UTA LLC

Item 5 – Fees and Compensation

A      UTA, LLC charges annual fees for managing Clients’ portfolios. The fees charged
       generally vary between 1.00% and 2.00% of assets under management according to the
       amount of assets under management and the specific needs of the client; however, fees
       may be negotiable. UTA, LLC has a household balance minimum of $25,000. We will
       make exceptions to this minimum under certain circumstances.

B      We bill Client quarterly fees in advance and send the custodian a notice of the amount of
       the fee to be deducted from the Client’s account. Fees are paid directly to us from the
       account by the custodian upon our submission of an invoice to custodian. Payment of fees
       may result in the liquidation of Client’s securities if there is insufficient cash in the account.
       The fee is based on the market balance of last day of the preceding quarter.

       Financial planning services may be billed at an hourly or fixed fee, which is listed in your
       planning agreement and range from $200-$500 per hour. Planning fees are generally due
       upon completion of the project.

C      Clients pay brokerage transaction costs and other charges directly to the custodian. See

Item 7 – Types of Clients

We provide investment advice to individuals, high net worth individuals, businesses, and ERISA
plans. Because each Client is unique, they must be willing to be involved in the planning and
ongoing processes. Such involvement does not have to be time consuming, however we want our
Clients to remain informed and have a sense of security about their investments. UTA, LLC has
a $25,000 minimum account size to open an account. We will make exceptions to this minimum
under certain circumstances.