Tradewell Securities LLC

ITEM 5: FEES AND COMPENSATION

General Information: Method of Compensation, Early Termination, and Fee Schedule
TWS bases its fees on a percentage of assets under management. Clients may cancel via written
notice to TWS within five (5) business days of signing the advisory agreement for a full refund.

Asset Management
Fees for TWS Investment Management Services are negotiable and calculated as a annual
percentage of the total value of investments under TWS’s management.

                        Total Assets Under
                                                                  Annual Fees
                          Management
                                All assets                             1.00%

The above fees are negotiable, and the final fee schedule will be set forth in the Investment
Management Services Agreement signed by the client. TWS bills in advance. For fees charged in
advance, TWS uses the value of the account as of the last business day of the prior billing
period. Monthly fees are calculated on the last business day of that month. Accounts opened within
a given month are charged a pro rata share at the end of the current month, based on the number
of days managed in that month. A technology fee of up to $5 will be added per account.

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Fees will be adjusted for additions or withdrawals that are greater than $5,000 in any given
month. The addition or withdrawal will be prorated based on the number of days remaining in
the month.

[Pro-rata is calculated by multiplying the Annual Fee by the Account Value divided by the number
of days in the month divided by 360 days. For example, if the Account value was
$100,000 and the account was open for 15 days of the month the calculation would be (2% x
100,000) x (15/360) = $80.00.] Clients shall pay the investment advisory fee within ten (10) days
following the end of the month being billed. In the event of termination of the Account, TWS will
be entitled to a pro rata fee for the day’s service was provided in the final month. This final fee
will be deducted from the Account prior to transfer.

For all asset-based fees paid in advance, the refunded fee will be equal to the balance of the fees
collected in advance minus the daily rate* times the number of days elapsed in the billing period
up to and including the day of termination. (*The daily rate is calculated by dividing the annual
asset- based fee by 365.)

In computing the market value of any investment of the Account, each security listed on any
national securities exchange or otherwise subject to current last-sale reporting shall be valued at
the last sale price on the valuation date. The investment advisory fee will be billed directly to the
client’s account at the Custodian, with an informational copy of the invoice to Client. The
Custodian will deduct the fee for the Account upon receipt of the invoice, or shortly thereafter.
TWS will not be compensated based on the basis of a share of capital gains or capital appreciation
of the assets in the Account.

Automatic Fee Withdrawal
   1. The authorization or agreement will be limited to withdrawing contractually agreed upon
      investment adviser fees as authorized in the Investment Advisory Agreement.
   2. The frequency of fee withdrawal will be monthly.
    3. The custodian of the account will be advised in writing of the limitation of SAM's access to
       the account. This requirement may be satisfied by furnishing to the custodian a copy of this
       agreement.
    4. The custodian will provide the client, not less than quarterly, a statement indicating all
       amounts disbursed from the account including, separately, the amount of advisory fees paid.
       This may be contained in the custodian's regular periodic report to the client.

Held-Away Accounts
For held-away accounts that are actively managed through a third-party order management
system, we assess our standard advisory fee based on assets under management, which is a flat
annual rate of 1.00%, billed as described elsewhere in this Brochure. This fee covers portfolio
management, oversight of the third-party trading platform, monitoring of account performance
and allocation, and ongoing advisory support.

In circumstances where the scope of our services is materially reduced—such as when the third-
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party system limits our discretionary authority, trading responsibilities, or operational
involvement—we may, at our discretion, charge a reduced advisory fee. Any such fee adjustment
will be based on the nature and extent of our oversight, monitoring, and advisory obligations, and
will be negotiated with the client in advance.

All fees for held-away accounts are agreed to in writing and disclosed in the client’s advisory
agreement. Fees do not include any separate platform, custodial, or transaction fees charged by
the third-party provider or custodian, which are borne by the client.

Financial Planning

The negotiated fixed rate for creating client financial plans is between $1,000 and $15,000.
Financial planning fees are paid via check. Fixed financial planning fees are paid 50% in advance,
but never more than six months in advance, with the remainder due upon presentation of the plan.

Clients may terminate the agreement without penalty, for full refund of TWS’s fees, within five
business days of signing the Financial Planning Agreement. Thereafter, clients may terminate the
Financial Planning Agreement generally upon written notice.

Additional Client Fees Charged
Clients are responsible for the payment of all third-party fees (i.e., custodian fees, commissions,
brokerage fees, mutual fund fees, transaction fees, etc.). Those fees are separate and distinct from
the fees and expenses charged by TWS. Please see Item 12 of this brochure regarding broker-
...

ITEM 7: TYPES OF CLIENTS

Description
TWS generally provides portfolio management and financial planning to individuals and high-net-
worth individuals. Client relationships vary in scope and length of service.

Account Minimums
TWTF generally require a minimum of $100,000 in assets under management at the household
level to open and maintain an advisory relationship. The minimum is applied to the combined
assets of all accounts within the client household, rather than to any single account.

TWTF may, in our sole discretion, waive or reduce this minimum for clients where circumstances
warrant—such as existing client relationships, anticipated future assets, use of a third-party
platform, or other factors we deem relevant.

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