Tribeca Financial LLC

Item 5 Fees and Compensation
Investment Management Fee
The annual fee for Investment Management Services will be charged as a percentage of assets
under management as a flat fee between 0.15% - 1.25% that is to be negotiated between the advisor
and the client or according to the following blended fee schedule that is to be negotiated between the
advisor and the client:

                                 Annual Blended Fee Schedule
                     Assets Under Management (AUM)      Annual Fee
                     Up to $1,000,000                   1.55%
                     Next $1,000,000                    0.90%
                     Next $1,000,000                    0.80%
                     Over $3,000,000                    0.30%

Our annual fees are billed contingent on the type of Agreement the client signs. These Agreements
include either (1) Tribeca Investment Management Agreement or (2) Tri-party Relationship Agreement
with Focus Partners Advisor Solutions as discussed above under Item 4 Advisory Business.

   (1) If a Tribeca Investment Management Agreement is executed then we bill on a quarterly basis,
       in advanced or arrears, based upon the market value of the assets on the last business day of
       the quarter.

       We will send you an invoice for the payment of our advisory fee, or we will deduct our fee
       directly from your account through the qualified custodian holding your funds and securities.
       We will deduct our advisory fee only when you have given our firm written authorization
       permitting the fees to be paid directly from your account. Further, the qualified custodian will
       deliver an account statement to you at least quarterly. These account statements will show all
       disbursements from your account. You should review all statements for accuracy

   (2) If the Tri-party Relationship Agreement with Focus Partners Advisor Solutions is executed then
       we bill on a quarterly basis, in advance, based upon the market value of the assets on the last
       business day of the previous quarter.

       Focus Partners Advisor Solutions will deduct their fee and our advisory fee directly from your
       account through the qualified custodian holding your funds and securities. They will deduct our
       advisory fee only when you have given our firm written authorization permitting the fees to be
       paid directly from your account. Further, the qualified custodian will deliver an account
       statement to you at least quarterly. These account statements will show all disbursements from
       your account. You should review all statements for accuracy

If the agreement is executed at any time other than the first day of a calendar quarter, our fees will
apply on a pro rata basis, which means that the advisory fee is payable in proportion to the number of
days in the quarter for which you are a client. Our advisory fee is negotiable.

If you receive an invoice from our firm, we encourage you to reconcile our invoices with the
statement(s) you receive from the qualified custodian. If you find any inconsistent information between
our invoice and the statement(s) you receive from the qualified custodian please call our main office

number located on the cover page of this brochure.

Termination: Terminating services are also contingent on the type of Agreement the client signs.
These Agreements include either (1) Tribeca Investment Management Agreement or (2) Tri-party
Relationship Agreement with Focus Partners Advisor Solutions.

            (1) If a Tribeca Investment Management Agreement is executed then termination upon
            written notice by either party. You will incur a pro rata charge for services rendered prior to
            the termination of the portfolio management agreement, which means you will incur
            advisory fees only in proportion to the number of days in the quarter for which you are a
            client.

            (2) If the Tri-party Relationship Agreement with Focus Partners Advisor Solutions is
            executed then termination is accomplished upon 5-day written notice. You will incur a pro
            rata charge for services rendered prior to the termination of the portfolio management
            agreement, which means you will incur advisory fees only in proportion to the number of
            days in the quarter for which you are a client. Any pre-paid advisory fees that we have not
            yet earned, you will receive a prorated refund of those fees.

Sub-advisory Arrangements: Clients are not charged any additional fees for arrangements with have
with sub-advisors. We pay a portion of our advisory fee to the sub-advisor(s) we use; however, you will
not pay our firm a higher advisory fee as a result of any sub-advisory relationships.

Selection of Other Advisers Fees: Tribeca may direct clients to third-party investment advisers.
Tribeca will receive its standard fee on top of the fee paid to the third party adviser. The fees shared
are negotiable and will not exceed any limit imposed by any regulatory agency. The notice of
termination requirement and payment of fees for third-party investment advisers will depend on the
specific third-party adviser selected.

Additional Fees and Expenses
As part of our investment advisory services to you, we may invest, or recommend that you invest, in
mutual funds and exchange traded funds. The fees that you pay to our firm for investment advisory
services are separate and distinct from the fees and expenses charged by mutual funds or exchange
traded funds (described in each fund’s prospectus) to their shareholders. These fees will generally
include a management fee and other fund expenses. You will also incur transaction charges and/or
brokerage fees when purchasing or selling securities. These charges and fees are typically imposed by
the broker-dealer or custodian through whom your account transactions are executed. We do not
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Item 7 Types of Clients
We offer investment advisory services to individuals (other than high net worth individuals), high net
worth individuals, pension and profit sharing plans (but not the plan participants), charitable
organizations, state or municipal government entities, insurance companies and corporations or other
businesses not listed above.

In general, we do not require a minimum dollar amount to open and maintain an advisory account;
however, we have the right to terminate your Account if it falls below a minimum size which, in our sole
opinion, is too small to manage effectively.