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 organized as a limited liability company with ownership characterized as a domestic entity and individual owners. The firm reports an unclassified business profile and does not identify itself as an active ESG investor, pension consultant, related adviser, or a capital allocator. Public data indicate the adviser is not designated as a multistate adviser, and it is not listed as a newly formed adviser. Investment activity combines traditional long-only public holdings with allocations to third-party alternative managers (see Investments & Alternatives below). The firm’s filings and holdings suggest a hybrid approach that maintains concentrated exposure to equities and ETFs while supplementing portfolios with alternative strategies and corporate debt.
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 13
Kimberly Miller
Chief Compliance Officer and AML Compliance OfficerCRD 4175240

Connor Sturgess
Chief of StaffCRD 6895109

Ryan Ash
CEO & Co-FounderCRD 4969623
Contacts
3 of 149
Mary Sargent
Private Wealth AdvisorCRD 5710395

Stephanie Smith
CCOCRD 5843814
Angela Tacco
Investment Advisor RepresentativeCRD 5865941
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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