Forms & Documents
Authorization to Change Advisor
Authorization to change the Advisor of Record to TLG Advisors, Inc.
Code of Ethics
TLG Advisors places high importance on the practice of high ethical standards in the Adviser-client relationship. This agreement, together with the compliance manual, comprises TLG Advisors Code of Ethics.
DOL Best Interest Disclosure
To be submitted with all retirement account applications.
Entity New Account Form
Federal law requires TLG Advisors, Inc. to verify your identity by obtaining your name, address, and a government- issued identification number before opening your account.
Financial Planning Service Contract
Client authorization to engage a TLG Advisor to provide financial planning services.
Form CRS TLG Advisors
Investment Advisory Service Agreement
Investment Advisory Agreement
Mutual Fund Share Class Protocol Policy
Policy for the selection of share classes within managed accounts.
Office Signage Dual Registrants
Post this sign only if registered with TLG Advisors, Inc and The Leaders Group, Inc.
Retail New Account Form
TLG Advisors Investment Profile for New Accounts.
Retirement Plan Service Agreement
Sample disclosures for various advisory marketing materials. Only referring to TLG Advisors, not dual registrants with Leaders Group. Materials still need to be approved by TLGA Compliance prior to use.
SEC Marketing Rule Flow Chart
Determine if your marketing material is in compliance with the new SEC marketing rules.
Supervisory and Compliance Procedures
This Supervisory Procedures Manual includes details of the TLG Advisors, Inc. supervisory system as well as a summary
of compliance policies and procedures applicable to our firm.
TLG Advisors Disclosure Language
Required disclosure language for all TLG Advisors, Inc. Investment Advisor Representatives.
Wealth Event Disclosure Form
The Wealth Event Disclosure Form is applicable to Investments made as a result of a Wealth Event (i.e. inheritance, 401(k) rollovers, divorce settlements, IRA rollovers, sale of a business, sale of a home, or any event that causes a drastic increase in investable assets) should be given added scrutiny because of the potential consequences of uninformed investment choices.