Tri-Ad Capital Management I LLC

Item 5-Fees and Compensation
Investment Management
The Adviser bases its fees on a percentage of assets under management, and fixed fees (not including
subscription fees). Although the Advisory Service Agreement is an ongoing agreement and periodic
adjustments are required, the length of service to the client is at the client’s discretion. The client or the
investment manager may terminate an Agreement by written notice to the other party. At termination,
fees will be billed on a pro rata basis for the portion of the quarter completed. The portfolio value at the
completion of the prior full billing quarter is used as the basis for the fee computation, adjusted for the
number of days during the billing quarter prior to termination. The investment management fees are
negotiable at the sole discretion of the Adviser. The Adviser’s fees are as follows:

Fee Schedule for Retirement Plan 401(k) Advisory Clients –
         1.    Fiduciary RIA Model -

          a) 3(21)(a) Advisory Clients - The greater of $5,000 or 10 basis points on core plan assets. The
          minimum fee for new advisory clients increased to $5,000 beginning February 1, 2016.
          Existing clients subject to the existing $3,500 minimum fee will remain on that schedule until at
          least three years from the date of the initial agreement between TCMI and the client. There

          may be some instances where minimum fees and asset-based fees are negotiated with clients.
          - Not to exceed a maximum fee of $30,000

          b) 3(38) Advisory Clients – The great of $7,500 or 15 basis points on core assets. The
          minimum fee for new advisory clients increased to $7,500 and 15 basis points beginning
          January 1, 2018. Existing clients subject to the existing $5,000 minimum fee or 10 basis points
          (the greater of) will remain on that schedule until at least three years from the date of the initial
          agreement between TCMI and the client. There may be some instances where minimum fees
          and asset-based fees are negotiated with clients.
          - Not to exceed a maximum fee of $50,000

             c) Core assets are defined as plan assets not invested in brokerage accounts, employer stock,
             or other investments not included in TCMI’s investment advisory services agreement.

          d) In the first year of a new client engagement, TCMI, has the right to waive the fee for one or
          more quarters.
2.      Non-Fiduciary RIA Model – flat fee of $1,500. Includes: IPS assistance, periodic investment
reporting, and supporting materials as agreed to. Financial advice or recommendations are not provided.
From time to time there may be individual projects where the fees are negotiated or based on time and
expense.

SnapIRA®

.6% Annually for accounts under $500,000
.4% Annually for accounts $500,000 or more.
There are additional costs associated with the SnapIRA® program including program/technology,
custodial fees and mutual fund expenses. Please refer to SnapIRA® Fee Disclosure for more details.

Item 6-Performance Fees
Performance Fees
Fees are not based on a share of the capital gains or capital appreciation of managed securities. The
Adviser does not use a performance-based fee structure.

Item 7-Types of Clients
Description
The Adviser generally provides investment advice to individuals and retirement plans. Client
relationships vary in scope and length of service.

Account Minimums
The Adviser does not require a minimum account size for Retirement Plan Advisory Services.