Wynn Capital Management LLC

Item5 – Fees and Compensation
WCM is compensated by charging a fee based on the value of assets under management. WCM
also offers hourly and/or fixed fees for financial planning, consulting or other services.

Financial Planning and Consulting Fees
Financial planning is generally included for clients that engage WCM for investment management
and whose annual fee exceeds $10,000. For clients that engage WCM for financial planning only
or whose management fee is less than $10,000 annually, the firm charges on an hourly basis.
Planning fees are negotiable but generally range from $100 to $300 per hour depending on the
complexity of the service and the professional or consulting service required. WCM requires a
minimum of 5 hours for planning services. If clients engage WCM for additional investment
advisory services, WCM may offset some or all of the planning fees.

Prior to performing planning services, the client is required to enter into a written agreement with
WCM setting forth the terms and conditions of the engagement. Generally one‐half of the
planning fee is due upon completion of the agreement. The balance is generally due upon
delivery of the financial plan or agreed upon services.

WCM may, at its sole discretion, negotiate to charge a lesser fee based upon certain criteria
including but not limited to pro bono activities, non‐profit businesses or their employees, social
workers and community builders. Exceptions to normal billing will be documented in the WCM
Investment Management Agreement.

Investment Management Fees

WCM provides investment management services for an annual fee based upon a percentage of
the market value of the assets being managed by WCM. WCM’s annual fee is exclusive of, and in
addition to brokerage commissions, transaction fees, and other related costs and expenses which
are incurred by the client. WCM does not receive any portion of these commissions, fees, and
costs. WCM’s annual fee is prorated and charged quarterly, in advance, based upon the average
market value of the assets being managed by WCM for the previous quarter. The annual fee varies
depending upon the market value of the assets under management, as follows:

Portfolio Value                             Base Fee
0              to     $ 500,000              1.40%
$500,001        to    $ 1,000,000            1.20%
$1,000,001      to    $ 5,000,000            1.00%
$5,000,001      to    $10,000,000            0.70%
Amounts over          $10,000,000        Negotiable

Page | 6                                             Wynn Capital Management, LLC Disclosure Brochure

             Wynn Capital Management, LLC Disclosure Brochure

Accounts for spouses and immediate family members may be combined when calculating fees.

Fees Charged by Financial Institutions

As further discussed in response to Item 12 (below), WCM generally recommends that clients
utilize the brokerage and clearing services of CHARLES SCHWAB Institutional, a division of
CHARLES SCHWAB, Inc. (“Charles Schwab”) for investment management accounts.

WCM may only implement its investment management recommendations after the client has
arranged for and furnished WCM with all information and authorization regarding accounts with
appropriate financial institutions. Financial institutions include, but are not limited to, and/or
Charles Schwab, any other broker‐dealer recommended by WCM, broker‐dealer directed by the
client, trust companies, banks etc. (collectively referred to herein as the “Financial Institutions”).

Clients may incur certain charges imposed by the Financial Institutions and other third parties
such as custodial fees, charges imposed directly by a mutual fund or ETF in the account, which are
disclosed in the fund’s prospectus (e.g., fund management fees and other fund expenses),
deferred sales charges, odd‐lot differentials, transfer taxes, wire transfer and electronic fund fees,
and other fees and taxes on brokerage accounts and securities transactions. Such charges, fees
and commissions are exclusive of and in addition to WCM’s fee.

WCM does not receive any portion of fees, charges or expenses paid by the client to any other
institution or service provider.

WCM’s Agreement and the separate agreement with any Financial Institutions generally authorize
WCM to debit the client’s account for the amount of WCM’s fee and to directly remit that
management fee to WCM. Any Financial Institutions recommended by WCM have agreed to send
a statement to the client, at least quarterly, indicating all amounts disbursed from the account
including the amount of management fees paid directly to WCM. Alternatively, clients may elect
to have WCM send an invoice for payment.

Fees for Management During Partial Quarters of Service

For the initial period of investment management services, the fees are calculated on a pro‐
rated basis covering the period of the quarter the account was open.

The Agreement between WCM and the client will continue in effect until terminated by either
party pursuant to the terms of the Agreement. WCM’s fees are prorated through the date of
termination and any remaining balance is charged or refunded to the client, as appropriate.

For billing purposes, the date of termination is the date the assets transfer out of the custodian,
Charles Schwab, or the date the WCM advisor rep code is removed from the account.

Clients may make additions to and withdrawals from their account at any time. Additions may be
Page | 7                                              Wynn Capital Management, LLC Disclosure Brochure

             Wynn Capital Management, LLC Disclosure Brochure
in cash or securities provided that WCM reserves the right to liquidate any transferred securities
or decline to accept particular securities into a client’s account. Clients may withdraw account
assets on notice to WCM, subject to the usual and customary securities settlement procedures.
...

Item 7 – Types of Clients
WCM provides its services to individuals, high net worth individuals, couples, families, pension
and profit‐sharing plans, trusts, estates, charitable organizations, corporations and business
entities.

Minimum Account Size

WCM does not impose a minimum account size.