ULTA Wealth Management LLC

Item 5: Fees & Compensation

Compensation for Our Advisory Services

Asset Management:

                                 Assets Under Management                   Annual %
                                 $0            to        $249,999.99         1.75%
                              $250,000         to        $999,999.99         1.50%
                              $1,000,000       to        $4,999,999.99       1.20%
                              $5,000,000       to        $9,999,999.99       1.00%
                      $10,000,000 and above                                  0.75%

The maximum annual fee charged for this service will not exceed 2.00%. Fees to be assessed will be
outlined in the advisory agreement to be signed by the client. Our firm bills on cash unless indicated
otherwise in writing. Annualized fees are billed on a pro-rata basis monthly in arrears based on the
time-weighted daily average value of the account(s) during the month. Fees are negotiable and will
be deducted from client account(s). Adjustments will be made for deposits and withdrawals during
the quarter. In rare cases, our firm will agree to directly invoice. As part of this process, Clients
understand the following:

    a) The client’s independent custodian sends statements at least quarterly showing the market
       values for each security included in the Assets and all account disbursements, including the
       amount of the advisory fees paid to our firm;
    b) Clients will provide authorization permitting our firm to be directly paid by these terms. Our
       firm will send an invoice directly to the custodian; and

ADV Part 2A – Firm Brochure                     Page 5                            Ulta Wealth Management, LLC

    c) If our firm sends a copy of our invoice to the client, a legend urging the comparison of
       information provided in our statement with those from the qualified custodian will be
       included.

Financial Planning & Consulting:

Our firm charges on an hourly or flat fee basis for financial planning and consulting services. The total
estimated fee, as well as the ultimate fee charged, is based on the scope and complexity of our
engagement with the client. The maximum hourly fee to be charged will not exceed $1,000. Flat fees
will not exceed $20,000. The fee-paying arrangements will be determined on a case-by-case basis
and will be detailed in the signed consulting agreement. Our firm will not require a retainer exceeding
$1,200 when services cannot be rendered within 6 months.

Other Types of Fees & Expenses

Clients will incur transaction fees for trades executed by their chosen custodian via individual
transaction charges. These transaction fees are separate from our firm’s advisory fees and will be
disclosed by the chosen custodian.

Clients may also pay holdings charges imposed by the chosen custodian for certain investments,
charges imposed directly by a mutual fund, index fund, or exchange traded fund, which shall be
disclosed in the fund’s prospectus (i.e., fund management fees and other fund expenses), mutual fund
sales loads, 12b-1 fees, surrender charges, variable annuity fees, IRA and qualified retirement plan
fees, mark-ups and mark-downs, spreads paid to market makers, fees for trades executed away from
custodian, wire transfer fees and other fees and taxes on brokerage accounts and securities
transactions. Our firm does not receive a portion of these fees.

Termination & Refunds

Either party may terminate the advisory agreement signed with our firm for Asset Management
services in writing at any time. Upon notice of termination pro-rata advisory fees for services
rendered to the point of termination will be charged. If advisory fees cannot be deducted, our firm
will send an invoice for due advisory fees to the client.

Financial Planning & Consulting clients may terminate their agreement at any time before the
delivery of a financial plan by providing written notice. For purposes of calculating refunds, all work
performed by us up to the point of termination shall be calculated at the hourly fee currently in effect.
Clients will receive a pro-rata refund of unearned fees based on the time and effort expended by our
firm.

Commissionable Securities Sales

Our firm and representatives do not sell securities for a commission in advisory accounts.

Types of Clients:

Our firm has the following types of clients: Individuals and High Net Worth Individuals.

Account Requirements:

Our firm does not impose requirements for opening and maintaining accounts or otherwise engaging
us. However, clients who opt into electronic delivery of statements or maintain at least $1 million in
assets at Fidelity will not be charged transaction fees for U.S. listed equities and exchange traded
funds.