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.
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SEC-registered adviser
L••• O•• P•••••• W•••••• L••
Latest filing Apr 29, 2026
First filing on the tape Jul 12, 2018 · 26 filings
SEC status approved since Aug 13, 2018
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.3B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.3B as of Apr 29, 2026
Jan 23, 2019$101M then
HNW client RAUM$1.1B as of Apr 29, 2026
Jan 23, 2019$23.2M then
State-registered IARs (5.B.3)9 as of Apr 29, 2026
Jan 23, 20193 then
Employees (5.A)12 as of Apr 29, 2026
Jan 23, 20198 then
Private funds: no history
RAUM +24% over the last fiscal year+17% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Apr 29, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Wrap fee program
- $974MreportedItem 5.I
- Custody
- $233M, 109 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$1.1B86%
- Individuals$130M9.9%
- Corporations and businesses$30.4M2.3%
- Charitable organizations$20.3M1.5%
- Pension and profit-sharing plans$1.4M0.1%
- Individual clients
- 208reported
- HNW clients
- 268reported
- Pension plan clients
- 1reported
- Charitable clients
- 10reported
- Accounts
- 1,157reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $233M for 109 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• M••••••• B•••••••Certified Financial Planner | Wilmington, Nc | Aug 31, 2018 | 22 y | 1 |
| C••••• C••••• K••••• | Wilmington, Nc | Aug 31, 2018 | 26 y | 2 |
| J••• W•••••• C•••••• | Wilmington, Nc | Aug 31, 2018 | 39 y | 2 |
| D••••• B• H•••••Certified Financial Planner | Wilmington, Nc | Jun 26, 2019 | 16 y | 0 |
| F•••• G••••• J•••••Chartered Financial Analyst | Rocky Mount, Nc | May 13, 2020 | 44 y | 1 |
| T•••• W••• S•••Chartered Financial Analyst | Wilmington, Nc | May 19, 2020 | 25 y | 2 |
| W•••••• H•••• C•••••• | Wilmington, Nc | May 19, 2020 | 43 y | 1 |
| M••• A••••• B•••••Certified Financial Planner | Wilmington, Nc | Sep 17, 2021 | 10 y | 0 |
| A••••• K•••••••• M•••• | Wilmington, Nc | Mar 14, 2024 | 14 y | 0 |
| A••• L••••• E••••• | Wilmington, Nc | Jul 11, 2026 | 11 y | 0 |
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
- S•••••• B••••• to F••••••• S••••• A••••••• I•••Jan 27, 2021 · RIA to RIA
Joined, latest
- T•••• W••• S••• from J••••• A•••• M••••••••• L••May 19, 2020 · RIA to RIA
- W•••••• H•••• C•••••• from J••••• A•••• M••••••••• L••May 19, 2020 · RIA to RIA
- S•••••• B••••• from J••••• A•••• M••••••••• L••May 19, 2020 · RIA to RIA
- F•••• G••••• J••••• from J••••• A•••• M••••••••• L••May 13, 2020 · RIA to RIA
- J••• W•••••• C•••••• from B••• S••••••••• L••Aug 31, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• M••••••• B••••••• from W•••• F•••• A•••••••Aug 31, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••• C••••• K••••• from B••• S••••••••• L••Aug 31, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from J••••• A•••• M••••••••• L••Apr 30, 2020 · Rocky Mount, Nc · Firm absorbed
- 2 joined from B••• S••••••••• L••Sep 11, 2018 · Wilmington, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A•••••• M••••••• · Ceo Officercontrolsince 03/2023 · owns less than 5%
- C••••••• J•••• W•••••• · Co-Chief Investment Officercontrolsince 12/2018 · owns less than 5%
- J•••••• F••••• G••••• · Co-Chief Investment Officercontrolsince 04/2020 · owns less than 5%
- M••••• J••••• S•••••••• · Managercontrolsince 06/2018 · owns less than 5%
- P•••••• W•••••• J•••••• · Chief Financial Officercontrolsince 03/2023 · owns less than 5%
- S•••• T••••• W••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- S•••••• G••••••• W•••••• · General Counselcontrolsince 07/2019 · owns less than 5%
Entity owners
- L••• O•• B•••••• C•••••• · Memberdirect · owns 75% or more
- L••• O•• B••••••••• I••• · Shareholderindirect · owns 75% or more of L••• O•• B•••••• C•••••• · public reporting company
Related persons
Schedule D 7.A
- C••••• A•••••••• L••investment advisern
- L••• O•• B•••••• C••••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilmington, Nc · principal | 10 | 1 | 0 | ||
| Rocky Mount, Nc | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rocky Mount, NC5 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 29, 2026P•••••• W•••••• J•••••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-03-31 and 2026-04-29peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,086 to 1,157Oct 8, 2025 to Feb 10, 2026
- Corporate clients · 6 to 7Oct 8, 2025 to Feb 10, 2026
- HNW clients · 262 to 268Oct 8, 2025 to Feb 10, 2026
- Individual clients · 199 to 208Oct 8, 2025 to Feb 10, 2026
- Assets in custody · $208M to $233MOct 8, 2025 to Feb 10, 2026
- Discretionary RAUM · $1.1B to $1.3BOct 8, 2025 to Feb 10, 2026
- HNW RAUM · $927M to $1.1BOct 8, 2025 to Feb 10, 2026
- Individual RAUM · $105M to $130MOct 8, 2025 to Feb 10, 2026
- Pension RAUM · $1.3M to $1.4MOct 8, 2025 to Feb 10, 2026
- RAUM · $1.1B to $1.3BOct 8, 2025 to Feb 10, 2026
- Accounts · 1,025 to 1,086Mar 11, 2024 to Feb 18, 2025
- Advisory employees · 11 to 12Mar 11, 2024 to Feb 18, 2025
- Charity clients · 8 to 10Mar 11, 2024 to Feb 18, 2025
- Corporate clients · 5 to 6Mar 11, 2024 to Feb 18, 2025
- HNW clients · 252 to 262Mar 11, 2024 to Feb 18, 2025
- Individual clients · 201 to 199Mar 11, 2024 to Feb 18, 2025
- Pension plan clients · 2 to 1Mar 11, 2024 to Feb 18, 2025
- Assets in custody · $201M to $208MMar 11, 2024 to Feb 18, 2025
- Employees · 11 to 12Mar 11, 2024 to Feb 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 11, 2024 to Feb 18, 2025
- State-registered IARs · 8 to 9Mar 11, 2024 to Feb 18, 2025
- Discretionary RAUM · $952M to $1.1BMar 11, 2024 to Feb 18, 2025
- HNW RAUM · $833M to $927MMar 11, 2024 to Feb 18, 2025
- Individual RAUM · $96.0M to $105MMar 11, 2024 to Feb 18, 2025
- Pension RAUM · $2.1M to $1.3MMar 11, 2024 to Feb 18, 2025
- RAUM · $952M to $1.1BMar 11, 2024 to Feb 18, 2025
- Wrap assets (manager) · $3.8M to $0Mar 11, 2024 to Feb 18, 2025
- Accounts · 949 to 1,025Mar 31, 2023 to Mar 11, 2024
- Advisory employees · 13 to 11Mar 31, 2023 to Mar 11, 2024
- Charity clients · 9 to 8Mar 31, 2023 to Mar 11, 2024
- HNW clients · 235 to 252Mar 31, 2023 to Mar 11, 2024
- Individual clients · 192 to 201Mar 31, 2023 to Mar 11, 2024
- Assets in custody · $198M to $201MMar 31, 2023 to Mar 11, 2024
- Employees · 13 to 11Mar 31, 2023 to Mar 11, 2024
- State-registered IARs · 9 to 8Mar 31, 2023 to Mar 11, 2024
- Discretionary RAUM · $830M to $952MMar 31, 2023 to Mar 11, 2024
- HNW RAUM · $723M to $833MMar 31, 2023 to Mar 11, 2024
- Individual RAUM · $83.2M to $96.0MMar 31, 2023 to Mar 11, 2024
- Pension RAUM · $2.0M to $2.1MMar 31, 2023 to Mar 11, 2024
- RAUM · $830M to $952MMar 31, 2023 to Mar 11, 2024
Signals
15 dated events
- Webb Terry Sapp (Chief Compliance Officer) appeared on Schedule A of L••• O•• P•••••• W•••••• L••Mar 31, 2023 · Control person joined · fact
- Marshall Andrew Basinger (Ceo) appeared on Schedule A of L••• O•• P•••••• W•••••• L••Mar 31, 2023 · Control person joined · fact
- Jeffrey Walter Phifer (Chief Financial Officer) appeared on Schedule A of L••• O•• P•••••• W•••••• L••Mar 31, 2023 · Control person joined · fact
- Niceta Susan Janson (Ceo / Managing Director / Chief Compliance Officer) no longer on Schedule A of L••• O•• P•••••• W•••••• L•• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Wayne Cory Jones (Chief Financial Officer) no longer on Schedule A of L••• O•• P•••••• W•••••• L•• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- L••• O•• P•••••• W•••••• L•• reported RAUM $836.5M, up 41% from $592.4M (2022-02-22 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Wayne Cory Jones (Chief Financial Officer) appeared on Schedule A of L••• O•• P•••••• W•••••• L••Mar 31, 2022 · Control person joined · fact
- Brett Steven Caines (Manager And Chief Financial Officer) no longer on Schedule A of L••• O•• P•••••• W•••••• L•• (listed 2021-11-09, absent 2022-02-22)Feb 22, 2022 · Control person left · inference
- L••• O•• P•••••• W•••••• L•• reported RAUM $592.4M, up 30% from $454.4M (2020-06-26 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- L••• O•• P•••••• W•••••• L•• reported RAUM $454.4M, up 132% from $195.6M (2020-05-01 to 2020-05-20)May 20, 2020 · RAUM change · derived
- Gehman Frank Jolley (Co-Chief Investment Officer) appeared on Schedule A of L••• O•• P•••••• W•••••• L••May 1, 2020 · Control person joined · fact
- Aaron Jason Carroll (Chief Executive Officer And Chief Compliance Officer) no longer on Schedule A of L••• O•• P•••••• W•••••• L•• (listed 2019-07-17, absent 2019-08-16)Aug 16, 2019 · Control person left · inference
- Niceta Susan Janson (Chief Executive Officer And Chief Compliance Officer) appeared on Schedule A of L••• O•• P•••••• W•••••• L••Aug 16, 2019 · Control person joined · fact
- William Gregory Seward (General Counsel) appeared on Schedule A of L••• O•• P•••••• W•••••• L••Aug 16, 2019 · Control person joined · fact
- L••• O•• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 12, 2018 · 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
- Firm profile
- linkedin.com/company/live-oak-private-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.L•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (844) 469-5679reportedpublic record, Form ADV, Apr 29, 2026
- Team page
- liveoakprivatewealth.com/team-membersreportedpublished by the firm, firm site, Sep 15, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026