Live Oak Private Wealth, Llc
- Regulatory AUM
- $1.3B
- Discretionary
- $1.3B
- Clients
- 494
- Avg AUM / client
- $2.7M
- Accounts
- 1,157
- Employees
- 12
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 208 | $130M | 9.88% |
| High net worth individuals | 268 | $1.1B | 86.2% |
| Pension and profit sharing plans | 1 | $1.4M | 0.1% |
| Charitable organizations | 10 | $20.3M | 1.54% |
| Corporations and other businesses | 7 | $30.4M | 2.31% |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mahan, James, Slaughter | Manager | Jun 2018 (8y) | Less than 5% | |
| Andrew Marshall Basinger | Ceo | CFP | Aug 2018 (8y) | Less than 5% |
| John William Coleman | Co Chief Investment Officer | Aug 2018 (8y) | Less than 5% | |
| Seward, Gregory, William | General Counsel | Jul 2019 (7y) | Less than 5% | |
| Frank Gehman Jolley | Co Chief Investment Officer | CFA | Apr 2020 (6y) | Less than 5% |
| Terry Webb Sapp | Chief Compliance Officer | CFA | May 2020 (6y) | Less than 5% |
| Phifer, Walter, Jeffrey | Chief Financial Officer | Mar 2023 (3y) | Less than 5% | |
| Connor Cowden Keller | Registered representative | Aug 2018 (8y) | ||
| Daniel B Hughes | Registered representative | CFP | Jun 2019 (7y) | |
| William Henry Collier | Registered representative | May 2020 (6y) | ||
| Mary Angela Bolton | Registered representative | CFP | Sep 2021 (5y) | |
| Amanda Katherine Miars | Registered representative | Mar 2024 (2y) | ||
| Adam Landon Easley | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Live Oak Banking Company | Member | Jun 2018 | A | 75% or more |
| Live Oak Bancshares, Inc. | Shareholder | Mar 2009 | B | ≈ 56.25% – 100% via Live Oak Banking Company |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Live Oak Bancshares, Inc.: 75% – 100% of Live Oak Banking Company × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/29/2026 | 1.1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $1.3B (99% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 29, 2026.
View current Form ADV (SEC/IAPD) ↗