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What is Appendix 1 of Form ADV Part 2A?


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Appendix 1 is the disclosure brochure for wrap-fee programs. Under Rule 204-3(f)(1), a registered investment adviser that is compensated under a wrap-fee program for sponsoring, organizing, or administering a wrap-fee program, or for providing advice to clients under the wrap-fee program, must provide clients Appendix 1 of Form ADV Part 2A. Appendix 1 must be provided to clients in lieu of providing the registered investment adviser’s Form ADV Part 2A. Therefore, Appendix 1 is a completely separate document from Part 2A of Form ADV.

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