Wakefield Wealth Management LLLP

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 charges transaction costs, custodial fees, redemption fees, retirement plan and
administrative fees or commissions. See Additional Fees and Expenses below for details.

There are two ways investment management fees may be assessed.

Effective February 1, 2023, new client asset-based management fees are calculated and billed quarterly in arrears,
based upon the average daily balance of the assets during the prior calendar quarter. Additional assets received
into the account after it is opened are charged a pro-rata fee based upon the number of days remaining in the
quarter.

For clients engaged prior to February 1, 2023, a calendar quarterly investment management fee is billed in advance
based on the balance of your account at the end of the previous calendar quarter for the following three-month
period. Our maximum annual advisory fee is 1.5%.

The relevant fee and billing method is 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 which are typically incurred are brokerage commissions, principal markups and
discounts, SEC fees, mutual fund/ETF expense ratios, 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 will 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 can 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 the Appendix 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 WWM, 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.

The amount of any fee paid by any client will be pro-rated for periods less than a full quarter at the beginning or
end of WWM’s management. If a client has prepaid fees for a quarter and withdraws assets before the end of the
quarter, a pro-rata portion of the prepaid fee will be refunded. Quarterly fees are adjusted for cash flows over
10% of the clients account value that occurred in the prior quarter. Under certain circumstances, the terms of an
investment advisory contract, including fee schedules, terms of payment (including performance-based fees), and
termination provisions may be negotiated.

Either WWM 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, WWM 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 WWM fees based on, or related to, the performance of your funds or investments.

RETIREMENT PLAN SERVICES

For Retirement Plan Advisory Services compensation, we charge an advisory fee as negotiated with the Plan
Sponsor and as disclosed in the Employer Sponsored Retirement Plans Consulting Agreement (“Plan Sponsor
Agreement”). Our maximum advisory fees do not exceed 1.25% annually.

Typically, the billing period for these fees are paid quarterly. This fee is generally negotiable, but terms and
advisory fee is agreed to in advance and acknowledged by the Plan Sponsor through the Plan Sponsor Agreement
and/or Plan Provider’s account agreement. Fee billing methods vary depending on the Plan Provider.

Either our Firm or the Plan Sponsor may terminate the Agreement upon 30 days written notice to the other party.
The Plan Sponsor is responsible to pay for services rendered until the termination of the Agreement.

CONSULTING SERVICES
The fee for WWM’s consulting services varies based on the type of service provided, the duration of the project,
the expertise required and other factors and is negotiated on a client-by-client basis.

ADMINISTRATIVE SERVICES
We have contracted with Tamarac, an unaffiliated firm (“Tamarac”) to utilize their technology platform which
...

ITEM 7 - TYPES OF CLIENTS

We provide investment advice to individuals, high net-worth individuals, trusts, estates, charitable organizations,
corporations, pensions, and profit-sharing plans and to other financial services and investment companies.

Our Firm maintains a $1 million or more of investable assets. In certain instances, at the discretion of our Firm,
this minimum may be waived if we determine your account can be adequately diversified at an amount less than
$1 million.