Legal Entity Disclosure

Effective Date: April 2026

This Legal Entity Disclosure identifies the corporate structure under which Ladd & Co. (the "firm") operates, the principal entity through which engagements are contracted, and the jurisdictions in which the firm maintains operational presence. It also sets out important regulatory information regarding the firm's status and activities.

This Disclosure should be read together with the firm's Terms of Use, Privacy Policy, and other policies published at laddco.com.

1. Principal Operating Entity

The principal operating entity of the firm is:

Ladd & Co. Pty Ltd ABN 99 673 336 206 Incorporated in New South Wales, Australia

Engagement agreements with clients are entered into with Ladd & Co. Pty Ltd or, where the nature of the engagement, the location of the client, or applicable regulatory considerations make it appropriate, with an affiliated entity of the firm in the relevant jurisdiction. The specific contracting entity for any engagement is identified in the relevant engagement agreement.

2. Trading Name and Brand

The firm operates under the trading name "Ladd & Co." across all of its offices. References to "Ladd & Co.", "the firm", "we", "us", or "our" on the Website and in the firm's communications refer collectively to Ladd & Co. Pty Ltd and its affiliated offices and entities, except where the context requires otherwise.

3. Operational Presence

The firm maintains operational presence in the following financial centres:

New York — United States
Palm Beach — United States
George Town — Cayman Islands
London — United Kingdom
Zürich — Switzerland
Dubai — United Arab Emirates
Singapore — Republic of Singapore
Hong Kong — Hong Kong SAR
Sydney — Australia

The firm's presence in each of these locations enables it to serve clients with cross-border interests, coordinate with local professional advisors, and maintain proximity to relevant counterparties, financial institutions, and regulatory environments.

The firm's operational presence in each jurisdiction may take various forms, including representative offices, affiliated entities, and arrangements with local professional partners. Specific entity details for each office are available on request to office@laddco.com.

4. Nature of the Firm's Activities

Ladd & Co. is a private advisory firm. The firm provides independent advisory and execution services to its clients, including in connection with capital placement, mergers and acquisitions, co-investment, international tax and structuring, and the management of related private affairs.

The firm:

does not manage assets on a discretionary or non-discretionary basis;
does not hold client funds or operate as a custodian;
does not issue, distribute, or sell any financial products, securities, units, or interests;
does not operate a managed investment scheme, collective investment vehicle, or fund;
does not provide retail financial services or retail financial product advice;
does not act as a broker-dealer, market maker, or investment dealer.

The firm's services consist of strategic counsel, transaction coordination, and execution support, provided under bilateral engagement agreements with sophisticated clients.

5. Regulatory Status

Ladd & Co. is a private advisory firm. The firm is not licensed, registered, or authorised under the following regimes, and its services are not provided in reliance on any of the following authorisations:

Australia — the firm does not hold an Australian Financial Services Licence (AFSL) and is not authorised to provide financial product advice within the meaning of the Corporations Act 2001 (Cth).
United States — the firm is not a registered investment adviser under the Investment Advisers Act of 1940, is not a registered broker-dealer under the Securities Exchange Act of 1934, and is not registered with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or the Commodity Futures Trading Commission (CFTC).
United Kingdom — the firm is not authorised by the Financial Conduct Authority (FCA) or the Prudential Regulation Authority (PRA) and does not carry on regulated activities for the purposes of the Financial Services and Markets Act 2000.
European Union — the firm is not authorised under MiFID II or any other applicable EU financial services regime.
Switzerland — the firm is not authorised by the Swiss Financial Market Supervisory Authority (FINMA) as a financial institution under the Financial Institutions Act (FinIA).
United Arab Emirates — the firm does not hold a licence from the Securities and Commodities Authority (SCA), the Dubai Financial Services Authority (DFSA), or the Financial Services Regulatory Authority (FSRA) authorising the provision of regulated financial services.
Singapore — the firm does not hold a Capital Markets Services Licence under the Securities and Futures Act 2001 and is not licensed by the Monetary Authority of Singapore (MAS) to provide regulated financial advisory or capital markets services.
Hong Kong — the firm is not licensed by the Securities and Futures Commission (SFC) under the Securities and Futures Ordinance to carry on regulated activities.
Cayman Islands — the firm is not regulated by the Cayman Islands Monetary Authority (CIMA) as a securities investment business or fund administrator.

The firm provides advisory services that, by their nature and the manner in which they are provided, do not constitute regulated financial services in the jurisdictions in which the firm operates. Where a matter requires the provision of regulated financial services — including the placement of securities, the management of assets, or the provision of regulated investment advice — the firm works alongside appropriately licensed professionals and institutions engaged by, or on behalf of, the relevant client.

6. Sophisticated Client Base

The firm's services are provided exclusively to sophisticated counterparties, including ultra-high-net-worth individuals and families, single and multi-family offices, private holding companies, institutional and sovereign investors, private equity and venture capital principals, and family-owned enterprises.

The firm does not provide retail services. Where applicable, clients are required to satisfy criteria for treatment as wholesale clients, professional clients, accredited investors, qualified purchasers, or equivalent designations under the laws of their jurisdiction, as part of the firm's onboarding process.

7. Anti-Money Laundering, Counter-Terrorism Financing, and Sanctions

Notwithstanding that the firm does not carry on regulated financial services, the firm voluntarily applies a risk-based anti-money laundering ("AML"), counter-terrorism financing ("CTF"), and sanctions compliance framework consistent with international standards, including:

the recommendations of the Financial Action Task Force (FATF);
the AML/CTF regimes of the jurisdictions in which the firm operates, to the extent applicable;
sanctions regimes administered by Australia (DFAT), the United States (OFAC), the United Kingdom (OFSI), the European Union, and the United Nations.

A separate Anti-Money Laundering Statement is published on the Website setting out the firm's approach in further detail.

8. Engagement Terms

The terms on which the firm provides services to clients are set out in individual engagement agreements. Each engagement agreement specifies, among other matters:

the contracting entity of the firm;
the scope of services;
fees and expenses;
confidentiality, conflicts, and information-sharing arrangements;
limitations of liability;
governing law and dispute resolution; and
termination provisions.

No part of the Website constitutes an offer to enter into an engagement, and no engagement arises until a written engagement agreement has been executed by both parties.

9. Limitation on Cross-Border Solicitation

The firm does not target, solicit, or accept clients in any jurisdiction in which the provision of the firm's services would be unlawful or would require the firm to obtain a licence, registration, or authorisation that the firm does not hold. Information published on the Website is not directed at any person in any jurisdiction in which such information would be unlawful.

10. Verification of the Firm

Prospective clients, professional intermediaries, and counterparties are encouraged to verify the firm's identity and status through the following means:

via the firm's principal entity register entry in New South Wales (ABN 99 673 336 206);
via direct contact with the firm at office@laddco.com to verify the identity of any person purporting to represent the firm;
via the firm's official communications channels published at laddco.com.

The firm cautions all parties to verify any communication purporting to come from the firm before transmitting any sensitive information or funds.

11. Updates to this Disclosure

This Legal Entity Disclosure is updated from time to time to reflect changes in the firm's structure, operating presence, or regulatory environment. The "Effective Date" at the top of this document indicates when it was last updated.

12. Contact

For questions regarding the firm's corporate structure, contracting entities, or regulatory status, please contact:

Ladd & Co. Email: office@laddco.com Website: laddco.com

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