Hedge Fund Database

LIVE OAK PRIVATE WEALTH, LLC

Adviser information for LIVE OAK PRIVATE WEALTH, LLC last updated from Form ADV on March 11th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location North Carolina, United States

Employees

Total Number of Employees 11
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,025 $951.6M
Non-Discretionary 0 $0
Total 1,025 $951.6M

Clients

Type Number RAUM
Individuals 201 $96.0M
HNW Individuals 252 $833.1M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $2.1M
Charitable organizations 8 $11.8M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 5 $8.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 8
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 3.8M
Both for Same 663.6M
Portfolio Manager to Program Sponsor
LIVE OAK PRIVATE WEALTH WRAP PROGRAM LIVE OAK PRIVATE WEALTH, LLC
INSTITUTIONAL INTELLIGENT PORTFOLIOS SCHWAB WEALTH INVESTMENT ADVISORY, INC.

Identifiers

SEC RIA File Number 801-113818
SEC ERA File Number 801-113818
SEC CIK Numbers 1799877
SEC CRD Numbers 297904
Legal Entity Identifier None

Principal Office

1741 TIBURON DRIVE
WILMINGTON
NC
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (844) 469-5679, Fax: (910) 790-5868

Websites

www.instagram.com/liveoakprivatewealth/ twitter.com/loprivatewealth www.facebook.com/liveoakprivatewealth/ www.linkedin.com/company/live-oak-private-wealth/ www.liveoakprivatewealth.com

Chief Compliance Officer

TERRY SAPP
CHIEF COMPLIANCE OFFICER
210 BRYANT STREET
ROCKY MOUNT
NC
United States
Tel: 252-822-7149
Fax: 252-822-7155
(Full email address available in API data)

Industry Affiliates

CANAPI ADVISORS, LLC Other investment adviser, including financial planners
LIVE OAK BANKING COMPANY Banking or thrift institution

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
LIVE OAK BANKING COMPANY Domestic Entity – MEMBER 06/2018 > 75%
LIVE OAK BANCSHARES, INC. Domestic Entity LIVE OAK BANKING COMPANY SHAREHOLDER 03/2009 > 75%
MAHAN, JAMES, SLAUGHTER Individual – MANAGER 06/2018 < 5%
COLEMAN, JOHN, WILLIAM Individual – CO-CHIEF INVESTMENT OFFICER 12/2018 < 5%
SEWARD, GREGORY, WILLIAM Individual – GENERAL COUNSEL 07/2019 < 5%
JOLLEY, FRANK, GEHMAN Individual – CO-CHIEF INVESTMENT OFFICER 04/2020 < 5%
SAPP, TERRY, WEBB Individual – CHIEF COMPLIANCE OFFICER 03/2023 < 5%
BASINGER, ANDREW, MARSHALL Individual – CEO 03/2023 < 5%
PHIFER, WALTER, JEFFREY Individual – CHIEF FINANCIAL OFFICER 03/2023 < 5%

No. Employees, Historic

2010020192020202120222023202420258 on 7/17/20197 on 8/16/20197 on 8/16/20197 on 3/27/20207 on 5/1/202012 on 5/20/202012 on 5/26/202012 on 6/26/202011 on 3/31/202111 on 11/9/202111 on 2/22/202213 on 3/31/202213 on 3/31/202213 on 3/31/202311 on 3/11/2024

RAUM, Historic

1B500M02019202020212022202320242025163036740 on 7/17/2019163036740 on 8/16/2019163036740 on 8/16/2019195649925 on 3/27/2020195649925 on 5/1/2020454444507 on 5/20/2020454444507 on 5/26/2020454444507 on 6/26/2020592405648 on 3/31/2021592405648 on 11/9/2021592405648 on 2/22/2022836456769 on 3/31/2022836456769 on 3/31/2022830021821 on 3/31/2023951618167 on 3/11/2024

No. Clients, Historic

50025002019202020212022202320242025111 on 7/17/2019111 on 8/16/2019111 on 8/16/2019130 on 3/27/2020130 on 5/1/2020369 on 5/20/2020369 on 5/26/2020369 on 6/26/2020390 on 3/31/2021390 on 11/9/2021390 on 2/22/2022427 on 3/31/2022427 on 3/31/2022443 on 3/31/2023468 on 3/11/2024

Holdings

From latest 13F, filed July 17th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 8M 81K –
ABBVIE INC COM 3M 19K –
ABRDN GLOBAL PREMIER PPTYS F COM SH BEN INT 217K 57K –
ABRDN LIFE SCIENCES INVESTOR SH BEN INT 204K 14K –
ABRDN TOTAL DYNAMIC DIVIDEND COM SH BEN INT 869K 103K –
ABRDN WORLD HEALTHCARE FUND BEN INT SHS 178K 14K –
ACCENTURE PLC IRELAND SHS CLASS A 265K 875 –
ADOBE INC COM 266K 478 –
AGILENT TECHNOLOGIES INC COM 6M 46K –
ALPHABET INC CAP STK CL C 17M 95K –
ALPHABET INC CAP STK CL A 14M 76K –
AMAZON COM INC COM 2M 13K –
AMGEN INC COM 1M 4K –
ANALOG DEVICES INC COM 6M 27K –
ANGEL OAK FINL STRATEGIES IN COM BEN INT 131K 11K –
AON PLC SHS CL A 6M 22K –
APPLE INC COM 17M 81K –
APPLIED MATLS INC COM 4M 15K –
AUTOMATIC DATA PROCESSING IN COM 1M 6K –
BANK AMERICA CORP COM 15M 384K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 29M 73K –
BLACKROCK ENHANCED EQUITY DI COM 86K 11K –
BLACKROCK HEALTH SCIENCES TE COM SHS 345K 22K –
BLACKROCK INC COM 925K 1K –
BLACKROCK RES & COMMODITIES SHS 121K 13K –
BOEING CO COM 6M 34K –
BOOKING HOLDINGS INC COM 563K 142 –
BROOKFIELD ASSET MANAGMT LTD CL A LMT VTG SHS 2M 47K –
BROOKFIELD CORP CL A LTD VT SH 9M 226K –
CALAMOS STRATEGIC TOTAL RETU COM SH BEN INT 272K 16K –
CARMAX INC COM 6M 80K –
CATERPILLAR INC COM 1M 4K –
CBRE GBL REAL ESTATE INC FD COM 277K 55K –
CHEVRON CORP NEW COM 10M 65K –
CISCO SYS INC COM 7M 146K –
COCA COLA CO COM 5M 77K –
COHEN & STEERS INFRASTRUCTUR COM 271K 12K –
COLGATE PALMOLIVE CO COM 290K 3K –
COMCAST CORP NEW CL A 6M 146K –
CONSTELLATION ENERGY CORP COM 234K 1K –
COSTCO WHSL CORP NEW COM 813K 956 –
CSX CORP COM 283K 8K –
CUMMINS INC COM 280K 1K –
DANAHER CORPORATION COM 10M 41K –
DAVIS FUNDAMENTAL ETF TR SELCT INTL ETF 1M 62K –
DIAGEO PLC SPON ADR NEW 8M 60K –
DIMENSIONAL ETF TRUST US TARGETED VLU 3M 55K –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 374K 10K –
DIMENSIONAL ETF TRUST EMERGING MKTS CO 1M 41K –
DIMENSIONAL ETF TRUST INTL CORE EQUITY 2M 86K –
DIMENSIONAL ETF TRUST WORLD EX US CORE 7M 274K –
DISNEY WALT CO COM 7M 74K –
DOLLAR TREE INC COM 12M 116K –
DOW INC COM 297K 6K –
DUKE ENERGY CORP NEW COM NEW 2M 24K –
EATON VANCE TAX ADVT DIV INC COM 573K 25K –
EATON VANCE TX ADV GLBL DIV COM 2M 92K –
ELI LILLY & CO COM 2M 2K –
EMERSON ELEC CO COM 470K 4K –
EURONET WORLDWIDE INC COM 1M 10K –
EXXON MOBIL CORP COM 5M 40K –
F N B CORP COM 411K 30K –
FERGUSON PLC NEW SHS 3M 17K –
FIRST HORIZON CORPORATION COM 654K 41K –
FISERV INC COM 9M 62K –
FLOOR & DECOR HLDGS INC CL A 5M 46K –
FRANKLIN LTD DURATION INCOME COM 63K 10K –
GABELLI DIVID & INCOME TR COM 2M 91K –
GABELLI EQUITY TR INC COM 3M 514K –
GABELLI GLOBL UTIL & INCOME COM SH BEN INT 268K 19K –
GABELLI MULTIMEDIA TR INC COM 723K 135K –
GALLAGHER ARTHUR J & CO COM 574K 2K –
GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 256K 63K –
GE AEROSPACE COM NEW 273K 2K –
GOLDMAN SACHS GROUP INC COM 1M 3K –
HANCOCK JOHN PFD INCOME FD I COM 185K 11K –
HANCOCK JOHN PFD INCOME FD I COM 611K 39K –
HANCOCK JOHN TAX-ADVANTAGED COM 2M 103K –
HCA HEALTHCARE INC COM 11M 34K –
HOME DEPOT INC COM 2M 5K –
HONEYWELL INTL INC COM 302K 1K –
HUNTINGTON INGALLS INDS INC COM 203K 825 –
ICON PLC SHS 2M 7K –
INTUIT COM 286K 435 –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 531K 3K –
INVESCO LTD SHS 5M 318K –
INVESCO QUALITY MUN INCOME T COM 104K 10K –
ISHARES INC CORE MSCI EMKT 406K 8K –
ISHARES TR CORE S&P TTL STK 375K 3K –
ISHARES TR CORE S&P500 ETF 2M 3K –
ISHARES TR CORE US AGGBD ET 231K 2K –
ISHARES TR MSCI EMG MKT ETF 279K 7K –
ISHARES TR 1 3 YR TREAS BD 541K 7K –
ISHARES TR MSCI EAFE ETF 1M 19K –
ISHARES TR RUS MID CAP ETF 758K 9K –
ISHARES TR CORE S&P MCP ETF 403K 7K –
ISHARES TR RUS 1000 VAL ETF 848K 5K –
ISHARES TR RUS 2000 VAL ETF 219K 1K –
ISHARES TR RUSSELL 2000 ETF 600K 3K –
ISHARES TR CORE S&P SCP ETF 504K 5K –
ISHARES TR U.S. MED DVC ETF 1M 26K –
ISHARES TR CORE MSCI EAFE 542K 7K –
ISHARES U S ETF TR BLACKROCK SH DUR 1M 21K –
JABIL INC COM 5M 43K –
JOHNSON & JOHNSON COM 986K 7K –
JPMORGAN CHASE & CO. COM 13M 62K –
LABORATORY CORP AMER HLDGS COM NEW 204K 1K –
LIBERTY ALL STAR EQUITY FD SH BEN INT 1M 159K –
LINDE PLC SHS 2M 4K –
LOEWS CORP COM 217K 3K –
LOWES COS INC COM 12M 52K –
LULULEMON ATHLETICA INC COM 4M 13K –
MARKEL GROUP INC COM 10M 6K –
MASTERCARD INCORPORATED CL A 8M 19K –
MCCORMICK & CO INC COM NON VTG 5M 66K –
MCDONALDS CORP COM 823K 3K –
MERCK & CO INC COM 9M 69K –
META PLATFORMS INC CL A 497K 985 –
METLIFE INC COM 8M 116K –
MICROSOFT CORP COM 20M 45K –
MOODYS CORP COM 5M 11K –
MOSAIC CO NEW COM 4M 135K –
NEUBERGER BERMAN REAL ESTATE COM 91K 27K –
NEWMONT CORP COM 6M 136K –
NIKE INC CL B 443K 6K –
NORFOLK SOUTHN CORP COM 555K 3K –
NORTHERN TR CORP COM 357K 4K –
NORTHROP GRUMMAN CORP COM 209K 479 –
NOVARTIS AG SPONSORED ADR 8M 79K –
NUCOR CORP COM 316K 2K –
NUVEEN PFD & INCOME OPPORTUN COM 384K 51K –
NVIDIA CORPORATION COM 960K 8K –
ORACLE CORP COM 7M 46K –
OREILLY AUTOMOTIVE INC COM 1M 972 –
PEPSICO INC COM 1M 7K –
PFIZER INC COM 6M 224K –
PHILIP MORRIS INTL INC COM 3M 29K –
PROCTER AND GAMBLE CO COM 760K 5K –
QUALCOMM INC COM 10M 51K –
ROCKWELL AUTOMATION INC COM 287K 1K –
ROYAL BK CDA COM 6M 58K –
RTX CORPORATION COM 8M 77K –
SCHWAB CHARLES CORP COM 16M 218K –
SCHWAB CHARLES FAMILY FD AMT TAX FREE MNY 352K 352K –
SCHWAB STRATEGIC TR SHT TM US TRES 570K 12K –
SONY GROUP CORP SPONSORED ADR 7M 82K –
SOUTHERN CO COM 345K 4K –
SPDR S&P 500 ETF TR TR UNIT 911K 2K –
SPECIAL OPPORTUNITIES FD INC COM 194K 15K –
STRYKER CORPORATION COM 556K 2K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 4M 25K –
TARGET CORP COM 3M 18K –
THERMO FISHER SCIENTIFIC INC COM 4M 7K –
TJX COS INC NEW COM 7M 66K –
TRACTOR SUPPLY CO COM 1M 4K –
TRAVELERS COMPANIES INC COM 261K 1K –
TRIMBLE INC COM 256K 5K –
TRUIST FINL CORP COM 548K 14K –
UNILEVER PLC SPON ADR NEW 6M 112K –
UNION PAC CORP COM 227K 1K –
UNITED PARCEL SERVICE INC CL B 6M 44K –
UNITEDHEALTH GROUP INC COM 13M 25K –
VANGUARD INDEX FDS MID CAP ETF 352K 1K –
VANGUARD INDEX FDS SMALL CP ETF 268K 1K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 462K 11K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 204K 1K –
VISA INC COM CL A 7M 26K –
VISHAY INTERTECHNOLOGY INC COM 5M 208K –
VOYA GLBL EQTY DIV & PREM OP COM 51K 10K –
VOYA INFRASTRUCTURE INDLS & COM 759K 74K –
WALMART INC COM 2M 23K –
WARNER BROS DISCOVERY INC COM SER A 3M 412K –
WEC ENERGY GROUP INC COM 211K 3K –
WILLIS TOWERS WATSON PLC LTD SHS 2M 7K –
ZIMMER BIOMET HOLDINGS INC COM 6M 51K –