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 an LLC and operating since 1990. Public reporting describes the firm as an unclassified adviser; it does not identify itself as a capital allocator, an active ESG investor, a pension consultant, or a related adviser. Owner structure is listed as a domestic entity and individual ownership. The firm’s public disclosures do not include a detailed description of its advisory or business activities.
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 14MARC WHITEHEAD
Chief Financial OfficerCRD 3059786
GEORGE MORTON
COOCRD 4522132
WILLIAM KUMM
Chief Operations OfficerCRD 6110301
Contacts
3 of 152THOMAS NEUNER
Investment Advisor RepresentativeCRD 2126246
MARIAN STUPKA
Compliance OfficerCRD 4446848
RICHARD MC COY
Wealth AdvisorCRD 4173199
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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