Oxford Financial Group, Ltd (Carmel)


Oxford Financial Group, Ltd is a large advisory firm based in Carmel. It manages $11.05 billion of regulatory assets for 8,899 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arizona, California, Delaware, and 15 other states.

Oxford Financial Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Oxford Financial Group: assets under management

The assets under management (AUM) of Oxford Financial Group, Ltd is $11.05 billion. The firm's AUM has grown by 71% since the beginning of its operation, and $4.31 million of the total AUM is attributable to clients outside of the United States.

The firm manages $3.92 billion in discretionary accounts and $7.13 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.08 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.35 million.
Oxford Financial Group has custody of $6.18 billion in cash and securities for 664 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 61% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 14% of the firm’s portfolio. Investments in exchange traded securities form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Oxford Financial Group, Ltd for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Celeste W Collier serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Celeste W Collier is high net worth individuals with 567 clients and $6.68 billion of assets under management. Among the 8 most similar advisory firms, Oxford Financial Group has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $11.04 billion for 713 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Oxford Financial Group also advises several private funds. Namely, sixteen hedge funds, six real estate funds, seven other private funds, and sixteen private equity funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $500,000.

Careers at Oxford Financial Group, Ltd

The company employs 153 people that are either part- or full-time employees. 18 percent of the employees work as investment advisers or researchers. 33 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Celeste W Collier has been acting as President since 1 Jan 2004. Jeffery Hal Stroman has served as the Chief Investment Officer since 1 Jan 2017. Bryan Dunnivant joined the executive team most recently as the Corporate Director, Class B Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Jeffrey Hugh Thomasson Chief executive officer, chairman of the board, managing director, class a & b shareholder 1 Jan 1984 50% - 75% 1041291
Michael Lee Sears Vice president, corporate director, secretary and managing director 1 Sep 1985 25% - 50% 1471972
Jeffery Hal Stroman Corporate and managing director, class a & b shareholder 1 Oct 1988 Other 1107272
William Field Retterer Managing director 1 Apr 1990 Other 374412
Daniel Lee Fleck Managing director 1 Apr 1992 Other 4330897
Debra Bennett Managing director 1 Aug 1994 Other 2630054
Robert Louis Schaefer Vice president 1 Jan 1997 Other 1785924
John Charles Trott Associate director 1 Jan 1997 Other 2081127
John Thomas Wortman Assistant director 1 Mar 1997 Other 2635477
Celeste W Collier Assistant director 1 Dec 1997 Other 3126129
Michael Shannon Mchugh Associate director 1 Jun 1998 Other 2080048
Leslie Michael Associate director 1 Sep 1998 Other 3064121
Timothy Maurice Dean Chief financial officer, corporate director, class b shareholder and member senior management 1 Feb 1999 Other 4330941
Phillip Richard Evans Associate director 1 Jan 2000 Other 2129789
Daniel Lee Fleck Partner 1 Dec 2000 Other 4330897
Charles Andrew Liles Assistant director 1 Mar 2001 Other 2725676
Howard Wayne Harpster Executive vice president, chief investment officer 1 May 2001 Other 4414586
Debora Ames Bennett Partner 1 Sep 2001 Other 2630054
Carole Joann Tanner Executive vice president, chief strategy officer 1 Nov 2001 Other 4502776
Christopher Page Lamothe President, chief operations officer 1 Jan 2002 Other 4502773
Richard D Seaver Client service manager 1 Apr 2002 Other 2518644
David Hecht Client service advisor 1 Jun 2002 Other 2704238
David Lee Hecht Senior financial advisor 1 Jun 2002 Other 2704238
Susan Elaine Mitchell Compliance officer, vice president 1 Jan 2003 Other 1453956
Michael Shannon Mchugh Managing director 1 Jan 2004 Other 2080048
Celeste W Collier Director 1 Jan 2004 Other 3126129
David Lee Hecht Director 1 Jan 2005 Other 2704238
David Reese Lofland Director 1 Mar 2006 Other 4597642
Gary John Forbeck Director 1 Jul 2006 Other 4547042
Mark Michael Green Vice president, chief investment officer, corporate director, class b shareholder and member senior management 1 Sep 2006 Other 4700863
Joseph Phillip Alerding Vice president, tco's chief executive officer 1 Jan 2007 Other 3023641
Charles Richard Davis Corporate and managing director, class b shareholder 1 Jul 2007 Other 5441093
Brendan O'sullivan Hale Senior analyst, class b shareholder 1 Dec 2008 Other 5653469
David Allen Graham Managing director, member senior management 1 Jan 2010 Other 3253381
Sue A. Mcmillen Vice president, chief talent officer and member senior management 1 Jan 2011 Other 5895846
Karen Hosbein Mersereau Managing director, class b shareholder 1 Jan 2011 Other 4620840
Peter Nielsen Reist Managing director, class b shareholder 1 Jan 2011 Other 4703846
Michael Allen Rosen Managing director of private equity, class b shareholder 1 Jan 2011 Other 2503479
Elizabeth Ann Schlueter Chief financial strategist, member senior management 1 Aug 2012 Other 3198676
Lisa Ann Walker Vice president, chief operations officer, chief compliance officer, chair senior management 1 Mar 2014 Other 2279913
Jeffery Hal Stroman Chief investment officer 1 Jan 2017 Other 1107272
Michael Allen Rosen Corporate director, class b shareholder 1 Jan 2017 Other 2503479
Robert Mead Twitchell Corporate director and class b shareholder 1 Jan 2017 Other 4323593
Brendan Gr O'sullivan Hale Corporate director and class b shareholder 1 Jan 2017 Other 5653469
Matthew Frank Mohlman Chief compliance officer and director, compliance & legal affairs 1 Mar 2017 Other 5298051
Bryan Dunnivant Corporate director, class b shareholder 1 Jan 2018 Other 6701998
Kristina R Baron Corporate director, class b shareholder 1 Jan 2018 Other 5276909

Based in Carmel

The principal office where Oxford Financial Group, Ltd performs its advisory services is located at 11711 North Meridian Street, Carmel, IN 46032 The mailing address of the firm is P. O. Box 80238, Indianapolis, IN 46280 0238. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 317-843-5678 or by fax 317-843-5679. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at ofgltd.com.

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