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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
L••• O•• I••••••••• P•••••••
Legal name L••• O•• I••••••••• P•••••••• L••
Latest filing Jun 12, 2026
First filing on the tape May 31, 2019 · 20 filings
SEC status approved since Jul 2, 2019
RAUM
$266M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
91%
$242M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$88.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$266M as of Jun 12, 2026
Jun 29, 2020$125M then
HNW client RAUM$164M as of Jun 12, 2026
Jun 29, 2020$61.9M then
State-registered IARs (5.B.3)3 as of Jun 12, 2026
Jun 29, 20202 then
Employees (5.A)4 as of Jun 12, 2026
Jun 29, 20202 then
Private funds: no history
RAUM +44% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $88.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $323,711derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$164M62%
- Individuals$78.0M29%
- Investment companies$24.1M9.1%
- Other investment advisers$9110.0%
- Individual clients
- 253reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 823reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.09 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R•••••• H•••••• | South Jordan, Ut | Jul 2, 2019 | 24 y | 3 |
| M•••••• D•••• C•••••• | South Jordan, Ut | Oct 29, 2020 | 26 y | 3 |
| C•••••••• V• | South Jordan, Ut | Jan 8, 2021 | 18 y | 2 |
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
- D•••• D••••• D•••• to H•••••• I••••••••• P•••••••• L••Nov 19, 2021 · RIA to RIA
- M••••• V•••••• K••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 31, 2021 · RIA to affiliated broker-dealer or bank
- M••••• V•••••• K••• to C••••••• • C••• I•••Jan 10, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• D••••• D•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• V• from R•••••• J•••• • A••••••••• I•••Jan 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• D•••• C•••••• from R•••••• J•••• • A••••••••• I•••Oct 29, 2020 · Affiliated broker-dealer or bank to independent RIA
- M••••• V•••••• K••• from C••••••• • C••• I•••Oct 29, 2020 · Affiliated broker-dealer or bank to independent RIA
- M••••• V•••••• K••• from R•••••• J•••• • A••••••••• I•••Jan 2, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• R•••••• H•••••• from R•••••• J•••• • A••••••••• I•••Jul 2, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• • A••••••••• I•••Oct 1, 2019 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• M••••••• R•••••• · Chief Compliance Officercontrolsince 03/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list L••• O•• I••••••••• P••••••• as a related person
- 13905 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 822 to 823Jun 23, 2025 to Jun 12, 2026
- Individual clients · 250 to 253Jun 23, 2025 to Jun 12, 2026
- Pension plan clients · 8.0 to unsetJun 23, 2025 to Jun 12, 2026
- Discretionary RAUM · $214M to $242MJun 23, 2025 to Jun 12, 2026
- HNW RAUM · $146M to $164MJun 23, 2025 to Jun 12, 2026
- Individual RAUM · $68.3M to $78.0MJun 23, 2025 to Jun 12, 2026
- Non-discretionary RAUM · $21.7M to $24.1MJun 23, 2025 to Jun 12, 2026
- Pension RAUM · 21684485.0 to unsetJun 23, 2025 to Jun 12, 2026
- RAUM · $236M to $266MJun 23, 2025 to Jun 12, 2026
- Accounts · 770 to 822Jun 6, 2024 to Jun 23, 2025
- BD registered reps · 3 to 2Jun 6, 2024 to Jun 23, 2025
- Charity clients · 0.0 to unsetJun 6, 2024 to Jun 23, 2025
- Corporate clients · 0.0 to unsetJun 6, 2024 to Jun 23, 2025
- HNW clients · 56 to 67Jun 6, 2024 to Jun 23, 2025
- Individual clients · 330 to 250Jun 6, 2024 to Jun 23, 2025
- Pooled vehicle clients · 0.0 to unsetJun 6, 2024 to Jun 23, 2025
- Employees · 3 to 4Jun 6, 2024 to Jun 23, 2025
- Financial planning clients · 101-250 to 101-250Jun 6, 2024 to Jun 23, 2025
- Discretionary RAUM · $200M to $214MJun 6, 2024 to Jun 23, 2025
- HNW RAUM · $120M to $146MJun 6, 2024 to Jun 23, 2025
- Individual RAUM · $79.9M to $68.3MJun 6, 2024 to Jun 23, 2025
- Non-discretionary RAUM · $19.9M to $21.7MJun 6, 2024 to Jun 23, 2025
- Pension RAUM · $19.9M to $21.7MJun 6, 2024 to Jun 23, 2025
- Pooled vehicle RAUM · 0.0 to unsetJun 6, 2024 to Jun 23, 2025
- RAUM · $220M to $236MJun 6, 2024 to Jun 23, 2025
- Accounts · 747 to 770Nov 6, 2023 to Jun 6, 2024
- HNW clients · 51 to 56Nov 6, 2023 to Jun 6, 2024
- Individual clients · 238 to 330Nov 6, 2023 to Jun 6, 2024
- Discretionary RAUM · $168M to $200MNov 6, 2023 to Jun 6, 2024
- HNW RAUM · $103M to $120MNov 6, 2023 to Jun 6, 2024
- Individual RAUM · $64.3M to $79.9MNov 6, 2023 to Jun 6, 2024
- Non-discretionary RAUM · $17.5M to $19.9MNov 6, 2023 to Jun 6, 2024
- Pension RAUM · $17.5M to $19.9MNov 6, 2023 to Jun 6, 2024
- RAUM · $185M to $220MNov 6, 2023 to Jun 6, 2024
- Accounts · 676 to 747Nov 8, 2022 to Jun 28, 2023
- Advisory activities · 3 to 4Nov 8, 2022 to Jun 28, 2023
- Individual clients · 222 to 238Nov 8, 2022 to Jun 28, 2023
- Pension plan clients · 5 to 8Nov 8, 2022 to Jun 28, 2023
- Insurance-licensed employees · 3 to 0Nov 8, 2022 to Jun 28, 2023
- Discretionary RAUM · $172M to $168MNov 8, 2022 to Jun 28, 2023
Signals
1 dated events
- L••• O•• I••••••••• P••••••• filed its initial SEC registration (Form ADV)May 31, 2019 · 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
- callison@investliveoak.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 512-532-4700reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- investliveoak.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-532-4700reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- investliveoak.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- investliveoak.com/team-members/michael-hostickreportedpublished 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
- $88.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026