> FICTITIOUS DOCUMENT — FORGE DEMO ONLY · SPECIMEN

# Worksheet — Form ADV Annual Amendment (Planning Notes)

**Alderbrook Wealth Partners · Compliance desk (E. Doran, CCO)**
**Worksheet date:** 2026-08-14
**Purpose:** Working notes to prepare the Firm's next Form ADV annual updating amendment. Not a
filing. Nothing here is submitted; this is the desk's running checklist.

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## Timing

- Fiscal year end: **December 31** (FY2026 closes 12/31/2026).
- Amendment **window opens January** 2027.
- Annual updating amendment **due by March 31, 2027** (within 90 days of fiscal year end).
- After filing, deliver the updated brochure (or a summary of material changes with an offer to
  provide the full brochure) to existing clients within the required window following fiscal year
  end.

## Figures to refresh from year-end books (do not carry forward stale numbers)

- [ ] **Regulatory assets under management** as of 12/31/2026 — pull the final year-end number from
  the books; the FY2025 brochure figure is prior-period and must be replaced, not reused.
- [ ] **Number of client households / accounts** as of 12/31/2026 — refresh the approximate counts
  in Item 4.
- [ ] Discretionary vs. non-discretionary split (Firm is 100% discretionary — confirm still true).

## Item-by-item review

- [ ] **Item 2 (Material Changes):** draft the material-changes summary for the year. Candidate
  items to evaluate: any change to the fund menu; any staffing change affecting supervised persons;
  CRS version status.
- [ ] **Item 4 (Advisory Business):** confirm firm description, ownership, and headcount (6) still
  accurate.
- [ ] **Item 5 (Fees):** confirm the fee schedule language is **unchanged** — standard tiered
  (1.00% to $1M; 0.85% $1M–$3M; 0.70% above $3M) and legacy flat 0.90% **closed to new clients**.
  No rate change contemplated. Confirm the family-discount and 529-exclusion language still matches
  practice.
- [ ] **Item 8:** confirm the fund menu list matches what is actually used in client portfolios.
- [ ] **Item 11 (Code of Ethics):** confirm the Code and the quarterly-attestation description are
  current.
- [ ] **Item 18 (Financial Information):** re-confirm no adverse financial condition; no balance
  sheet required.

## Open items / to-do before the window opens

1. Reconcile the **Form CRS delivery log** against the current active-household register, and close
   out any active household without a delivery on record, before the amendment is prepared.
2. Confirm the current Form CRS version (2026-03) is still the version on file, or note the new
   version if one is adopted before filing.
3. Confirm all quarterly Code-of-Ethics attestations for 2026 are complete and on file through
   Q4 (Q4 due 1/30/2027).
4. Verify firm contact information, website, and brochure date fields.
5. Calendar the client brochure-delivery step for after the amendment is filed.

## Notes

- The rates are not changing this cycle; the Item 5 work is confirmation only.
- Keep this worksheet in the compliance file with the prior-year amendment package.

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*SPECIMEN — planning worksheet, not a filed record.*