0001752724-23-243993.txt : 20231031 0001752724-23-243993.hdr.sgml : 20231031 20231031143510 ACCESSION NUMBER: 0001752724-23-243993 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230831 FILED AS OF DATE: 20231031 DATE AS OF CHANGE: 20231031 EFFECTIVENESS DATE: 20231031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Northern Lights Fund Trust IV CENTRAL INDEX KEY: 0001644419 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0916 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-23066 FILM NUMBER: 231364023 BUSINESS ADDRESS: STREET 1: 225 PICTORIA DRIVE STREET 2: SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 BUSINESS PHONE: 402-895-1600 MAIL ADDRESS: STREET 1: 17605 WRIGHT STREET STREET 2: SUITE 200 CITY: OMAHA STATE: NE ZIP: 68154-1150 0001644419 S000050435 Anchor Risk Managed Credit Strategies Fund C000159233 Anchor Risk Managed Credit Strategies Fund Advisor Class Shares ATCAX C000161918 Anchor Risk Managed Credit Strategies Fund Institutional Class Shares ATCSX 0001644419 S000055029 Anchor Risk Managed Equity Strategies Fund C000173045 Anchor Risk Managed Equity Strategies Fund Institutional Class ATESX C000173046 Anchor Risk Managed Equity Strategies Fund Advisor Class ATEAX 0001644419 S000064073 Anchor Risk Managed Global Strategies Fund C000207215 Anchor Risk Managed Global Strategies Fund Institutional Class Shares ATGSX C000207216 Anchor Risk Managed Global Strategies Fund Advisor Class ATAGX N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001644419 XXXXXXXX 811-23066 false false false N-1A S000055029 C000173046 C000173045 S000064073 C000207215 C000207216 S000050435 C000159233 C000161918 Northern Lights Fund Trust IV 811-23066 0001644419 549300UIBIHXQ3PDEC28 225 Pictoria Drive Suite 450 Cincinnati 45246 US-OH US 631-470-2603 Ultimus Fund Solutions, LLC 225 Pictoria Drive Suite 450 Cincinnati 45246 631-470-2603 Fund Accounting and Transfer Agent Records N N N-1A 33 Y Charles Ranson N/A N Wendy Wang N/A Y Joseph Breslin N/A N Thomas Sarkany N/A N James Ash N/A 4221 N. 203rd Street Suite 100 Elkhorn 68022 XXXXXX N N N N N N N Northern Lights Distributors, LLC 8-065857 000126159 N/A Y N BBD LLP 552 N/A Cohen & Company 925 N/A Y N N N N N N Anchor Risk Managed Equity Strategies Fund S000055029 549300DCQXRV867P4922 N 2 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 18f-4 (17 CFR 270.18f-4) Y N N N Anchor Capital Management Group, Inc. 801-61643 000123543 N/A N Ultimus Fund Solutions, LLC 84-05829 N/A N N N ICE Data Services N/A Filing Number N N U.S. BANK, N.A. 6BYL5QZYBDK8S7L73M02 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Ultimus Fund Solutions, LLC 84-05829 Filing Number N N N Ultimus Fund Solutions, LLC 84-05829 Filing Number N N N The Goldman Sachs Group, Inc. 008-129 000000361 784F5XWPLTWKTBV3E584 1500.00000000 1500.00000000 0.00000000 N 499864618.00000000 0.00000000 N N N N Anchor Risk Managed Global Strategies Fund S000064073 549300C7SKB8H57LEJ58 N 2 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 18f-4 (17 CFR 270.18f-4) Y Y Y N Anchor Capital Management Group, Inc. 801-61643 000123543 N/A N Ultimus Fund Solutions, LLC 84-05829 N/A N N N ICE Data Services N/A Filing Number N N U.S. BANK, N.A. 6BYL5QZYBDK8S7L73M02 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Ultimus Fund Solutions, LLC 84-05829 Filing Number N N N Ultimus Fund Solutions, LLC 84-05829 Filing Number N N N Wallachbeth Capital, LLC 008-67936 000147853 549300R371KUKXEXC133 22050.00000000 22050.00000000 0.00000000 N 64723580.00000000 0.00000000 N N N N Anchor Risk Managed Credit Strategies Fund S000050435 5493009PIMVZ5T620V91 N 2 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 18f-4 (17 CFR 270.18f-4) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N Anchor Capital Management Group, Inc. 801-61643 000123543 N/A N Ultimus Fund Solutions, LLC 84-05829 N/A N N N ICE Data Services N/A Filing Number N N U.S. BANK, N.A. 6BYL5QZYBDK8S7L73M02 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Ultimus Fund Solutions, LLC 84-05829 Filing Number N N N Ultimus Fund Solutions, LLC 84-05829 Filing Number N N N The Goldman Sachs Group, Inc. 008-129 000000361 784F5XWPLTWKTBV3E584 975.00000000 Wallachbeth Capital, LLC 008-67936 000147853 549300R371KUKXEXC133 161400.00000000 162375.00000000 0.00000000 N 29038084.00000000 0.00000000 Uncommitted 4000000.00000000 N N N true INTERNAL CONTROL RPT 2 ICL_Anchor.txt REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders of Anchor Risk Managed Credit Strategies Fund, Anchor Risk Managed Equity Strategies Fund, and Anchor Risk Managed Global Strategies Fund and Board of Trustees of Northern Lights Fund Trust IV In planning and performing our audit of the financial statements of Anchor Risk Managed Credit Strategies Fund, Anchor Risk Managed Equity Strategies Fund, and Anchor Risk Managed Global Strategies Fund (the Funds), each a series of Northern Lights Fund Trust IV, as of and for the year ended August 31, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A funds internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles (GAAP). A funds internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with GAAP, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a funds assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of August 31, 2023. This report is intended solely for the information and use of management and the Board of Trustees of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /S/ COHEN & COMPANY, LTD. Philadelphia, Pennsylvania October 27, 2023