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
Level Four Capital Management
Latest filing Sep 11, 2026
First filing on the tape Oct 25, 2019 · 24 filings
SEC status approved since Nov 22, 2019
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$1.2B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.4B as of Jul 20, 2026
Mar 31, 2020$770M then
HNW client RAUM$809M as of Jul 20, 2026
Mar 31, 2020$353M then
State-registered IARs (5.B.3)8 as of Jul 20, 2026
Mar 31, 20208 then
Employees (5.A)9 as of Jul 20, 2026
Mar 31, 20209 then
Private funds: no history
RAUM +12% over the last fiscal year+21% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 555derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $656,313derivedHNW RAUM over HNW clients
- Average account
- $391,023derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$809M59%
- Individuals$361M26%
- Corporations and businesses$167M12%
- Pension and profit-sharing plans$34.3M2.5%
- Charitable organizations$10.3M0.7%
- Individual clients
- 2,094reported
- HNW clients
- 1,233reported
- Pension plan clients
- 96reported
- Charitable clients
- 19reported
- Accounts
- 3,533reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.0B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- Maryam Alyce Houston to Good Life Advisors, LLCFeb 15, 2022 · RIA to RIA
Joined, latest
- Ethan Samson Shaff from Texas Capital Bank Private Wealth AdvisorsApr 22, 2025 · RIA to RIA
- Maryam Alyce Houston from Level Four Advisory ServicesNov 23, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Brent George Morton · Chief Operating Officercontrolsince 06/2019 · owns less than 5%
- Jacob Edmon Tomes · President/Ceocontrolsince 06/2019 · owns less than 5%
- Britt Woods · President - Level Four Group, LLCcontrolsince 08/2026 · owns less than 5%
- Marie Jill Zacha · Chief Compliance Officer, Corporate Counselcontrolsince 06/2019 · owns less than 5%
Entity owners
- Level Four Group, LLC · Memberdirect · owns 75% or more
- Carr, Riggs & Ingram Capital, LLC · Memberindirect · owns 75% or more of Level Four Group, LLC
- Ccp Feeder I-Cri, LLC · Limited Partnerindirect · owns 25% to 50% of Ccp V Aiv I, L.P.
- Ccp V Aiv I Holdings - Cri, L.P. · Memberindirect · owns 75% or more of Ccp Feeder I-Cri, LLC
- Ccp V Aiv I, L.P. · Limited Partnerindirect · owns 75% or more of Ccp V Cri Aggregator L.P.
- Ccp V Cri Aggregator L.P. · Memberindirect · owns 25% to 50% of Cri Advisors, LLC
- Cri Advisors, LLC · Memberindirect · owns 75% or more of Cri Group, LLC
- Cri Group, LLC · Memberindirect · owns 75% or more of Carr, Riggs & Ingram Capital, LLC
Related persons
Schedule D 7.A
- Auditwerx, LLCinsurancen
- Carr Riggs & Ingram LLCinsurancey
- Carr, Riggs & Ingram Capital Advisors, L.L.C.broker-dealern
- Level Four Advisory Servicesinvestment advisernRAUM $6.5B
- Harbor Financial Services, LLCbroker-dealerinvestment advisernRAUM $621M
- Level Four Insurance Agency, LLCreal estaten
- Preferred Legacy Trustcustodiann
Advisers that list Level Four Capital Management as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenville, NC1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Sep 11, 2026private clients per advisor of 554.5 against a peer median of 64.8 (1150 comparable advisers, 99.0th percentile, 11.9 robust deviations)peers: independent wealth managers, $1B to $5B (1,150) · 99% percentile
- control person changedChange between filings · filing Sep 11, 2026WOODS, BRITT (PRESIDENT - LEVEL FOUR GROUP, LLC) appeared on Schedule A between the filings of 2024-12-16 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Sep 11, 2026TOMES, EDMON, JACOB (PRESIDENT/CEO) left Schedule A between the filings of 2024-12-16 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Sep 11, 2026MORTON, GEORGE, BRENT (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-12-16 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 39.0% to 59.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jul 20, 2026 to Sep 11, 2026
- Succession · false to unsetJul 20, 2026 to Sep 11, 2026
- Accounts · 3,352 to 3,533Dec 19, 2025 to Mar 30, 2026
- Advisory employees · 9 to 8Dec 19, 2025 to Mar 30, 2026
- BD registered reps · 6 to 7Dec 19, 2025 to Mar 30, 2026
- Charity clients · 17 to 19Dec 19, 2025 to Mar 30, 2026
- Corporate clients · 87 to 91Dec 19, 2025 to Mar 30, 2026
- HNW clients · 536 to 1,233Dec 19, 2025 to Mar 30, 2026
- Individual clients · 2,659 to 2,094Dec 19, 2025 to Mar 30, 2026
- Pension plan clients · 50 to 96Dec 19, 2025 to Mar 30, 2026
- State-registered IARs · 9 to 8Dec 19, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.4BDec 19, 2025 to Mar 30, 2026
- HNW RAUM · $479M to $809MDec 19, 2025 to Mar 30, 2026
- Individual RAUM · $608M to $361MDec 19, 2025 to Mar 30, 2026
- Pension RAUM · $23.6M to $34.3MDec 19, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.4BDec 19, 2025 to Mar 30, 2026
- Wrap assets (manager) · $1.2B to $1.0BDec 19, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 12, 2025
- Accounts · 3,027 to 3,352Dec 16, 2024 to Mar 27, 2025
- Advisory employees · 10 to 9Dec 16, 2024 to Mar 27, 2025
- Charity clients · 9 to 17Dec 16, 2024 to Mar 27, 2025
- Corporate clients · 24 to 87Dec 16, 2024 to Mar 27, 2025
- HNW clients · 203 to 536Dec 16, 2024 to Mar 27, 2025
- Individual clients · 1,253 to 2,659Dec 16, 2024 to Mar 27, 2025
- Pension plan clients · 11 to 50Dec 16, 2024 to Mar 27, 2025
- Assets in custody · 17753853.0 to unsetDec 16, 2024 to Mar 27, 2025
- Employees · 10 to 9Dec 16, 2024 to Mar 27, 2025
- Insurance-licensed employees · 7 to 8Dec 16, 2024 to Mar 27, 2025
- State-registered IARs · 7 to 9Dec 16, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.0B to $1.2BDec 16, 2024 to Mar 27, 2025
- HNW RAUM · $316M to $479MDec 16, 2024 to Mar 27, 2025
- Individual RAUM · $632M to $608MDec 16, 2024 to Mar 27, 2025
- Pension RAUM · $10.9M to $23.6MDec 16, 2024 to Mar 27, 2025
- RAUM · $1.0B to $1.2BDec 16, 2024 to Mar 27, 2025
- Wrap assets (manager) · $701M to $1.2BDec 16, 2024 to Mar 27, 2025
- Accounts · 2,771 to 3,027Oct 9, 2023 to Mar 27, 2024
- Charity clients · 6 to 9Oct 9, 2023 to Mar 27, 2024
- Corporate clients · 17 to 24Oct 9, 2023 to Mar 27, 2024
- HNW clients · 180 to 203Oct 9, 2023 to Mar 27, 2024
- Individual clients · 1,165 to 1,253Oct 9, 2023 to Mar 27, 2024
Signals
3 dated events
- Level Four Capital Management reported RAUM $1.0B, up 29% from $784.4M (2023-10-09 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Maryam Alyce Houston left Level Four Capital Management for Good Life Advisors, Llc (registered 2021-09-07)Feb 15, 2022 · Advisor changed firm · fact
- Level Four Capital Management filed its initial SEC registration (Form ADV)Oct 25, 2019 · 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 phone
- 817-360-7476reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-834-1040reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-988-6220reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/levelfourgroupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- levelfourgroup.com/lfcmreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 866-834-1040reportedpublic record, Form ADV, Sep 11, 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
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026