due
upon presentation of the plan, or as invoiced quarterly for ongoing engagements.

C. Client Responsibility for Third Party Fees

Clients are responsible for the payment of all third-party fees (i.e., custodian fees,

brokerage fees, ETF and mutual fund fees, transaction fees, legal and accounting fees, etc.).
Those fees are separate and distinct from the fees and expenses charged by The Foundry.

D. Prepayment of Fees

The Foundry collects fees in advance. Refunds for fees paid in advance will be returned
within fourteen days to the client via check.

Fixed fees that are collected in advance will be refunded based on the prorated amount of
work completed at the point of termination.
...

Item 7: Types of Clients

The Foundry generally provides advisory services to the following types of clients:

       ❖       Individuals
       ❖       High-Net-Worth Individuals
       ❖       Employer sponsored retirement plans