IARs are required to perform a substantial review of each advisory client at least annually (once every 12 months). This form is used to document ongoing investment advice with clients regarding their advisory account(s) for the annual review requirement.
Used for: Advisory Accounts only.
Best Interest Checklist and Disclosure Document Delivery – Determine if delivery of Form CRS is required, document delivery of Form CRS in addition to enhanced due diligence requirements. Additional document delivery of Form ADV Part 2B (supplement), Form ADV Part 2A OR appropriate Wrap Brochure.
Used for: Brokerage & Advisory prospects, new clients, new accounts.
Required when engaging with a prospective client who has expressed interest in an LFCM composite strategy and is qualified to invest in the strategy. Form submission is required for all distribution methods for record keeping and compliance purposes.
Used for: LFCM prospects
LFAS cannot act as a discretionary 3(38) investment manager for retirement plans of business entity clients that have a CRI audit/attest relationship. LFAS is also prohibited from serving as the retirement plan advisor to clients where CRI is performing the 401(k) audit. Jotform must be completed to ensure there are no independence issues.
Used For: New 401(k) Plans for CRI Clients
Copyright © 2025 Level Four Group LLC - All Rights Reserved.
Check the background of your financial professional on FINRA's BrokerCheck. We take protecting you data and privacy very seriously.
As of January 1, 2020 the California Consumer Privacy Act (CCPA) suggests the following link as an extra measure to safeguard your data: Do not sell my personal information.
Securities offered through Level Four Financial, LLC, a registered broker dealer and member of FINRA/SIPC. Advisory services offered through Level Four Advisory Services, LLC, an SEC-registered investment adviser. Insurance services offered through Level Four Insurance Agency, LLC. Level Four Financial, LLC, Level Four Advisory Services, LLC, and Level Four Insurance Agency, LLC are independent entities. | Disclosures | Representative Email Access
Level Four Group, LLC is a division of CRI Capital Group, LLC, a subsidiary of CRI Advisors, LLC. “CRI" is the brand name under which Carr, Riggs & Ingram, L.L.C. (“CPA Firm”) and CRI Advisors, LLC (“Advisors”) and its subsidiary entities provide professional services. CPA Firm and Advisors (and its subsidiary entities) practice as an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable law, regulations and professional standards. CPA Firm is a licensed independent CPA firm that provides attest services to its clients, and Advisors and its subsidiary entities provide tax and business consulting services to their clients. Advisors and its subsidiary entities are not licensed CPA firms.