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