Viawealth LLC

Item 5 – Fees and Compensation

Investment Management Services

ViaWealth Managed Accounts

Fees for wealth management services provided directly by ViaWealth are generally based
on account size at an annual fee of up to 1.2% and are negotiable.

The firm’s current fee schedule for investment management combined with financial
planning is as follows:

       1.25% on first $500,000 (subject to a $5,000 minimum annual fee).
       1.1 % $500,000 to $2,000,000
       .95% $2,000,000 to $5,000,000
       .85% $5,000,000 to $10,000,000
       Greater than 10,000,000 negotiated

The firm’s current fee schedule for stand-alone investment management services is as
follows:

       1.00% on first $2,000,000 (subject to a $5,000 minimum annual fee).
       0.80% on $2,000,001 - $5,000,000
       0.70% on $5,000,001 - $10,000,000
       Greater than $10,000,001 negotiated

Household assets are combined for purposes of determining fee rate.

In instances where ViaWealth delegates investment management authority to outside
investment managers or platform provider, any additional management fees paid by the
client rather than ViaWealth must be approved by the client in advance. Details about
outside managers or platform providers, their services, fee, etc., are addressed in the
applicable entity’s Form ADV Part 2 Disclosure Brochure or other disclosure document
which is available upon request.

Fees will generally be deducted in arrears via an automatic withdrawal on a monthly basis,
i.e., one-twelfth of the annual fee will be deducted each month. For each month of service,
fees will be calculated for and deducted from each account after the end of each month
based on the average daily balance of each respective account as reported by the custodian.

Although fees are generally deducted from accounts, clients may with the firm’s approval
elect to instead pay fees by check or wire transfer.

Fees paid to outside managers are generally deducted directly from client accounts by
ViaWealth or the applicable outside manager. Timing of fee deductions related to outside
managers vary but are addressed in the applicable account opening documentation in
advance.

FCI Sub-Advised Accounts

Fees for wealth management services provided by ViaWealth pursuant to its subadvisory
agreement with Financial Counselors, Inc., are generally based on account size according to
the following schedule:

     Account Size                                 Annual Fee

     $0 - $499,000                                1.20% (minimum $2,500/year)
     Accounts over $500,000                       negotiable

Fees are generally deducted monthly in arrears directly from client accounts, but clients
may elect to instead pay fees by check or wire transfer. Annual fees and minimums may be
negotiable under certain circumstances.

Retirement Plan Services

Fees charged for retirement plan services may be charged in advance or in arrears
depending on the service provided. Fees may be fixed, or asset based (not to exceed 1.50%
annually), and are negotiable depending on the complexity of the service. Fee levels
(whether fixed or asset based) are primarily based on actual services to be provided.

Fees may be deducted directly from client accounts on a monthly basis, or clients may elect
to alternatively pay fees by check or wire transfer.

General Information

Services may be terminated upon 30 days written notice, and fees for partial periods will
be prorated. Any payments made in advance will be prorated and any unearned portion
will be refunded to client subject to the termination notice provisions of the client
agreement.

All fees paid to ViaWealth are separate and unrelated to any fees or expenses assessed by
mutual funds, exchange traded funds, brokers or custodians. Details about outside
managers or platform providers, their services, fee, etc., are addressed in the applicable
entity’s Form ADV Part 2 Disclosure Brochure or other disclosure document which is
available upon request.

Item 7 – Types of Clients

ViaWealth provides portfolio management services to individuals, trusts, estates, charitable
organizations and business entities. The minimum household size for portfolio
management services is generally $500,000, although the firm may accept accounts not
meeting the minimum on a case-by-case basis.