Weaver C Barksdale & Associates Inc

Item 5: Fees and Compensation                           agreements require 30 days’ notice for
We offer our services on a fee-only basis. We do        termination.
not receive commissions or mark-ups or mark-
downs on securities that we purchase and sell           For model delivery, Barksdale receives
for client account(s). Fees are negotiated and          management fees monthly in advance based on
stated in each client agreement.                        the market value of securities on the last day of
                                                        the previous month.
On most accounts contracted prior to May 1,
2018, our fee is calculated based on the total          In our model delivery arrangement, the Sponsor
market value of the assets in the client’s account      or platform provider calculates, deducts, and
on the last day of the quarter (based on trade          remits Barksdale’s portion of the advisory fee
date), unless stated otherwise in the client's          pursuant to client authorization.
Advisory Agreement.
                                                        In some cases, we receive our quarterly fee
On most accounts contracted after May 1, 2018,          directly from the client’s custodial account. In
our fee is calculated based on the average daily        order for the client's custodian to debit the
balance of the fair market value of the assets in       account for the amount of our quarterly fee, the
the client’s account during the prior quarter           client must give us authorization in writing
(based on trade date), unless stated otherwise in       either in the Advisory Agreement or by a
the client’s Advisory Agreement.                        separate document. We send a quarterly invoice
                                                        to each client (and/or its representative) that
Unless directed otherwise by a client, the market
                                                        includes the value of the client's assets, our
value of the fixed income portion of client’s
                                                        management fee, and how the fee is calculated.
account is determined by Bloomberg Valuation
                                                        Clients are advised to compare our invoice to
Service (BVAL). In instances where BVAL
                                                        the custodial statement and verify the
cannot provide a price or Barksdale has
                                                        calculation of the fee. In the case of a small
determined the price is not reflective of the
                                                        number of clients for whom Regions Bank
market, Barksdale will use its valuation policy to
                                                        serves as the custodian, we charge the client a
determine the price. Equities are determined by
                                                        slightly higher management fee and pay the
the client’s Custodian.
                                                        custodial fee directly to Regions Bank.
Fees are generally billed on a quarterly basis in       Below are our stated investment management
arrears. If the Advisory Agreement is not in-           fee schedules:
force for a full quarter, the fee for such partial
quarter is prorated based on the number of
calendar days of the calendar quarter the
Advisory Agreement is in effect. Typically,

Barksdale Investment Management              March 30, 2026                        ADV Part 2 Brochure
                                                                                          |Page 7

Fixed Income                                           market value for assets under management of
Investment Grade                                       $25,000 for model delivery.
• 0.25 of 1% on the first $10 million in assets
• 0.23 of 1% on the next $15 million in assets         Clients participating in a model delivery or
• Negotiable on market values in excess of             Unified Managed Account (“UMA”) program
   $25 million
                                                       may pay more than one advisory or management fee,
High-Yield
                                                       including fees charged by the Sponsor, overlay
• 0.5 of 1% of assets under management
                                                       manager, or platform provider. These additional
Equity and Balanced                                    fees increase the overall cost of investing and
• 0.60 of 1% on the first $10 million in assets        are described in the applicable program
•   0.50 of 1% on the next $15 million in assets       documents.
•   0.40 of 1% on the next $25 million in assets
                                                       In addition to our fee, a client will be required
•   0.30 of 1% on the next $50 million in assets
                                                       to pay its custodian other charges including:
                                                             •   custodial fees;
Barksdale generally requires a minimum market
value for assets under management of $1 million              •   brokerage commissions;
for investment grade fixed income accounts and               •   mark-ups and mark-downs;
$1 million for high yield accounts. For equity               •   transaction fees;
accounts, there is a $500,000 minimum. We, at                •   internal fees and expenses charged by
our sole discretion, can accept clients with                     exchange traded funds (“ETFs”); and
smaller portfolios based upon certain factors                •   other fees and taxes on brokerage
including anticipated future earning capacity,                   accounts and securities transactions.
anticipated future additional assets, account
...