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Financial Planning Guidelines

December 12, 2019 By

Forms & Documents



Authorization to Change Advisor

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Authorization to change the Advisor of Record to TLG Advisors, Inc.

Code of Ethics

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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

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To be submitted with all retirement account applications.

Entity New Account Form

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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

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Client authorization to engage a TLG Advisor to provide financial planning services.

Form CRS TLG Advisors

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Investment Advisory Service Agreement

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Investment Advisory Agreement

Mutual Fund Share Class Protocol Policy

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Policy for the selection of share classes within managed accounts.

Office Signage Dual Registrants

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Post this sign only if registered with TLG Advisors, Inc and The Leaders Group, Inc.

Retail New Account Form

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TLG Advisors Investment Profile for New Accounts.

Retirement Plan Service Agreement

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Sample Disclosures

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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

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Determine if your marketing material is in compliance with the new SEC marketing rules.

Supervisory and Compliance Procedures

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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

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Required disclosure language for all TLG Advisors, Inc. Investment Advisor Representatives.

Wealth Event Disclosure Form

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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.

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Asset Managers

Company Telephone
Alerus Financial 888-409-5375
American Funds|Capital Group (800) 421-5450
AssetMark (800) 664-5345
City National Rochdale (800) 245-9888
CLS Investments (888) 455-4255
Great West (855) 756-4738
John Hancock (800) 338-8080
Mariner Wealth Advisors (814) 867-2050
Nationwide Investment Advisors (888) 540-2896
Orion Portfolio Solutions (800) 379-2513
SEI Investments (610) 676-1000
Starlight Portfolios (844) 221-5254

Customer Information

Retirement Plan Disclosures

Disclosures

TLG Advisors Form ADV Part 2A
TLG Advisors Form ADV Part 2B
Customer Relationship Summary
Privacy Policy
2022 Annual Amendment

 

TLG Advisors, Inc.

26 W Dry Creek Cir., Suite 800
Littleton, CO 80120
Phone: (888) 371-0013
Fax: (303) 797-7297
Email: info@tlgadvisors.net

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