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Schedule H of

SEC File Number:

Applicant:

Date:

Form ADV

801-

Page 1

(for sponsors of wrap fee programs)

Name of wrap fee program or programs described in attached brochure:

1. Applicability of Schedule. This Schedule must be completed by applicants that are compensated under a wrap fee program

for sponsoring, organizing, or administering the program, or for selecting, or providing advice to clients regarding the

selection of, other investment advisers in the program (“sponsors”). A wrap fee program is any program under which a

specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory services

(which may include portfolio management or advice concerning the selection of other investment advisers) and execution of

client transactions.

2. Use of Schedule. This Schedule sets forth the information the sponsor must include in the wrap fee brochure it is required to

deliver or offer to deliver to clients and prospective clients of its wrap fee programs under Rule 204-3 under the federal

Advisers Act and similar rules of jurisdictions. The wrap fee brochure prepared in response to this Schedule must be filed

with the Commission and the jurisdictions as part of Form ADV by completing the identifying information on this Schedule

and attaching the brochure. Brochures should be prepared separately, not on copies of this Schedule. Any wrap fee brochure

filed with the Commission as part of an amendment to Form ADV shall contain in the upper right corner of the cover page

the sponsors’ registration number (801- ).

3. General Contents of Brochure. Unlike Parts I and II of this form, this Schedule is not organized in “check-the-box” format.

These instructions, including the requests for information in Item 7 below, should not be repeated in the brochure. Rather,

this Schedule describes minimum disclosures that must be made in the brochure to satisfy the sponsor’s duty to disclose all

material facts about the sponsor and its wrap fee programs. Nothing in this Schedule relieves the sponsor from any

obligation under any provision of the federal Advisers Act or rules thereunder, or other federal or state law to

disclose information to its advisory clients or prospective advisory clients not specifically required by this Schedule.

4. Multiple Sponsors. If two or more persons fall within the definition of “sponsor” in Item 1 above for a single wrap fee

program, only one such sponsor need complete the Schedule. The sponsors may choose among themselves the sponsor that

will complete the Schedule.

5. Omission of Inapplicable Information. Any information not specifically required by this Schedule that is included in the

brochure should be applicable to clients and prospective clients of the sponsor’s wrap fee programs. If the sponsor is

required to complete this Schedule with respect to more than one wrap fee program, the sponsor may omit from the

brochure furnished to clients and prospective clients of any wrap fee program or programs information required by this

Schedule that is not applicable to clients or prospective clients of that wrap fee program or programs. If a sponsor of more

than one wrap fee program prepares separate wrap fee brochures for clients of different programs, each brochure must be

filed with the Commission and the jurisdictions attached to a separate copy of this Schedule. Each such brochure must state

that the sponsor sponsors other wrap fee programs and state how brochures for those programs may be obtained.

6. Updating. Sponsors are required to file an amendment to the brochure promptly after any information in the brochure

becomes materially inaccurate. Amendments may be made by use of a “sticker”, i.e., a supplement affixed to the brochure

that indicates what information is being added or updated and states the new or revised information, as long as the resulting

brochure is readable. Stickers should be dated and should be incorporated into the text of the brochure when the brochure

itself is revised.

7. Contents of Brochure. Include in the brochure prepared in response to this Schedule:

(a) on the cover page, the sponsor’s name, address, telephone number, and the following legend in bold type or some other

prominent fashion:

This brochure provides clients with information about [name of sponsor] and the [name of program or

programs] that should be considered before becoming a client of the [name of program or programs]. This

information has not been approved or verified by any governmental authority.

(b) a table of contents reflecting the subject headings in the sponsor’s brochure.

sponsor, a table setting forth the fee schedule, whether such fees are negotiable, the portion of the total fee (or the

range of such amounts) paid to persons providing advice to clients regarding the purchase or sale of specific securities

under the program (“portfolio managers”), and the services provided under each program (including the types of

portfolio management services);

Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 44

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