SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Level Four Capital Management
Dallas, TX
CRD 304792
Firm filing updated September 11, 2026 ·
- $1.4BAssets
- 3,533Clients
- 8Advisory staff
- 3,533Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals2,094
- High net worth individuals1,233
- Pension and profit sharing plans96
- Corporations or other businesses91
- Charities19
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 2,094 | $361.0 million |
| High net worth individuals | 1,233 | $809.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 96 | $34.3 million |
| Charitable organizations | 19 | $10.3 million |
| Corporations or other businesses not listed above | 91 | $166.7 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$1.4 billion
- Accounts3,533
- DiscretionaryAll accounts
People
- Employees9
- Advisory staff8
- Broker-dealer reps7
- Licensed insurance agents3
- Planning clients0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 304792, SEC file 801-117681.
- Registered with the SEC as an investment advisor (status date on record: November 22, 2019).
Is Level Four Capital Management a fiduciary?
Short answer: Level Four Capital Management is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 7 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
3 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.