LEVEL FOUR ADVISORY SERVICES, LLC

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Level Four Advisory Services is based out of Plano. Level Four Advisory Services is a large advisory firm with 6243 clients and discretionary assets under management (AUM) of $2,157,112,219 (Form ADV from 2019-07-29). Their last reported 13F filing for Q3 2019 included $966,457,000 in managed 13F securities and a top 10 holdings concentration of 28.19%. Level Four Advisory Services's largest holding is Global Payments Inc. with shares held of 324,149. Whalewisdom has at least 15 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $966.457 Million
  • Prior Market Value $990.625 Million
  • New Purchases32 stocks
  • Additional Purchases253 stocks
  • Sold out of51 stocks
  • Reduced holdings in187 stocks
  • Top 10 Holdings % 28.19 %
  • Turnover % [1]:16.47%
  • Turnover Alt % [2]: 14.52 %
  • Time Held Top20:4.15 quarters
  • Time Held Top10:2.80 quarters
  • Time Held All:8.46 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.95%
Performance Last 4 Quarters: 15.65%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR/A (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

LEVEL FOUR ADVISORY SERVICES
5850 GRANITE PARKWAY SUITE 270
PLANO TX    75024
Country: United States

Business Phone: 972-665-0878
Fax: 972-665-0885
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TX
Number of employees: 135
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,SOLICITOR FEES - PORTION OF ASSETS MANAGED BY OTHER ADVISORS
Amount of client funds and securities:
Total Number of Clients: 6243
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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LEVEL FOUR ADVISORY SERVICES, LLC

ownership team - last updated 2019-07-29
Name Title Start Date Direct/Indirect % Ownership
TOMES, EDMON, JACOB ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC PARTNER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MANAGER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR GROUP, LLC MEMBER 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC OWNER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER direct 2005-01-01
OVERSTAKE, GREGG, DOUGLAS DIRECTOR OF SUPERVISION 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUTHWEST SECURITIES, INC. CROP direct 2006-09-01
SWS FINANCIAL SERVICES CROP direct 2006-09-01
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
MORTON, GEORGE, BRENT CHIEF OPERATING OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF FINANCIAL OFFICER direct 2014-11-01
HOUSTON, MARYAM, ALYCE ADVISORY SERVICES DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC ADVISORY SERVICES MANAGER direct 2016-04-01
ZACHA, JILL, MARIE CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLARK INVESTMENT STRATEGIES, INC. CHIEF COMPLIANCE OFFICER direct 2010-06-01
CARR, RIGGS & INGRAM CAPITAL, L.L.C. MEMBER LEVEL FOUR GROUP, LLC 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
CARR, RIGGS & INGRAM, L.L.C. MEMBER CARR, RIGGS & INGRAM CAPITAL, L.L.C. 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
CRI WEALTH ADVISORS, L.L.C. MEMBER direct 2012-05-01

LEVEL FOUR ADVISORY SERVICES, LLC

ownership team - last updated 2019-05-09
Name Title Start Date Direct/Indirect % Ownership
TOMES, EDMON, JACOB ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC PARTNER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MANAGER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR GROUP, LLC MEMBER 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC OWNER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER direct 2005-01-01
OVERSTAKE, GREGG, DOUGLAS CHIEF COMPLIANCE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUTHWEST SECURITIES, INC. CROP direct 2006-09-01
SWS FINANCIAL SERVICES CROP direct 2006-09-01
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
MORTON, GEORGE, BRENT CHIEF OPERATING OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF FINANCIAL OFFICER direct 2014-11-01
HOUSTON, MARYAM, ALYCE ADVISORY SERVICES DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC ADVISORY SERVICES MANAGER direct 2016-04-01
CARR, RIGGS & INGRAM CAPITAL, L.L.C. MEMBER LEVEL FOUR GROUP, LLC 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
CARR, RIGGS & INGRAM, L.L.C. MEMBER CARR, RIGGS & INGRAM CAPITAL, L.L.C. 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
CRI WEALTH ADVISORS, L.L.C. MEMBER direct 2012-05-01

LEVEL FOUR ADVISORY SERVICES, LLC

ownership team - last updated 2019-03-30
Name Title Start Date Direct/Indirect % Ownership
TOMES, EDMON, JACOB ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC PARTNER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MANAGER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR GROUP, LLC MEMBER 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC OWNER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER direct 2005-01-01
OVERSTAKE, GREGG, DOUGLAS CHIEF COMPLIANCE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUTHWEST SECURITIES, INC. CROP direct 2006-09-01
SWS FINANCIAL SERVICES CROP direct 2006-09-01
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
MORTON, GEORGE, BRENT CHIEF OPERATING OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF FINANCIAL OFFICER direct 2014-11-01
HOUSTON, MARYAM, ALYCE ADVISORY SERVICES DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC ADVISORY SERVICES MANAGER direct 2016-04-01
CARR, RIGGS & INGRAM CAPITAL, L.L.C. MEMBER LEVEL FOUR GROUP, LLC 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
CARR, RIGGS & INGRAM, L.L.C. MEMBER CARR, RIGGS & INGRAM CAPITAL, L.L.C. 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
CRI WEALTH ADVISORS, L.L.C. MEMBER direct 2012-05-01

LEVEL FOUR ADVISORY SERVICES, LLC

ownership team - last updated 2017-04-28
Name Title Start Date Direct/Indirect % Ownership
TOMES, EDMON, JACOB ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC PARTNER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2000-07-01
LEVEL FOUR ADVISORY SERVICES, LLC MANAGER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC ELECTED MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2005-01-01
LEVEL FOUR GROUP, LLC MEMBER 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC OWNER direct 2005-01-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER direct 2005-01-01
OVERSTAKE, GREGG, DOUGLAS CHIEF COMPLIANCE OFFICER 08/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
SOUTHWEST SECURITIES, INC. CROP direct 2006-09-01
SWS FINANCIAL SERVICES CROP direct 2006-09-01
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2009-08-01
MORTON, GEORGE, BRENT CHIEF FINANCIAL OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC CHIEF FINANCIAL OFFICER direct 2014-11-01
HOUSTON, MARYAM, ALYCE ADVISORY SERVICES MANAGER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC ADVISORY SERVICES MANAGER direct 2016-04-01
CARR, RIGGS & INGRAM CAPITAL, L.L.C. MEMBER LEVEL FOUR GROUP, LLC 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
CARR, RIGGS & INGRAM, L.L.C. MEMBER CARR, RIGGS & INGRAM CAPITAL, L.L.C. 09/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
LEVEL FOUR ADVISORY SERVICES, LLC MEMBER indirect 2014-09-01
LEVEL FOUR ADVISORY SERVICES, LLC DIRECT OWNER indirect 2014-09-01
CRI WEALTH ADVISORS, L.L.C. MEMBER direct 2012-05-01

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