Vienna Asset Management LLC

Item 5: Fees and Compensation

METHOD OF COMPENSATION AND FEE SCHEDULE
INVESTMENT ADVISORY SERVICES
Vienna Asset Management charges investment advisory fees (the “Advisory Fee”) as a percentage of assets under
management. The Advisory Fee will not exceed 3% per annum. The Advisory Fee is calculated as follows:

           Assets Under Management                       Annual Fee                      Quarterly Fee
          First $999,999 ($0-$999,999)                     1.25%                           0.313%
       Your next $9,000,000 ($1,000,000 to                 1.00%                           0.250%
                   $9,999,999)
      Your next $15,000,000 ($10,000,000 to                0.90%                             0.225%
                  $24,999,999)
       Subsequent amounts ($25,000,000+)                   0.80%                             0.200%

This is a blended fee schedule; the Advisory Fee is calculated by applying different rates to different portions of the
portfolio. The Firm may group certain related client accounts for the purposes of achieving the minimum account size
and determining the Advisory Fee.
For example (based on quarterly billing period):

                   AUM                        Quarterly fee           Total
                   First $999,999             x 0.313% =              $3,129.99
                   Next $1,500,001            x 0.250% =              $3750.00
                   Grand total for the quarter                        $6,879.99

For clients with which Vienna Asset Management has a preexisting substantive relationship with the family or for
which the family has initial assets under management more than $5,000,000 for the investment account (meaning a
diversified investment portfolio), the Advisory Fee is 0.35% annually (0.0875% per quarter) as a percentage of assets
under management for the fixed income and/or cash account. For annuity assets managed by Vienna Asset
Management the Advisory Fee is 1.00% annually (0.25% per quarter) as a percentage of annuity assets under
management.
The Advisory Fee is determined on a client-by-client basis based on certain criteria including historical relationship,
type of assets, anticipated future earning capacity, anticipated future additional assets, dollar amounts of assets to be
managed, related accounts, account composition, negotiations with clients, etc. Advisory Fees may be waived for
accounts of Firm employees and family members. Fees may also be waived for 529 or other similar college savings
plan accounts, including accounts of Firm employees and family members.
The Advisory Fee is billed quarterly in advance based on the amount of assets managed as of the close of business on
the last business day of the previous quarter. If margin is utilized, the fees will be billed based on the net asset value
of the account. Lower fees for comparable services may be available from other sources.
Clients may terminate their account within five (5) business days of signing the Advisory Agreement with no
obligation and without penalty. After the initial five (5) business days, the Advisory Agreement may be terminated by
the Firm with thirty (30) days written notice to client and by the client at any time with written notice to the Firm.
For accounts opened or closed mid-billing period, fees will be prorated based on the day’s services are provided during
the given period. All unpaid earned fees will be due to the Firm. All unearned fees will be refunded to the client. Client
shall be given thirty (30) days prior written notice of any increase in fees. Any increase in fees will be acknowledged
in writing by both parties before any increase in said fees occurs.
The Firm may also utilize the services of one or more Sub-Advisers to manage clients’ investment portfolios. The
Firm will enter into Sub-Adviser agreements with other registered investment adviser firms. When using Sub-
Advisers, the client will pay additional fees depending on the account value, investment style and types of securities

used. The Sub-Adviser fees will be disclosed to and acknowledged by the client in the Firm’s Advisory Agreement.
The Sub-Adviser’s fees and the custodian’s fees are not included in the fees charged by the Firm.
FINANCIAL PLANNING AND CONSULTING
Vienna Asset Management charges hourly fees for financial planning (the “Planning Fee”). Prior to the planning
process the client will be provided an estimated fee plan and will be required to sign a Financial Planning Agreement
(the “Planning Agreement”). Services are completed and delivered inside of sixty (60) days contingent upon timely
delivery by the client of all required documentation. A client may cancel within five (5) business days of signing the
Planning Agreement with no obligation and without penalty. If the client cancels after five (5) business days, any
unearned Planning Fees will be refunded to the client, or any unpaid earned Planning Fees will be due to Vienna Asset
Management. The refund or Planning Fees due will be calculated on a pro-rata basis based on the hourly rate for
financial planning services. Vienna Asset Management reserves the right to waive the Planning Fee should the client
implement the plan through the Firm.
HOURLY FEES
Financial Planning Services are offered based on an hourly fee of $500 per hour.
Planning Fees for financial plans are billed either 50% in advance with the balance due upon plan delivery or due
upon delivery of the completed plan.
Client will acknowledge the selected billing option in the Planning Agreement.

CLIENT PAYMENT OF FEES
The Advisory Fee for asset management services is deducted from a designated client account to facilitate billing. If
authorized fees may be deducted from a different non-qualified account managed by Vienna Asset Management, or
they may pay Vienna Asset Management directly. The client must consent in advance to direct debiting of their
investment account.
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Item 7: Types of Clients

DESCRIPTION
Vienna Asset Management generally provides investment advice to individuals and high-net worth individuals. Client
relationships vary in scope and length of service.
ACCOUNT MINIMUMS
Vienna Asset Management generally requires a minimum account size of $5 million to open an account, although
accounts of lower amounts may be accepted at the Firm’s discretion. .