LEVEL FOUR CAPITAL MANAGEMENT

Adviser information for LEVEL FOUR CAPITAL MANAGEMENT last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Texas, United States

Employees

Total Number of Employees	10
Investment Advisory/Research	10
Registered Broker-Dealer Representatives	6
Registered State Investment Advisers	7
Licensed Agents of an Insurance Company	2
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	3,027	$1.0B
Non-Discretionary	0	$0
Total	3,027	$1.0B

Clients

Type	Number	RAUM
Individuals	1,253	$632.0M
HNW Individuals	203	$316.0M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	11	$10.9M
Charitable organizations	9	$3.7M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	24	$48.7M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation	% of AUM

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	700.7M
Both for Same	0

Portfolio Manager to Program	Sponsor
MANAGED ASSETS PROGRAM	LEVEL FOUR ADVISORY SERVICES
PARTICIPANTS ASSET PROGRAM	LEVEL FOUR ADVISORY SERVICES
ICA PLATFORM	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Identifiers

SEC RIA File Number	801-117681
SEC ERA File Number	801-117681
SEC CIK Numbers	None
SEC CRD Numbers	304792
Legal Entity Identifier	None

Principal Office

12400 COIT ROAD
SUITE 700
DALLAS
TX
United States

Monday - Friday, 8 A.M.-5 P.M. CST

Tel: 866-834-1040, Fax: None

Websites

levelfourcapital.com www.linkedin.com/company/level-four-capital-management

Chief Compliance Officer

JILL ZACHA

CHIEF COMPLIANCE OFFICER

12400 COIT ROAD

SUITE 700

DALLAS

United States

Tel: 866-834-1040

J*****@*******************M

(Full email address available in API data)

Industry Affiliates

AUDITWERX, LLC	Accountant or accounting firm
CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CARR, RIGGS & INGRAM, LLC	Accountant or accounting firm
LEVEL FOUR ADVISORY SERVICES	Other investment adviser, including financial planners
LEVEL FOUR FINANCIAL, LLC	Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisor
LEVEL FOUR INSURANCE AGENCY, LLC	Insurance company or agency
TRUST COMPANY	Trust company

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners

None

Control Persons

Name	Type	Entity	Title	Since	Ownership
TOMES, EDMON, JACOB	Individual	–	PRESIDENT/CEO	06/2019	< 5%
ZACHA, JILL, MARIE	Individual	–	CHIEF COMPLIANCE OFFICER	06/2019	< 5%
MORTON, GEORGE, BRENT	Individual	–	CHIEF OPERATING OFFICER	06/2019	< 5%
LEVEL FOUR GROUP, LLC	Domestic Entity	–	MEMBER	06/2019	> 75%
CARR, RIGGS & INGRAM CAPITAL, LLC	Domestic Entity	LEVEL FOUR GROUP, LLC	MEMBER	09/2014	> 75%
CARR, RIGGS & INGRAM, LLC	Domestic Entity	CARR, RIGGS & INGRAM CAPITAL, LLC	MEMBER	09/2014	> 75%

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