OXFORD FINANCIAL GROUP, LTD
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OXFORD FINANCIAL GROUP, LTD
(CRD# 105303)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Carmel, IN.
The SEC approved the firm to operate as an RIA in
Feb 1984.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$11.0 Billion,
with discretion over
35%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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OXFORD FINANCIAL GROUP, LTD
also reported in
Mar 2019
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153
employees,
with
28
performing advisory functions.
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A total of 5 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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OXFORD FINANCIAL GROUP, LTD has no disclosure events reported to the SEC at this time.
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OXFORD FINANCIAL GROUP, LTD has Notice Filings with the following State Securities Authorities:
AZ-Sep 2006, CA-May 2000, DE-Jan 2017, FL-Apr 1999, IL-Apr 1997
, IN-Feb 2001, KS-Mar 2018, KY-Feb 2002, LA-Mar 2012, MI-Apr 1999
, MN-Mar 2009, MO-Mar 2009, NC-Mar 2014, NH-Mar 2012, NY-Mar 2019
, OH-Apr 1999, SC-Apr 2002, TN-Mar 2019, TX-Apr 1999
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
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SEC. Feel free to contact
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