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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

LEVEL FOUR CAPITAL MANAGEMENT

CRD 304792

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7dc65114-e517-c5a5-7b98-063ec4165bfa

Data as of Sep 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 3
On other graphs: 0
Observed: Oct 25, 2019 to Sep 11, 2026
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.85 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=7.0
Regulatory AUM: $1.4BItem 5.F on the latest filing (2026-09-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $230Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3,533
Individual clients: 2,094
High net worth clients: 1,233
SEC number: 801-117681
CRD: 304792
Filings on the tape: 24
First filed: Oct 25, 2019
Latest filed: Sep 11, 2026
Organised: Limited Liability Company, TX

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LEVEL FOUR GROUP, LLC	Member	E	yes	06/2019	Sep 11, 2026	Sep 11, 2026
WOODS, BRITT	PRESIDENT - LEVEL FOUR GROUP, LLC	Na	yes	08/2026	Sep 11, 2026	Sep 11, 2026
ZACHA, JILL, MARIE	CHIEF COMPLIANCE OFFICER, CORPORATE COUNSEL	Na	yes	06/2019	Sep 11, 2026	Sep 11, 2026
CARR, RIGGS & INGRAM CAPITAL, LLC	Member	E	yes	09/2014	Oct 25, 2019	Dec 16, 2024
CCP FEEDER I-CRI, LLC	LIMITED PARTNER	C	yes	11/2024	Dec 16, 2024	Dec 16, 2024
CCP V AIV I HOLDINGS - CRI, L.P.	Member	E	yes	11/2024	Dec 16, 2024	Dec 16, 2024
CCP V AIV I, L.P.	LIMITED PARTNER	E	yes	11/2024	Dec 16, 2024	Dec 16, 2024
CCP V CRI AGGREGATOR L.P.	Member	C	yes	11/2024	Dec 16, 2024	Dec 16, 2024
CRI ADVISORS, LLC	Member	E	yes	11/2024	Dec 16, 2024	Dec 16, 2024
CRI GROUP, LLC	Member	E	yes	11/2024	Dec 16, 2024	Dec 16, 2024
MORTON, GEORGE, BRENT	CHIEF OPERATING OFFICER	Na	yes	06/2019	Oct 25, 2019	Dec 16, 2024
TOMES, EDMON, JACOB	PRESIDENT/CEO	Na	yes	06/2019	Oct 25, 2019	Dec 16, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LEVEL FOUR ADVISORY SERVICES, LLC	n/a	Bd affiliated wealth	$6.5B	N	yes	n/a
LEVEL FOUR FINANCIAL, LLC	n/a	Former SEC adviser	$621M	N	yes	n/a
AUDITWERX, LLC	n/a	n/a	n/a	N	no	n/a
CARR RIGGS & INGRAM LLC	n/a	n/a	n/a	Y	no	n/a
CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.	n/a	n/a	n/a	N	no	n/a
LEVEL FOUR INSURANCE AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
PREFERRED LEGACY TRUST	n/a	n/a	n/a	N	yes	Oh

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Greenville	Nc	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$1.4B	$1.4B	9	8	1	n/a	n/a
2024	Mar 27, 2025	$1.2B	$1.2B	9	9	1	n/a	n/a
2023	Mar 27, 2024	$1.0B	$1.0B	10	10	1	n/a	n/a
2022	Mar 30, 2023	$784M	$784M	10	10	2	n/a	n/a
2021	Mar 30, 2022	$919M	$919M	9	9	1	n/a	n/a
2020	Mar 30, 2021	$791M	$791M	9	5	1	n/a	n/a
2019	Mar 31, 2020	$770M	$770M	9	5	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.4B	$1.2B	12.4%	$784M	20.8%	9	9	1	1

Relationships

Affiliated with (4)

→ LEVEL FOUR ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ HARBOR FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← LEVEL FOUR ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
← HARBOR FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (7)

← Collin McAvoyAdvisorregistration: current employment
Apr 28, 2026 to presentfactForm ADV
← Ethan Samson ShaffAdvisorregistration: current employment
Apr 22, 2025 to presentfactForm ADV
← LAL ELLISON ECHTERHOFFAdvisorregistration: current employment
Nov 23, 2019 to presentfactForm ADV
← JILL MARIE ZACHAAdvisorregistration: current employment
Nov 23, 2019 to presentfactForm ADV
← CHARLES RAYMOND SHIMERAdvisorregistration: current employment
Nov 23, 2019 to presentfactForm ADV
← Todd BulotAdvisorregistration: current employment
Nov 22, 2019 to presentfactForm ADV
← Maryam Alyce HoustonAdvisorregistration: previous registration
Nov 23, 2019 to Feb 15, 2022factForm ADV

Controls (11)

← ZACHA, JILL, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 25, 2019 to Dec 16, 2024factForm ADV
← TOMES, EDMON, JACOBOwnerPRESIDENT/CEO, ownership code NA, individual
Oct 25, 2019 to Dec 16, 2024factForm ADV
← MORTON, GEORGE, BRENTOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Oct 25, 2019 to Dec 16, 2024factForm ADV
← CARR, RIGGS & INGRAM CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Oct 25, 2019 to Dec 16, 2024factForm ADV
← CCP FEEDER I-CRI, LLCOwnerLIMITED PARTNER, ownership code C, domestic entity
Dec 16, 2024 to Dec 16, 2024factForm ADV
← CCP V AIV I HOLDINGS - CRI, L.P.OwnerMEMBER, ownership code E, domestic entity
Dec 16, 2024 to Dec 16, 2024factForm ADV
← CCP V AIV I, L.P.OwnerLIMITED PARTNER, ownership code E, domestic entity
Dec 16, 2024 to Dec 16, 2024factForm ADV
← CCP V CRI AGGREGATOR L.P.OwnerMEMBER, ownership code C, domestic entity
Dec 16, 2024 to Dec 16, 2024factForm ADV
← CRI ADVISORS, LLCOwnerMEMBER, ownership code E, domestic entity
Dec 16, 2024 to Dec 16, 2024factForm ADV
← CRI GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Dec 16, 2024 to Dec 16, 2024factForm ADV
← LEVEL FOUR GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Oct 25, 2019 to Dec 16, 2024factForm ADV

Dated events

Occurred
Mar 27, 2024
Regulatory AUM changed
Level Four Capital Management reported RAUM $1.0B, up 29% from $784.4M (2023-10-09 to 2024-03-27)
Form ADVobserved 4 days ago
$227M
Occurred
Feb 15, 2022
Advisor changed firm
Maryam Alyce Houston left Level Four Capital Management for Good Life Advisors, Llc (registered 2021-09-07)
Form ADVobserved 4 days ago
Occurred
Oct 25, 2019
First Form ADV filing
Level Four Capital Management filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7dc65114-e517-c5a5-7b98-063ec4165bfa
First observed: Oct 25, 2019
Last observed: Sep 11, 2026 9 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LEVEL FOUR CAPITAL MANAGEMENT

CRD 304792

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7dc65114-e517-c5a5-7b98-063ec4165bfa

Data as of Sep 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:37 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEVEL FOUR GROUP, LLC

Member

yes

06/2019

Sep 11, 2026

WOODS, BRITT

PRESIDENT - LEVEL FOUR GROUP, LLC

yes

08/2026

Sep 11, 2026

ZACHA, JILL, MARIE

CHIEF COMPLIANCE OFFICER, CORPORATE COUNSEL

yes

06/2019

Sep 11, 2026

CARR, RIGGS & INGRAM CAPITAL, LLC

Member

yes

09/2014

Oct 25, 2019

Dec 16, 2024

CCP FEEDER I-CRI, LLC

LIMITED PARTNER

yes

11/2024

Dec 16, 2024

CCP V AIV I HOLDINGS - CRI, L.P.

Member

yes

11/2024

Dec 16, 2024

CCP V AIV I, L.P.

LIMITED PARTNER

yes

11/2024

Dec 16, 2024

CCP V CRI AGGREGATOR L.P.

Member

yes

11/2024

Dec 16, 2024

CRI ADVISORS, LLC

Member

yes

11/2024

Dec 16, 2024

CRI GROUP, LLC

Member

yes

11/2024

Dec 16, 2024

MORTON, GEORGE, BRENT

CHIEF OPERATING OFFICER

yes

06/2019

Oct 25, 2019

Dec 16, 2024

TOMES, EDMON, JACOB

PRESIDENT/CEO

yes

06/2019

Oct 25, 2019

Dec 16, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEVEL FOUR ADVISORY SERVICES, LLC

n/a

Bd affiliated wealth

$6.5B

yes

n/a

LEVEL FOUR FINANCIAL, LLC

n/a

Former SEC adviser

$621M

yes

n/a

AUDITWERX, LLC

n/a

CARR RIGGS & INGRAM LLC

n/a

CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.

n/a

LEVEL FOUR INSURANCE AGENCY, LLC

n/a

yes

n/a

PREFERRED LEGACY TRUST

n/a

yes

City

State

Country

Employees

Also broker-dealer

Greenville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$1.4B

n/a

2024

Mar 27, 2025

$1.2B

n/a

2023

Mar 27, 2024

$1.0B

n/a

2022

Mar 30, 2023

$784M

n/a

2021

Mar 30, 2022

$919M

n/a

2020

Mar 30, 2021

$791M

n/a

2019

Mar 31, 2020

$770M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.4B

$1.2B

12.4%

$784M

20.8%