DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Levin Funding Group LLC
Latest filing Mar 30, 2026
First filing on the tape Apr 21, 2022 · 8 filings
SEC status approved since May 20, 2022
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$187M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$215M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$215M as of Mar 30, 2026
Mar 20, 2023$130M then
HNW client RAUM$182M as of Mar 30, 2026
Mar 20, 2023$117M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 20, 20231 then
Employees (5.A)2 as of Mar 30, 2026
Mar 20, 20233 then
Private funds: no history
RAUM +28% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $215MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M84%
- Corporations and businesses$12.1M5.6%
- Insurance companies$7.7M3.6%
- Individuals$5.1M2.4%
- Charitable organizations$4.7M2.2%
- Pension and profit-sharing plans$4.3M2.0%
- Individual clients
- 15reported
- HNW clients
- 33reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 165reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John David LevinChartered Financial Consultant | Tucson, Az | Mar 18, 2014 | 36 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Brandy C Maben to Windrock Wealth ManagementJul 22, 2022 · RIA to RIA
- Vincent Glenn Bicicchi to Galvanize Wealth LLCJul 8, 2019 · RIA to a state-registered adviser
- Jared Duane Williams to Heritage Wealth Management, LLCJan 2, 2019 · Other
Joined, latest
- Brandy C Maben from Kms Financial Services, IncJan 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- Jared Duane Williams from Trek FinancialOct 22, 2015 · Other
- Vincent Glenn Bicicchi from Trek FinancialJun 19, 2015 · Other
- John David Levin from Trek FinancialMar 18, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Trek FinancialJul 12, 2016 · Tucson, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David John Levin · Managing Membercontrolsince 12/2013 · owns less than 5%
- Seon Kimberlee Levin · Chief Compliance Officercontrolsince 11/2021 · owns less than 5%
- David John Levin · Trusteecontrolsince 12/2013 · owns 75% or more of John And Kimberly Levin Exempt Trust C/U/A/D 12/14/2017
- Annette Kimberly Levin · Trusteesince 04/2004 · owns 25% to 50% of John And Kimberly Levin Exempt Trust C/U/A/D 12/14/2017
Entity owners
- John And Kimberly Levin Exempt Trust C/U/A/D 12/14/2017 · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Levin Nsurance Services, LLCreal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 157 to 165Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 1 to 2Mar 28, 2025 to Mar 30, 2026
- Charity clients · unset to 4.0Mar 28, 2025 to Mar 30, 2026
- HNW clients · 37 to 33Mar 28, 2025 to Mar 30, 2026
- Individual clients · 18 to 15Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 1 to 2Mar 28, 2025 to Mar 30, 2026
- Employees · 3 to 2Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $168M to $215MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $142M to $182MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $7.0M to $5.1MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $2.4M to $4.3MMar 28, 2025 to Mar 30, 2026
- RAUM · $168M to $215MMar 28, 2025 to Mar 30, 2026
- Accounts · 148 to 157Mar 18, 2024 to Mar 28, 2025
- Advisory employees · 2 to 1Mar 18, 2024 to Mar 28, 2025
- Corporate clients · 1 to 3Mar 18, 2024 to Mar 28, 2025
- HNW clients · 35 to 37Mar 18, 2024 to Mar 28, 2025
- Individual clients · 35 to 18Mar 18, 2024 to Mar 28, 2025
- Pension plan clients · unset to 1.0Mar 18, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $165M to $168MMar 18, 2024 to Mar 28, 2025
- HNW RAUM · $148M to $142MMar 18, 2024 to Mar 28, 2025
- Individual RAUM · $9.1M to $7.0MMar 18, 2024 to Mar 28, 2025
- Pension RAUM · unset to 2396103.0Mar 18, 2024 to Mar 28, 2025
- RAUM · $165M to $168MMar 18, 2024 to Mar 28, 2025
- Accounts · 126 to 148Apr 19, 2023 to Mar 18, 2024
- Advisory employees · 1 to 2Apr 19, 2023 to Mar 18, 2024
- BD registered reps · 1 to 0Apr 19, 2023 to Mar 18, 2024
- HNW clients · 11 to 35Apr 19, 2023 to Mar 18, 2024
- Individual clients · 20 to 35Apr 19, 2023 to Mar 18, 2024
- Discretionary RAUM · $130M to $165MApr 19, 2023 to Mar 18, 2024
- HNW RAUM · $117M to $148MApr 19, 2023 to Mar 18, 2024
- Individual RAUM · $6.5M to $9.1MApr 19, 2023 to Mar 18, 2024
- RAUM · $130M to $165MApr 19, 2023 to Mar 18, 2024
- Accounts · 148 to 126Nov 7, 2022 to Mar 20, 2023
- Advisory employees · 2 to 1Nov 7, 2022 to Mar 20, 2023
- HNW clients · 59 to 11Nov 7, 2022 to Mar 20, 2023
- Individual clients · 10 to 20Nov 7, 2022 to Mar 20, 2023
- Employees · 4 to 3Nov 7, 2022 to Mar 20, 2023
- State-registered IARs · 2 to 1Nov 7, 2022 to Mar 20, 2023
- Discretionary RAUM · $131M to $130MNov 7, 2022 to Mar 20, 2023
Signals
2 dated events
- Brandy C Maben left Levin Funding Group Llc for Windrock Wealth Management (registered 2022-07-26)Jul 22, 2022 · Advisor changed firm · fact
- Levin Funding Group Llc filed its initial SEC registration (Form ADV)Apr 21, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- kim@levinfunding.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 520-505-2510reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 520-751-2000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/LEVIN-FUNDING-GROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LEVINFUNDING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 520-751-2000reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- levinfunding.com/team/john-d-levin-chfc-clureportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $215Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026