FOR ADVISOR USE ONLY
NEW COMPLIANCE PROCEDURE/PROCESS
We are pleased to announce the roll out of an automated Annual Advisory Account Review form which will replace the paper document that you have historically utilized for documenting your annual reviews of investment advisory accounts as required under the Investment Advisers Act of 1940. This new automated tool is completed online and then will be appropriately maintained in the firm’s books and records. We are hopeful that this new online format will be easier and more efficient for your use in completing this annual requirement and will better enable compliance to monitor for compliance in this area. 

The attached link should be used to conduct and memorialize all annual advisory account reviews starting April 1, 2021. You will find it linked in DropBox/Level Four Network Documents as well as in the Salesforce Library.
12400 Coit Road ▪ Suite 700 ▪ Dallas, TX 75251 ▪ P 866.834.1040 ▪ F 866.763.9136
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