Annual Bonus Levels

Split-adjusted AuM

Cetera Core IA Bonus*

NS Bonus*

Symplany Bonus**

$75,000,000

$10,000

$20,000

$7,500

$100,000,000

$16,000

$24,000

$10,000

$125,000,000

$28,000

$22,000

$12,500

$150,000,000

$36,000

$24,000

$15,000

$200,000,000

$56,000

$24,000

$20,000

$250,000,000

$56,000

$44,000

$25,000

$300,000,000

$100,000

$20,000

$30,000

$350,000,000

$100,000

$40,000

$35,000

$400,000,000

$120,000

$40,000

$40,000

*Both the Core IA Bonus and NS Bonus are calculated using your split adjusted Core IA assets under management (e.g. Spectrum, FLD/Symplany One, Symplany Pro, Freedom, Trust Solutions and Select).

**The FLD Bonus is only eligible on split adjusted assets in FLD/Symplany One and Symplany Pro.

Both the NS Bonus and the Symplany Bonus are paid quarterly and may be modified or discontinued at any time.

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