Office of the Securities Examiner — SPECIMEN

Re: Routine examination — initial document request

Dear Ms. Doran:

The Office of the Securities Examiner (the "Office") has commenced a routine, scheduled examination of Alderbrook Wealth Partners ("the Adviser"). This examination is part of the Office's ordinary oversight program and does not indicate any finding or suspicion of wrongdoing.

Please provide the following documents for the examination review period of January 1, 2022 through March 31, 2024 (the "Review Period"), except where an item specifies a different date. To the extent a requested record is maintained electronically, an electronic copy is acceptable. Please produce responsive materials within thirty (30) days of the date of this letter and include, with your production, an index identifying the item number to which each document responds.

Documents requested

1. The Adviser's current Form ADV Parts 1 and 2A (firm brochure) and any brochure supplement(s), and all versions in effect during the Review Period.
2. The Adviser's Client Relationship Summary (Form CRS) as currently in effect and each version in effect during the Review Period.
3. A list of all advisory clients as of March 31, 2024, showing for each the household or account identifier, account type, custodian, and the account value used for billing; client names may be masked.
4. Copies of the Adviser's standard form of advisory agreement, and executed advisory agreements for a sample of clients (the Office will identify the sample after reviewing the client list).
5. Advisory fee calculations and billing records for the most recent two calendar quarters, showing the billable basis, the fee schedule applied, and the fee charged for each household, sufficient to demonstrate that fees were calculated in accordance with each client's agreement.
6. The Adviser's fee schedule(s), including any tiered schedule, any legacy or closed schedule, and any family-discount or householding practices.
7. Trade and transaction records for advisory client accounts for the Review Period, including any records of the Adviser's placement or direction of client transactions.
8. Records evidencing delivery of Form CRS to clients, including the delivery log and the method and date of delivery.
9. The Adviser's Code of Ethics, together with personal-securities-transaction and holdings reports and the quarterly attestations of supervised persons for the Review Period.
10. The Adviser's written compliance policies and procedures manual, and documentation of the Adviser's most recent annual review of the adequacy of those policies and procedures.
11. All advertising and marketing materials, including any website content, used or disseminated during the Review Period.
12. The Adviser's business continuity plan and a copy of any client complaint log or record of client complaints for the Review Period (state "none" if none).

Please direct the production and any questions regarding this request to the examiner assigned to this matter through the Office. If any requested item does not exist or is not applicable, please so state in your index rather than omitting the item.

Thank you for your cooperation.

SPECIMEN — fictitious examination correspondence prepared for demonstration only. The "Office of the Securities Examiner" is invented; this letter reflects no real agency, examiner, matter, or event.