Level Four Financial, LLC
Firm details
- Headquarters
- Dallas, Texas
- CRD number
- 25700
- Registered since
- January 5, 1990
- Website
- levelfourgroup.com
Firm profile
FINTRXOverview
Level Four Financial, LLC is an SEC-registered investment adviser organized as a limited liability company and operating since 1990. Public filings and dataset entries portray it as an adviser that combines public equity and ETF portfolios with allocations to third-party alternative fund managers. The firm does not identify itself as an active ESG investor in available records. Fee structure, client segments, and specific advisory service descriptions are not disclosed in the source material.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities49%
- Public Funds/Mutual Funds33%
- Cash & Cash Equivalents10%
- Non-Exchange Traded Equities3%
- Private Funds3%
Owners & executives
3 of 14
Kimberly Miller
Chief Compliance Officer and AML Compliance OfficerCRD 4175240
Connor Sturgess
Chief of StaffCRD 6895109
Ryan Ash
CEO & Co-FounderCRD 4969623
Contacts
3 of 152
Mary Sargent
Private Wealth AdvisorCRD 5710395
Stephanie Smith
CCOCRD 5843814
Angela Tacco
Investment Advisor RepresentativeCRD 5865941
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 127Active vs passive
$115M in ETFs
96%
$111M
4%
$4.5M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| Schwab US Dividend Equity ETF (SCHD) | Schwab | Passive | Large Value | $6.1M | 81,522 | 5.24% |
Location
Dallas, TX
Dallas
Location
Dallas, TX
Headquartered in Dallas, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.
- Metro area
- Dallas-Fort Worth, TX-OK
- Region
- South
- County
- Dallas
- Address
- 12400 Coit Rd
- Time zone
- CT (UTC-6)
- Office locations
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