Level Four Capital Management
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 304792
· SEC file 801-117681
· Dallas, TX
· levelfourgroup.com
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ADV data as of Jul 20, 2026
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 3,533
- Avg AUM / client
- $391K
- Accounts
- 3,533
- Employees
- 9
AUM over time
$670M
$1.4B
Oct 2019
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,094 | $361M | 26.1% |
| High net worth individuals | 1,233 | $809M | 58.6% |
| Pension and profit sharing plans | 96 | $34.3M | 2.48% |
| Charitable organizations | 19 | $10.3M | 0.74% |
| Corporations and other businesses | 91 | $167M | 12.1% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Edmon Jacob Tomes | President/Ceo | Jun 2019 (7y) | Less than 5% | |
| George Brent Morton | Chief Operating Officer | Jun 2019 (7y) | Less than 5% | |
| Jill Marie Zacha | Chief Compliance Officer | Jun 2019 (7y) | Less than 5% | |
| Todd Bulot | Registered representative | Nov 2019 (7y) | ||
| Charles Raymond Shimer | Registered representative | CFA | Nov 2019 (7y) | |
| Lal Ellison Echterhoff | Registered representative | CFA | Nov 2019 (7y) | |
| Ethan Samson Shaff | Registered representative | Apr 2025 (1y) | ||
| Collin Mc Avoy | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Level Four Group, Llc | Member | Jun 2019 | A | 75% or more |
| Carr, Riggs & Ingram Capital, Llc | Member | Sep 2014 | B | ≈ 56.25% – 100% via Level Four Group, Llc |
| Cri Group, Llc | Member | Nov 2024 | B | ≈ 42.19% – 100% via Carr, Riggs & Ingram Capital, Llc |
| Cri Advisors, Llc | Member | Nov 2024 | B | ≈ 31.64% – 100% via Cri Group, Llc |
| Ccp V Aiv I, L.P. | Limited Partner | Nov 2024 | B | ≈ 5.93% – 50% via Ccp V Cri Aggregator L.P. |
| Ccp V Aiv I Holdings Cri, L.P. | Member | Nov 2024 | B | ≈ 1.11% – 25% via Ccp Feeder I Cri, Llc |
| Ccp V Cri Aggregator L.P. | Member | Nov 2024 | B | ≈ 7.91% – 50% via Cri Advisors, Llc |
| Ccp Feeder I Cri, Llc | Limited Partner | Nov 2024 | B | ≈ 1.48% – 25% via Ccp V Aiv I, L.P. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Carr, Riggs & Ingram Capital, Llc: 75% – 100% of Level Four Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Cri Group, Llc: 75% – 100% of Carr, Riggs & Ingram Capital, Llc × 75% – 100% of Level Four Group, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Cri Advisors, Llc: 75% – 100% of Cri Group, Llc × 75% – 100% of Carr, Riggs & Ingram Capital, Llc × 75% – 100% of Level Four Group, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ccp V Aiv I, L.P.: 75% – 100% of Ccp V Cri Aggregator L.P. × 25% – 50% of Cri Advisors, Llc × 75% – 100% of Cri Group, Llc × 75% – 100% of Carr, Riggs & Ingram Capital, Llc × 75% – 100% of Level Four Group, Llc × 75% – 100% direct ≈ 5.93% – 50% of the firm
- Ccp V Aiv I Holdings Cri, L.P.: 75% – 100% of Ccp Feeder I Cri, Llc × 25% – 50% of Ccp V Aiv I, L.P. × 75% – 100% of Ccp V Cri Aggregator L.P. × 25% – 50% of Cri Advisors, Llc × 75% – 100% of Cri Group, Llc × 75% – 100% of Carr, Riggs & Ingram Capital, Llc × 75% – 100% of Level Four Group, Llc × 75% – 100% direct ≈ 1.11% – 25% of the firm
- Ccp V Cri Aggregator L.P.: 25% – 50% of Cri Advisors, Llc × 75% – 100% of Cri Group, Llc × 75% – 100% of Carr, Riggs & Ingram Capital, Llc × 75% – 100% of Level Four Group, Llc × 75% – 100% direct ≈ 7.91% – 50% of the firm
- Ccp Feeder I Cri, Llc: 25% – 50% of Ccp V Aiv I, L.P. × 75% – 100% of Ccp V Cri Aggregator L.P. × 25% – 50% of Cri Advisors, Llc × 75% – 100% of Cri Group, Llc × 75% – 100% of Carr, Riggs & Ingram Capital, Llc × 75% – 100% of Level Four Group, Llc × 75% – 100% direct ≈ 1.48% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (2 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/20/2026 | 1.24 MB | View · PDF · Source ↗ |
| Form ADV (full filing) | 07/16/2026 | 1.24 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Raymond James $1.0B (76% of AUM) Jul 2026
- LPL Financial $401M (51% of AUM) Sep 2021
- Fidelity Investments Institutional Services Company, Inc. $200M (30% of AUM) Oct 2019
- Fidelity Brokerage Services $174M (13% of AUM) Jul 2026
- Charles Schwab & Co. $162M (12% of AUM) Jul 2026
- Fidelity Distributors Company Llc $149M (19% of AUM) Sep 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 20, 2026.
View current Form ADV (SEC/IAPD) ↗