INVESTMENT MANAGEMENT SERVICES

Philosophy
Marquis Wealth Management Group, is not a brokerage house or trust department within a commercial bank. We do not offer a "one size fits all" program. Rather, we carefully listen to the client, assess their individual needs, develop an understanding of their goals, and then suggest a customized course of action for their consideration.

At Marquis, we do not work for commissions on investments - and we prefer not to work on that basis. Instead, we have chosen to structure our client relationships on the basis of an annual fee that is paid quarterly and based on the client's assets (investment dollars) under management and/or supervision.

Marquis Wealth Management Group specializes in the following:

1. High Net Worth Individuals/Couples - Our service and client response standards are unparalleled. At Marquis, we realize and understand that you often do not have the time or desire to attend to every detail - we step in to assist or lead as the situation warrants.

2. Divorced Individuals - Marquis prides itself in meeting the unique and often complicated issues of divorce including review of marital settlement agreements & QDRO's for proper division and transfer of assets, establishing individual accounts and other complex matters associated with divorce.

3. Separately Managed Accounts - We have access to institutional quality professional investment managers at very attractive fee levels.

4. Non-Public Securities - Understanding the unique qualities and aspects of privately-held securities such as land trusts, limited partnerships and "Sub-S" corporations.

5. Concentrated Positions of Specific Stocks - Knowledge of methods available to address the concern of specific stocks in concentrated positions.

6. Stock Options - existing securities - We consult with a tax professional to assess strategies available to the client regarding the exercise of options.

7. Insurance Consulting - We offer unbiased consulting on the acquisition and disposition on all forms of personal insurance (life, disability, long term care, etc.)

Working with the Client
Since every client is unique, Marquis will take the time necessary to get to know you and your financial profile before making investment recommendations. It is important to us that you are involved in the decision-making process and we believe you should have an understanding of the “why” behind our recommendations. Working closely with you ensures that the plan we pursue is custom-made and suits your particular needs and goals. We are committed to you and your future and our commitment to you continues after the initial plan is in place. As part of our services and our commitment, we offer two primary investment-based programs available to meet the unique needs of investors.

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Investment Advisor Program*

• $250,000 minimum account size
• Personalized Quarterly Performance Reports
• A $500 credit or allowance toward the preparation of your federal income tax return
• Preparation of a Personal Financial Statement (similar to a personal balance sheet), updated annually
• Preparation of a Comprehensive Financial Plan, updated periodically.
• A comprehensive review of all insurance policies, with recommendations as needed
• Review of all estate planning documents, with recommendations as needed

Investment Builder Program*

• Liquid assets up to $249,999
• Established to assist those investors that are below the minimum level required for the Investment Advisor program but have the motivation and potential to build personal wealth.
• Personalized Annual Performance Report
• A comprehensive review of all insurance policies, with recommendations as needed
• Review of all estate planning documents, with recommendations as needed

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*All Accounts can expect the following:

1. Fee-based/Non-Commission platform
2. Customized personal investment recommendations and asset allocation strategies
3. Frequent monitoring of investments
4. Access to high-quality, experienced individual portfolio managers
5. Recommend custody of assets with either Fidelity or Charles Schwab & Co.

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Investment Selection
Based on the needs of the client we will construct a customized asset allocation and investment recommendations. We specialize in the purchase of no-load mutual funds with exceptional track records and experienced managers. We also offer some clients, subject to certain account minimums, access to institutional quality separately managed accounts. Through our available research we can make additional recommendations for the purchase of high quality individual stocks or bonds. Finally, private investment opportunities (limited partnerships, local banks, private real estate investments, land trusts, etc.) are made available to our clients as they arise. Most important in this process is that each client receives a personalized set of investment recommendations, tailored to their individual investment objectives and goals

Custody of Accounts
We recommend the brokerage and custodial services of Fidelity Investments and/or Charles Schwab and Company, Inc. We believe that these two firms represent excellent choices in terms of competitive, discounted transaction costs, client reporting, access to no-load mutual funds, trade execution, research, and technical support.

Client's Responsibilities
In addition to the annual investment advisory fee to Marquis, it is the client's responsibility to pay transaction or brokerage costs, wire transfer fees, and other fees for their Schwab and Fidelity account(s). A separate schedule of fees is available upon request. We also ask that you provide all cost basis information. If you prefer, Marquis will research this information for you on an hourly rate basis.

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