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Compliance

Required Disclosures

Disclosure Documents & Form CRS Automation

Disclosure Documents & Form CRS Automation

Disclosure Documents & Form CRS Automation

Jotform

LFAS, LFF, LFCM Form CRS 2.28.23

Disclosure Documents & Form CRS Automation

Disclosure Documents & Form CRS Automation

PDF Download

LFF Brokerage Supplemental Document CRS

Disclosure Documents & Form CRS Automation

LFF Brokerage Supplemental Document CRS

PDF Download

Electronic Device Disclosure

LFF166 Mutual Fund Break Point Disclosure

LFF Brokerage Supplemental Document CRS

Jotform

LFF166 Mutual Fund Break Point Disclosure

LFF166 Mutual Fund Break Point Disclosure

LFF166 Mutual Fund Break Point Disclosure

Jotform

Regulatory Links

LFF - Brokerage compliance procedures

Level Four Financial Supervisory Procedures ManualAML Anti-Money Laundering Compliance ProgramLevel Four Group Information Security ManualReg-SP Incident Response PlanBusiness Continuity Plan – LFF
LFF - WSP Cheatsheet for New Registered Reps (pdf)Download
Disclosure-Guidance_211130 (pdf)Download
Securities Received Procedures (pdf)Download

Advisory compliance procedures

LFAS Compliance Manual LFCM Compliance ManualCode of Ethics

Advisory Program Brochures

LFAS ADV Part 2A Firm BrochureLFCM ADV Part 2A Firm BrochureLFAS ICA Platform BrochureManaged Assets Program BrochureParticipant Asset Management Program Brochure

representative resources

End of Month Attestation Checklist JotForm

RCI Employee Portal

Attest Gifts, Political Contributions, OBA's & more.
RCI Employee PortalCompliance Onboarding Manual
Check Deposit Procedures 12-2020 (pdf)Download
2022 Task List - LFF BD LFAS RIA (pdf)Download
Business Continuity Plan (pdf)Download
Level Four Daily Check Blotter (pdf)Download
COB eSignature Option Instructions (pdf)Download
International Travel ExceptionLFF010 - End of Month Packet_jotformLFF112 - Outside Activity Client DisclosureLFF132 - Credit Card AuthorizationLFF140 - Space Sharing Form AgreementLFF154 - Insurance & Annuity Change FormLFF159 - Seminar-Conference Reimbursement formLFF166 Mutual Fund Break Point Disclosure - JotformLFF176 Payroll Direct DepositLFF179 - Transmittal Form

Compliance Recordings

Archived Recordings

***Use any browser other than Internet Explorer to View Recordings***

2025 Compliance Meeting Presentation

05/22/25

Watch the Recording

2024 Compliance Meeting Presentation

10/31/24

Watch the Recording

Q2/Q3 – 2023 Compliance Meeting Presentation

08/16/23

Watch the Recording

Q1- 2023 Compliance Meeting Presentation

04/12/23

Presentation

FOFA - 2022 Annual Compliance Meeting Presentation

11/10/22

Presentation

Q2 - 2022 Quarterly Compliance Call

7/14/22

Watch the Recording

Q1 - 2022 Quarterly Compliance Call

2/17/22

Watch the Recording 

Q3 - 2021 Quarterly Compliance Call

11/3/21

Watch the Recording

Q1 - 2021 Quarterly Compliance Recording

4/1/21

Watch the Recording

Compliance Alerts

Looking for recent compliance alerts?

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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.



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