> FICTITIOUS DOCUMENT — FORGE DEMO ONLY · SPECIMEN

# Examination Response — Production Index

**Alderbrook Wealth Partners**
**Prepared by:** Ellen Doran, Chief Compliance Officer
**Date:** June 21, 2024
**In response to:** Office of the Securities Examiner — SPECIMEN, initial document request dated
May 6, 2024 · Matter No. [SPECIMEN]
**Review Period:** January 1, 2022 – March 31, 2024

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This index identifies, for each numbered item in the Office's request, the materials produced by the
Adviser. Account numbers are produced in masked form only. Where an item is not applicable, that is
stated rather than omitted.

| Item | Request (short) | Produced | Notes |
|---|---|---|---|
| 1 | Form ADV Parts 1 & 2A (current + Review-Period versions) | Produced | Current Part 2A firm brochure plus the prior annual-amendment versions in effect during the Review Period. |
| 2 | Form CRS (current + Review-Period versions) | Produced | Then-current Client Relationship Summary and each prior version in effect during the Review Period. |
| 3 | Client list as of 03/31/2024 (billing values) | Produced | Household/account identifiers, account type, custodian, and billing value; client names masked. |
| 4 | Standard advisory agreement + executed samples | Produced (in part) | Standard form of advisory agreement produced. Executed agreements to follow for the sample once the Office identifies it (per item 4). |
| 5 | Fee calculations & billing records, last two quarters | Produced | Quarterly billing worksheets showing billable basis, schedule applied, and fee charged per household. |
| 6 | Fee schedule(s), incl. legacy/closed & discounts | Produced | Standard tiered schedule (1.00% to $1M; 0.85% $1M–$3M; 0.70% above $3M) and legacy flat 0.90% schedule (closed to new clients); householding and family-discount practice described. |
| 7 | Trade & transaction records | Produced | Transaction records for advisory client accounts for the Review Period. |
| 8 | Form CRS delivery evidence | Produced | CRS delivery log showing method and date of delivery per household. |
| 9 | Code of Ethics + personal-trading reports + quarterly attestations | Produced | Code of Ethics; personal securities transaction/holdings reports; quarterly attestations of supervised persons for the Review Period. |
| 10 | Compliance manual + annual review | Produced | Written policies and procedures manual and the memorandum documenting the most recent annual review. |
| 11 | Advertising & marketing materials | Produced | Website content and other marketing materials used during the Review Period. |
| 12 | Business continuity plan + client complaint log | Produced | Business continuity plan produced. **Client complaint log: none** — the Adviser received no client complaints during the Review Period. |

## Production notes

- All materials are produced as of the request date and cover the Review Period unless an item states
  otherwise.
- Account numbers appear masked throughout; no client Social Security or tax identification numbers
  are included in the production.
- The Adviser will supplement item 4 with executed advisory agreements for the sample once the Office
  identifies the sample from the item 3 client list.

Certified as complete to the best of my knowledge,

**Ellen Doran**
Chief Compliance Officer, Alderbrook Wealth Partners
June 21, 2024

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*SPECIMEN — fictitious examination production index prepared for demonstration only.*