TKC Wealth Management LLC

Item 5 Fees and Compensation

  TKC is compensated based on a percentage of assets under management (“AUM”) for
  separate accounts Including individual, joint, small business, institutional, and pension. AUM
  Fees are negotiable at the Firm’s sole discretion. Below are schedules of asset-based fees:

    Percentage of Assets Under Management (“AUM”) Annual Fee Schedule
                                     Applicable Fee                      Applicable Fee
                 AUM                 (At Charles Schwab &              (Not at Charles Schwab
                                     Co., Inc.)                        & Co., Inc.)
    $0 - $2,000,000                            1.50%                       1.00%
    $2,000,000 - $5,000,000                    1.25%                       1.00%
    $5,000,000 - $10,000,000                   0.75%                       1.00%
    $10,000,000 +                              0.50%                       1.00%

   Lower fees for comparable services may be available from other sources. In addition, as
   outlined below, associated persons of TKC may also be compensated by commissions and
   fixed fees on broker dealer related securities transactions and insurance related transactions
   not included in the AUM calculations above.

   Unless an alternative invoicing arrangement is made in advance and approved in writing at the
   sole discretion of the Firm, clients will be invoiced directly from TKC and have management
   fees deducted from the assets held by the Firm’s third-party custodian, based on the applicable
   fee schedule(s) above. Deducted management fees will be shown on the client’s statement as
   provided by the custodian. Asset-based fees are invoiced in advance at the beginning of each
   calendar quarter based upon the applicable fee schedule. Should a customer join the firm
   before the end of a calendar quarter, the Firm charges a pro rata fee for the number of days
   until the next quarterly invoicing cycle.
   Client is provided the options below to select one and authorizes the Manager to:

(a) deducted quarterly in advance from managed account that is held by the Client or its
    affiliated entity and also advised by the Manager; or
(b) Invoiced to the client on a quarterly basis, in advance, pursuant to the terms shown above.

   Neither TKC nor its affiliates have custody of managed funds.

   Client accounts will be subject to other third-party fees and/or expenses, which will vary based
   on the amount of assets managed and the types of securities in which the account is invested.
   These fees may include certain custodial fees, mutual fund fees/expenses, and brokerage and
   transaction fees. Please refer to Item 12: Custodial Practices for a more complete discussion
   relating to brokerage fees and expenses.
   Clients are required to inform the account Manager in advance of the upcoming quarter their
   intention to make a withdrawal from their investment account. Management fees are paid in
   advance for account management. If notice of withdrawal is provided to the Manager prior to
   the fees being charged, the client will not be charged management fees on the amount to be
   withdrawn. If the funds are not withdrawn during the quarter and continued to be managed the
   management fee for management of those investments will be included in the next quarter’s
   management fee.
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Additionally, funds of twenty-five thousand plus ($25,000+) deposited by the client into an
existing account within a quarter and then withdrawn within the same quarter will be subject
to a pro-rated advisory management fee from date of deposit to date of withdrawal, the time
period the assets are being managed.

Insurance and annuity products will be subject to other third-party fees and expenses.
Clients working with non-affiliated attorneys in the formation of trust documents or startup
business documents will be subject to third party fees or expenses.
TKC principal Ting Kuo Chen and certain employees, who are affiliated with the brokerage
firm Landolt Securities, Inc. (See Item 10: Other Financial Industry Activities and Affiliations
for more details) receive compensation from selling variable annuities. Additionally, Mr.
Chen and employees or independent investment advisors may also be compensated for
registered securities and alternative investments transacted through their registration with
Landolt Securities, Inc., a FINRA member broker dealer. There is a conflict of interest in that
Mr. Chen and employees are able to make recommendations regarding the above products.
Any conflict of interest which can be reasonably expected to impair the rendering of unbiased
and objective investment by the investment advisor, its representatives or any of its employees
will be addressed by providing appropriate client disclosure of any such business relationships.
TKC's principals and IARs are licensed life and health insurance agents with several broker-
dealer approved insurance companies and may receive commission payments for products sold.
In addition to providing investment planning services, they undertake business in the placement
and sale of life and health insurance. Whenever life or health insurance is identified as a viable
business, personal financial or estate planning strategy, the client is specifically advised
that there is no obligation to purchase any such recommended product from any TKC principal
or IAR. Should a client decide to purchase insurance products from the IAR, full disclosure
shall be made as to the presence and nature of any commission to be received by the IAR.
TKC principal Ting Kuo Daniel Chen is personally associated with HC2 Capital LLC principal
Tina Hou. HC2 Capital LLC is the issuer of non-registered private placement products. Mr.
...

Item 7 Types of Clients

TKC manages investment portfolios for individuals, high net worth individuals, pension
and profit-sharing plans (including ERISA plans), and business entities on a separate
account basis. The minimum initial account balance for a separately managed account is
$100,000 USD, which may be waived at the sole discretion of TKC. Acceptance of
separate account management is determined on a case-by-case basis at the sole discretion
of TKC.

TKC Wealth Management, LLC is committed to maintain the confidential, security, and
integrity of our client’s nonpublic information including financial status, investment
experience and investment objectives. TKC adheres to high standards in order to protect
such information. As part of our commitment, we have adopted a Privacy Policy, which
is located in our Client Information & Account Form.

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