DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Live Oak Wealth Advisory Group, LLC
Latest filing Jun 25, 2026
First filing on the tape Mar 15, 2012 · 17 filings
SEC status approved since Sep 27, 2021
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.9M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$155M as of Jun 25, 2026
Mar 15, 2012$70.0M then
HNW client RAUM$135M as of Jun 25, 2026
Mar 25, 2022$96.3M then
State-registered IARs (5.B.3)4 as of Jun 25, 2026
Mar 15, 20120 then
Employees (5.A)6 as of Jun 25, 2026
Mar 25, 20223 then
Private funds1 as of Feb 10, 2023
Mar 15, 20121 then
RAUM +8.7% over the last fiscal year+4.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $38.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $530,656derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $518,715, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M87%
- Individuals$20.3M13%
- Individual clients
- 66reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 293reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $518,715 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jonathan Scott Solo | Houston, Tx | Oct 15, 2010 | 18 y | 2 |
| William Kenneth Jobes | Houston, Tx | Nov 1, 2010 | 45 y | 1 |
| John Michael Robertson | Houston, Tx | Jun 6, 2013 | 24 y | 1 |
| John Robert Whittington | Houston, Tx | Jun 11, 2021 | 43 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Allen Vann to Level Four Advisory ServicesDec 14, 2015 · Other
Joined, latest
- John Robert Whittington from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 11, 2021 · Other
- John Allen Vann from Banyan Partners, LLCOct 9, 2015 · Other
- John Michael Robertson from Novodyn Advisors LLCJun 6, 2013 · Other
- William Kenneth Jobes from RBC Capital Markets, LLCNov 1, 2010 · Other
- Jonathan Scott Solo from RBC Capital Markets, LLCOct 15, 2010 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Jobes Solo Capital Fund, LPno longer reported | Hedge Fund | $1.4M | 6 | Mar 15, 2012 |
| Quantstrat Digital Asset High Yield Fund, LPno longer reported | Hedge Fund | $787,000 | 4 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Scott Jonathan Solo · Managing Member And Chief Compliance Officercontrolsince 08/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 308 to 293Mar 14, 2025 to Mar 27, 2026
- HNW clients · 43 to 32Mar 14, 2025 to Mar 27, 2026
- Individual clients · 71 to 66Mar 14, 2025 to Mar 27, 2026
- Assets in custody · $6.9M to $518,715Mar 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $143M to $155MMar 14, 2025 to Mar 27, 2026
- HNW RAUM · $121M to $135MMar 14, 2025 to Mar 27, 2026
- Individual RAUM · $21.0M to $20.3MMar 14, 2025 to Mar 27, 2026
- RAUM · $143M to $155MMar 14, 2025 to Mar 27, 2026
- Accounts · 314 to 308Apr 30, 2024 to Mar 14, 2025
- HNW clients · 45 to 43Apr 30, 2024 to Mar 14, 2025
- Individual clients · 66 to 71Apr 30, 2024 to Mar 14, 2025
- Assets in custody · $37,890 to $6.9MApr 30, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Apr 30, 2024 to Mar 14, 2025
- Discretionary RAUM · $134M to $143MApr 30, 2024 to Mar 14, 2025
- HNW RAUM · $115M to $121MApr 30, 2024 to Mar 14, 2025
- Individual RAUM · $19.0M to $21.0MApr 30, 2024 to Mar 14, 2025
- RAUM · $134M to $143MApr 30, 2024 to Mar 14, 2025
- Accounts · 324 to 314Feb 10, 2023 to Mar 27, 2024
- Advisory activities · 3 to 2Feb 10, 2023 to Mar 27, 2024
- Charity clients · 0.0 to unsetFeb 10, 2023 to Mar 27, 2024
- Corporate clients · 0.0 to unsetFeb 10, 2023 to Mar 27, 2024
- Individual clients · 71 to 66Feb 10, 2023 to Mar 27, 2024
- Pension plan clients · 0.0 to unsetFeb 10, 2023 to Mar 27, 2024
- Pooled vehicle clients · 0.0 to unsetFeb 10, 2023 to Mar 27, 2024
- Assets in custody · $787,000 to $37,890Feb 10, 2023 to Mar 27, 2024
- Employees · 3 to 6Feb 10, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 4Feb 10, 2023 to Mar 27, 2024
- Other offices · 1 to 2Feb 10, 2023 to Mar 27, 2024
- Private funds · 1 to unsetFeb 10, 2023 to Mar 27, 2024
- Discretionary RAUM · $135M to $134MFeb 10, 2023 to Mar 27, 2024
- HNW RAUM · $113M to $115MFeb 10, 2023 to Mar 27, 2024
- Individual RAUM · $21.4M to $19.0MFeb 10, 2023 to Mar 27, 2024
- Pension RAUM · 0.0 to unsetFeb 10, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · 0.0 to unsetFeb 10, 2023 to Mar 27, 2024
- RAUM · $135M to $134MFeb 10, 2023 to Mar 27, 2024
- Accounts · 319 to 324Nov 2, 2022 to Feb 10, 2023
- HNW clients · 37 to 45Nov 2, 2022 to Feb 10, 2023
- Individual clients · 76 to 71Nov 2, 2022 to Feb 10, 2023
- Assets in custody · $0 to $787,000Nov 2, 2022 to Feb 10, 2023
- Custody of client assets · false to trueNov 2, 2022 to Feb 10, 2023
Signals
2 dated events
- Kenneth William Jobes (Managing Member) no longer on Schedule A of Live Oak Wealth Advisory Group, Llc (listed 2012-09-26, absent 2021-08-27)Aug 27, 2021 · Control person left · inference
- Live Oak Wealth Advisory Group, Llc filed its initial SEC registration (Form ADV)Aug 27, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@liveoakwag.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-822-9200reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/quantstrat-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/live-oak-wealth-advisory-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LIVEOAKWAG.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 281-822-9200reportedpublic record, Form ADV, Jun 25, 2026
- Contact form
- LIVEOAKWAG.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- LIVEOAKWAG.COM/teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $38.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026