Trifecta Capital Advisors LLC

ITEM 5 – FEES AND COMPENSATION

INVESTMENT MANAGEMENT FEES AND COMPENSATION
Our Firm charges a fee as compensation for providing Investment Management services on your account. These
services include advisory services, trade entry, investment supervision, and other account maintenance
activities. Our recommended Custodian may charge transaction costs, custodial fees, redemption fees,
retirement plan and administrative fees or commissions. See Additional Fees and Expenses below for details.

A calendar monthly investment management fee is billed in arrears based on the average daily balance of your
account during the previous calendar month. Our maximum annual advisory fee is 1.25%. The relevant fee and
billing method are defined and agreed to by the firm and the client in the executed Investment Advisory
Agreement. This fee may be debited directly from your investment account or you may pay this fee separately.
You will need to indicate how you would like to pay this fee in your Investment Advisory Agreement. Additional
fees and expenses you may incur are brokerage commissions, principal markups and discounts, SEC fees, mutual
fund/ETF expense ratios, mutual fund 12B-1 fees, tax withholding on certain foreign securities, postage fees,
wire fees, bank charges, and other administration fees as authorized by you. Please refer to Section 12 for
information on brokerage fees and services.
Fees may vary based on the size of the account, complexity of the portfolio, extent of activity in the account, or
other reasons agreed upon by our Firm and you as the client. 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, we will aggregate related client accounts for the purposes of
determining the account size and annualized fee. The common practice is often referred to as “house-holding”
portfolios for fee purposes and may result in lower fees than if fees were calculated on portfolios separately.
Our method of house-holding accounts for fee purposes looks at the overall family dynamic and relationship.
When applicable, and noted in Exhibit A of the Investment Management Agreement, legacy positions will also
be excluded from the fee calculation.
The independent and qualified custodian holding your funds and securities will debit your account directly for
the advisory fee and pay that fee to us. When establishing a relationship with Trifecta, you 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 to you on a monthly basis indicating all the
amounts deducted from the account including our advisory fees.
Either Trifecta 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 and any earned fee will be billed to you by our Firm.
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, Trifecta will
continue management of the account until we are notified of client’s death or disability and given alternative
instructions by an authorized party.
In no case are Trifecta fees based on, or related to, the performance of your funds or investments.

THIRD-PARTY MONEY MANAGER (“TPMM”) FEES AND SERVICES
As discussed in Item 4 above, there are occasions where an independent TPMM acts as a sub-adviser to our
firm. In those circumstances, the sub-advisor manages the assets based on the parameters provided by our
firm. Under such arrangements where our firm elects to utilize a sub-advisor, depending on the sub-advisor
contract with Trifecta, the total advisory fee may be collected from the custodian by our firm or the sub-advisor.
This total fee includes our firm’s portion of the investment advisory fee as well as the sub-advisory fee. Total
fees are not to exceed 1.25%.
Trifecta may terminate the relationship with a sub-advisor that manages your assets at any time. Trifecta will notify
you of instances where we have terminated a relationship with any third-party manager you are investing with. Tri-
fecta will not conduct ongoing supervisory reviews of the sub-advisor following such termination.

Factors involved in the termination of a sub-advisor may include a failure to adhere to their stated management style
or your objectives, a material change in the professional staff of the third-party manager, unexplained poor perfor-
mance, unexplained inconsistency of account performance, or our decision to no longer include the third-party man-
ager on our list of approved TPMMs.
Trifecta offers several investment management programs. Account custodial services may be provided by several
account custodians depending on the investment management program offered. Programs may have higher or lower
fees than other programs available through Trifecta or available elsewhere. Investment management programs may
differ in the services provided and method or type of management offered, and each may have different account
minimums. Client reports will depend upon the management program selected. Please see complete details in the
program brochure and custodial account agreement for each program recommended and offered.

CONSULTING SERVICES FEE
Our Firm provides consulting services based on a fixed fee arrangement, not to exceed $20,000 based on the
scope and complexity of the services being provided. This arrangement charges a mutually agreed-upon fee for
consulting services, as defined in your consulting agreement.
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ITEM 7 - TYPES OF CLIENTS

We offer investment advisory and financial planning services as described above to individuals, high net-worth
individuals, families, business owners, executives, foundations, trusts, non-profit and non-exempt entities,
corporations, and other business entities. Trifecta has a minimum $1,000,000 household balance to establish
an account with our Firm but this minimum is negotiable.