WindRock Wealth Management LLC

Item 5: Fees and Compensation
Method of Compensation and Fee Schedule
 Advisor bases its fees on a percentage of assets under management in general, but has some
 relationships that pay an incentive fee.
 ASSET MANAGEMENT
 Advisor offers discretionary asset management services to advisory clients. The fees for these
 services will be based on a percentage of Assets Under Advisement.
 The annual Fee may be negotiable under a variety of situations, including when the same
 household may be combined for a reduced fee. Fees are billed quarterly in advance based on
 the amount of assets managed as of the close of business on the last business day of each
 quarter. Valuations are normally fair market values provided by custodians for public
 securities, but in the case of private investments, are based on the valuation methodology for
 each investment. Private investments may be carried at cost, a lagged value, accrued value, or
 estimated valuation depending on the nature of the investment. For example, private real
 estate development equity investments are typically carried at original cost until an ultimate
 sale or appraisal. Private real estate that is not in development may be reflected at a fair
 market value from an appraisal, refinancing or internal valuation by the manager. Each
 situation is unique and valuation criteria may vary, but this is the general framework. Venture
 capital and private equity values are generally updated based on updates from the managers.
 Clients will often invest in securities or private offerings not recommended by WindRock or
 “outside investments”. It is customary that we will help them with any paperwork and also
 report assets on our quarterly reports. We charge on these assets, but the burden of the
 decision to buy or sell for these outside investments lies with the client. Quarterly advisory
 fees deducted from the clients' account by the custodian will be reflected in a provided fee
 invoice as part of a quarterly report as fees are withdrawn or on a custodial statement. Lower
 fees for comparable services may be available from other sources. Clients may terminate their
 account within five business days of signing the Investment Advisory Agreement for a full
 refund. Clients may terminate advisory services with 30 days written notice. Advisor will be
 entitled to 30-day fee upon termination to assist in transitioning the accounts. Client shall be
 given thirty (30) days prior written notice of any increase in fees.
 Fees may be subject to different arrangements based on factors such as size and type of assets,
 complexity and client needs. Fees are charged on assets under management and are based on
 a tiered fee schedule ranging from 1.50% to .25% for Wealth Management Services. These
 represent the WindRock advisor fees and exclude any fees payable to underlying investment
 managers, private investments (including Iridius, SCM and SC opportunities), custody fees,
 brokerage fees or other administrative fees. WindRock may waive or reduce the fee amount
 it charges on a client-by-client basis. Additionally, WindRock charges its advisory fee on all
 investment opportunities, including the private placement investment opportunities offered
 by Iridius, SCM, and SC. WindRock will also track and charge fees on outside investments
 depending on the desires of a client to include them in their portfolio reporting.

In accordance with Illinois Securities Law Of 1953 Section 130.846, unless we deliver this
disclosure brochure to you at least forty-eight (48) hours prior to your signing the investment
advisory contract, you have the right to terminate the investment advisory contract within five
(5) business days of the signing of the investment advisory contract without incurring any
advisory fees.

Fee schedule for Wealth Management Services

                Portfolio Size*                        Advisor Fee Percentage

                              first $500,000                                        1.50

                           Next $2,500,000                                          1.25

                           Next $5,000,000                                          0.90

                          Next $10,000,000                                          0.70
                                  Thereafter                                        0.25

     *Minimum quarterly fee of $1,875 for portfolios under $10 million; minimum quarterly
      fee of $12,500 for portfolios exceeding $10 million
Fees are calculated based on a percentage of client assets under advisement. In certain
situations, WindRock may offer these same investment advisory services on a fixed fee basis.
The amount of the fixed fee would be determined on a client-by-client basis and is subject to
negotiation with the client based on the client’s needs and expectations. These fee
arrangements would vary with the complexity of the situation and the amount of time
involved. Level of complexity would depend on but not be limited to the following situations:
type of client account (e.g., family trust, corporate, estate, partnership, etc.), assets under
management, and special needs of the advisory client. Assets under advisement include those
mutually determined and agreed upon with the client. Our minimum annual fee is $7,500 for
Wealth Management Services and $50,000 for Family Office Solutions (e.g. portfolios greater
than $10 million), subject to negotiation.
Fees to WindRock do not include any fees due to various third-party investment managers,
mutual funds, ETFs, derivatives and private investments (including Iridius, SCM, SC or other
third-party investment managers). Fees also do not include any fees for brokerage, custody of
assets, or fees and commissions charged by the custodians.
Fees for ongoing Family Office Solutions or Wealth Management Services are payable
quarterly in advance. Fees charged on assets under advisement are generally deducted
...

Item 7: Types of Clients
 WindRock oversees investment portfolios primarily for high net worth families, individuals,
 family offices, and various entities associated with these individuals (e.g. private foundations,
 family partnerships, etc.).
 Client relationships vary in scope and length of service.