Transce3Nd LLC

ITEM 5 - FEES AND COMPENSATION

INVESTMENT MANAGEMENT FEES AND COMPENSATION
Clients receive investment management services through TE3. TE3 utilizes a third-party IMO (AEWM)
for the billing of these services through a Wrap Program. Fees will be calculated as a percentage of
assets under management (AUM) based on the average daily balance of account(s) and deducted from
Client account(s) in arrears on a monthly basis.
The wrap program fees do not exceed 1.65% and will cover the cost charged by TE3, AEWM, any other
third-party partners we utilize and the custodian (Schwab/Fidelity). No other management fees are
charged to client accounts by the Firm. The specific advisory fees are set forth in your Investment
Advisory Agreement.
The Fee is custom per client based on services provided based on the entirety of their relationship with
the firm. A lower fee percentage may not always reflect a lower fee amount. If our firm charges asset-
based fees, it is important to understand that the more assets held in the account, the more you will
pay in fees.
The market value will be determined as reported by the Custodian. Fees are assessed on all assets
under management. Cash and money market balances will be included in billing. Margin account
balances are not included in the fee billing. We do not impose a minimum account value to initiate our
Firm’s advisory and money management services. In certain circumstances, our fees and the timing of
the fee payments may be negotiated. Our employees and their family-related accounts are charged a
reduced fee for our services.
Unless otherwise instructed by the client, in certain cases, we will aggregate asset amounts in accounts
from your same household together to determine the advisory fee for all your accounts. For example,
if we manage accounts from the individual, our Firm will include joint accounts for a spouse, minor

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children and/or Trust accounts. This consolidation practice is designed to allow you the benefit of an
increased asset total, which could cause your account(s) to be assessed a lower advisory fee.
The independent qualified custodian holding your funds and securities will debit your account directly
for the advisory fee and pay that fee to us. You will provide written authorization permitting the fees
to be paid directly from your account held by the qualified custodian. Further, the qualified custodian
agrees to deliver an account statement monthly directly to you indicating all the amounts deducted
from the account including our advisory fees. At our discretion, our Firm will allow advisory fees to be
paid by check as indicated in the Investment Advisory Agreement. You are encouraged to review your
account statements for accuracy.
The investment advisory Agreement may be terminated by the client within five (5) business days of
signing the Agreement without penalty or incurring any advisory fees. After the 5 business days, either
party giving written notice to the other may cancel the Investment Advisory Agreement at any time for
any reason. Either TE3 or you may terminate the management agreement immediately upon written
notice to the other party. The management fee will be pro-rated to the date of termination, for the
month in which the cancellation notice was given. Upon termination, you are responsible for
monitoring the securities in your account, and we will have no further obligation to act or advise with
respect to those assets. In the event of client’s death or disability, TE3 will continue management of
the account until we are notified of client’s death or disability and given alternative instructions by an
authorized party.
Our Firm will not require prepayment of more than $1,200 in fees per client, six (6) or more months in
advance of providing any services. In no case are our fees based on, or related to, the performance of
your funds or investments.

USE OF MODEL MANAGERS AND PLATFORM PROVIDER AE WEALTH MANAGEMENT, LLC
(AEWM)
Through an administrative platform arrangement, we have contracted with AEWM to utilize its
technology platforms to support data reconciliation, performance reporting, fee calculation and billing,
client database maintenance, quarterly performance evaluations, payable reports, and other functions
related to the administrative tasks of managing client accounts. Due to this arrangement, AEWM will
have access to client information.TE3 and AEWM are non-affiliated companies. AEWM receives a
portion of our advisory fee for each account. AEWM will not serve as the discretionary investment
advisor to our clients. Please note that the fee charged to the client will not increase due to the annual
fee TE3 pays to AEWM, the fee is paid from the portion of the management fee retained by our Firm.
For accounts where AEWM is engaged as a platform provider, clients’ fees will be calculated and
deducted from your account by AEWM with our portion of the overall fee paid directly by AEWM to
our firm. Fees are billed monthly in arrears based on the average daily balance by the 5th business day
of each month. Billing will begin after the account has trade activity or after two full monthly billing
cycles, whichever is sooner.
Under our fee billing described above, only one rate is charged against all of the client’s assets under
management in this program. AEWM retains a portion of the advisory fee charged. For some “Model
Managers”, their fee is included in the portion retained directly by AEWM and others receive a fee
separate in addition to the fee retained by AEWM. Our Firm does not adjust the overall Program fee
depending on selected Model Managers.

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The client will provide written authorization permitting the fees to be paid directly from the account
held by the qualified custodian through AEWM. The qualified custodian agrees to deliver an account
...

ITEM 7 - TYPES OF CLIENTS

Our Firm works with the following types of clients: individuals, high net-worth individuals, foundations,
employer sponsored retirement plans, charitable organizations, institutions, trusts and estates.
We do not impose a minimum account value to initiate our Firm’s advisory and wealth management
services.