OXFORD FINANCIAL GROUP LTD

HTTP://WWW.OFGLTD.COM CARMEL, IN Investment Advisor How do I update this listing?

Oxford Financial Group LTD is based out of Carmel. Oxford Financial Group LTD is a large advisory firm with 713 clients and discretionary assets under management (AUM) of $3,919,063,364 (Form ADV from 2018-08-01). Their last reported 13F filing for Q3 2019 included $316,505,000 in managed 13F securities and a top 10 holdings concentration of 77.39%. Oxford Financial Group LTD's largest holding is iShares Edge MSCI USA Momentum Factor ETF with shares held of 644,547. Whalewisdom has at least 12 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $316.505 Million
  • Prior Market Value $304.966 Million
  • New Purchases2 stocks
  • Additional Purchases18 stocks
  • Sold out of0 stocks
  • Reduced holdings in11 stocks
  • Top 10 Holdings % 77.39 %
  • Turnover % [1]:4.00%
  • Turnover Alt % [2]: 5.68 %
  • Time Held Top20:6.90 quarters
  • Time Held Top10:6.30 quarters
  • Time Held All:7.20 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.05%
Performance Last 4 Quarters: 11.36%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

OXFORD FINANCIAL GROUP, LTD
Classified as Hedge Fund
11711 NORTH MERIDIAN STREET SUITE 600
CARMEL IN    46032
Country: United States

Business Phone: 317-843-5678
Fax: 317-843-5679
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: IN
Number of employees: 153
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 6,184,780,000
Total Number of Clients: 713
Amount of client funds and securities by related persons: 686,952,000
Total Number of clients from related persons: 169
Disclosures:
Data above was derived from SEC filings.

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OXFORD FINANCIAL GROUP, LTD

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
THOMASSON, JEFFREY, HUGH CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, CLASS A & B SHAREHOLDER 01/01/1984 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CROWE WEALTH MANAGEMENT, LLC CHAIRMAN AND CEO, MAJORITY CLASS A SHAREHOLDER OF OXFORD indirect 1984-01-01
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, AND CLASS A & B SHAREHOLDER direct 1984-01-01
OLIVE OXFORD OFFICE LLC BOARD MEMBER direct 1999-11-01 2001-03-22
OXFORD GROUP LTD PRESIDENT, CORPORATE DIRECTOR AND MANAGING DIRECTOR direct 1984-01-01 2001-08-27
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN, CORPORATE DIRECTOR AND MANAGING DIRECTOR direct 1984-01-01 2003-10-02
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN, CORPORATE DIRECTOR AND PARTNER direct 1984-01-01 2005-04-28
OLIVE OXFORD OFFICE LLC CEO, CHAIRMAN AND BOARD MANAGER direct 1999-11-01 2005-04-28
UNION FEDERAL BANK OF INDIANAPOLIS DIRECTOR direct 2003-04-01 2006-03-21
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR direct 1984-01-01 2008-04-03
CROWE WEALTH MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-03-01 2008-07-18
CROWE WEALTH MANAGEMENT, LLC CHAIRMAN AND CEO indirect 1984-01-01 2008-07-22
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER direct 1984-01-01 2017-01-03
STROMAN, JEFFERY, HAL CORPORATE DIRECTOR 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CROWE WEALTH MANAGEMENT, LLC BOARD MANAGER direct 2003-03-01
OXFORD FINANCIAL GROUP, LTD CHIEF INVESTMENT OFFICER AND MEMBER SENIOR MANAGEMENT direct 2017-01-01
OLIVE OXFORD OFFICE LLC CHAIRMAN OF THE BOARD direct 1999-11-01 2001-03-22
OXFORD GROUP LTD VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND MANAGING DIRECTOR direct 1988-10-01 2003-10-02
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND PARTNER direct 1988-10-01 2005-04-28
OLIVE OXFORD OFFICE LLC BOARD MANAGER direct 1999-11-01 2005-04-28
OXFORD FINANCIAL GROUP, LTD CORPORATE AND MANAGING DIRECTOR direct 1988-10-01 2008-04-03
OXFORD FINANCIAL GROUP, LTD CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER direct 1988-10-01 2017-01-03
DEAN, TIMOTHY, MAURICE CHIEF FINANCIAL OFFICER 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT direct 1999-02-01
CROWE WEALTH MANAGEMENT, LLC BOARD MANAGER direct 2005-07-01
OXFORD GROUP LTD CHIEF FINANCIAL OFFICER direct 1999-02-01 2001-08-27
OXFORD FINANCIAL GROUP, LTD EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 1999-02-01 2002-02-27
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 1999-02-01 2005-04-28
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR direct 1999-02-01 2008-04-03
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER direct 1999-02-01 2012-03-29
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT direct 1999-02-01 2013-03-28
DAVIS, CHARLES, RICHARD CORPORATE DIRECTOR, CLASS B SHAREHOLDER 07/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD MANAGING DIRECTOR, CLASS B SHAREHOLDER direct 2007-07-01
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER direct 2007-07-01
OXFORD FINANCIAL GROUP, LTD CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER direct 2007-07-01
MCMILLEN, SUE, A. CHIEF TALENT OFFICER, CLASS B SHAREHOLDER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF TALENT OFFICER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, CLASS B SHAREHOLDER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT direct 2011-01-01
WALKER, LISA, ANN CHIEF OPERATIONS & RISK OFFICER, CLASS B SHAREHOLDER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLD ASSET MANAGEMENT, INC. DIRECTOR/CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2006-09-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR/AML COMPLIANCE OFFICER direct 2006-09-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR / CHIEF OPERATIONS OFFICER direct 2012-11-01
COMERICA SECURITIES,INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT direct 2014-03-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHAIR SENIOR MANAGEMENT direct 2014-03-01
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATIONS & RISK OFFICER, CHAIR SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER direct 2014-03-01
WILSON, KEMP & ASSOCIATES, INC. CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2010-05-01
WILSON, KEMP & ASSOCIATES, INC. CHIEF OPERATING OFFICER direct 2010-05-01
WILSON, KEMP & ASSOCIATES, INC. CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & BSA/AML COMPLIANCE OFFICER direct 2010-05-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR/CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER direct 2006-09-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2006-09-01
ROSEN, MICHAEL, ALLEN CORPORATE DIRECTOR, CLASS B SHAREHOLDER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD MANAGING DIRECTOR OF PRIVATE EQUITY, CLASS B SHAREHOLDER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER direct 2017-01-01
MOHLMAN, MATTHEW, FRANK CHIEF COMPLIANCE OFFICER AND DIRECTOR, COMPLIANCE & LEGAL AFFAIRS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CHIEF COMPLIANCE OFFICER AND DIRECTOR, COMPLIANCE & LEGAL AFFAIRS direct 2017-03-01
ASTOR ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
LAKEWOOD INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
ASTOR INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
Dunnivant, Bryan CORPORATE DIRECTOR, CLASS B SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR, CLASS B SHAREHOLDER direct 2018-01-01
BARON, KRISTINA, R CORPORATE DIRECTOR, CLASS B SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR, CLASS B SHAREHOLDER direct 2018-01-01
Nogues, Marcos CHIEF INVESTMENT OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CHIEF INVESTMENT OFFICER direct 2018-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
REGENT STREET APPRAISAL RIGHTS FUND V 2017-2, LLC United States 805-5895624516 Private Equity Fund 8,015,774 150,000
REGENT STREET POWER FUND O 2018-4, LLC United States 805-8407950833 Private Equity Fund 120,575 150,000
REGENT STREET SECONDARY RV-II 2018-1, LLC United States 805-2672524144 Private Equity Fund 8,946,071 150,000
IDW MAYFAIR, INC. United States 805-7919537100 Private Equity Fund 72,652,546 312,500
SAVILE ROW TAX ADVANTAGED ABSOLUTE RETURN FUND A 2018-1, LLC United States 805-8935798246 Hedge Fund 7,665,624 150,000
REGENT STREET MIDDLE MARKET BUYOUT FUND G 2018-2, LLC United States 805-2578627460 Private Equity Fund 13,447,347 150,000
REGENT STREET CO-INVESTMENT FUND 2018-5, LLC United States 805-6724091964 Private Equity Fund 4,187,067 150,000
REGENT STREET DIRECT LENDING FUND BT 2018-3, LLC United States 805-2772461118 Private Equity Fund 3,817,253 150,000
REGENT STREET PRIVATE EQUITY 2007-08, LLC United States 805-9596837913 Private Equity Fund 10,773,569 250,000
REGENT STREET PRIVATE NATURAL RESOURCES 2009, LLC United States 805-4549596016 Other Private Fund NATURAL RESOURCES 2,696,444 250,000
REGENT STREET PRIVATE REAL ESTATE 2008, LLC United States 805-1544771993 Real Estate Fund 3,879,683 250,000
REGENT STREET ENERGY OPPORTUNITIES Q, LLC United States 805-2177322243 Other Private Fund NATURAL RESOURCES 35,202,139 250,000
REGENT STREET ENERGY OPPORTUNITIES Q-II 2017-1, LLC United States 805-2204374807 Other Private Fund NATURAL RESOURCES 9,516,098 150,000
SAVILE ROW HEALTHCARE HEDGED EQUITY FUND, LLC United States 805-5860996694 Hedge Fund 65,483,691 150,000
REGENT STREET SECONDARY INSTITUTIONAL FUND RV 2016-1, LLC United States 805-6550018289 Private Equity Fund 8,315,110 250,000
SAVILE ROW HEALTHCARE HEDGED EQUITY INSTITUTIONAL FUND, LLC United States 805-7524027235 Hedge Fund 12,503,183 150,000
REGENT STREET SPECIALTY FINANCE FUND VP 2016-1, LLC United States 805-2381853638 Private Equity Fund 33,117,872 150,000
REGENT STREET SPECIAL SITUATIONS FUND S 2016-2, LLC United States 805-8838330993 Other Private Fund RESTRUCTURING/DISTRESSED DEBT 22,469,257 250,000
SAVILE ROW FRONTIER OPPORTUNITIES T, LLC United States 805-4852208895 Hedge Fund 9,849,794 250,000
REGENT STREET GLOBAL PRIVATE EQUITY WP, LLC United States 805-9762088158 Private Equity Fund 13,823,876 150,000
REGENT STREET RB REAL ESTATE PARTICIPANT FUND, LLC United States 805-6249397024 Real Estate Fund 324,111 250,000
REGENT STREET REAL ASSET PARTICIPANT FUND, LLC United States 805-2553524611 Real Estate Fund 973,515 250,000
REGENT STREET PRIVATE EQUITY SECONDARY P, LLC United States 805-1606187023 Private Equity Fund 13,178,202 150,000
REGENT STREET CM DISTRESSED PARTICIPANT FUND, LLC United States 805-4305587103 Other Private Fund DISTRESSED 6,890,633 250,000
SAVILE ROW MLP III LLC United States 805-1169523464 Hedge Fund 14,969,616 100,000
POLY-WOOD MAYFAIR, LLC United States 805-8344944335 Private Equity Fund 114,102,000 500,000
REGENT STREET OPPORTUNISTIC REAL ESTATE C, LLC United States 805-2205180035 Real Estate Fund 12,106,135 250,000
SAVILE ROW AB MULTI-STRATEGY, LLC United States 805-6343123523 Hedge Fund 385,785 150,000
SAVILE ROW AB MULTI-STRATEGY INSTITUTIONAL, LLC United States 805-1214108769 Hedge Fund 196,482 150,000
REGENT STREET PRIVATE EUROPEAN CREDIT, LLC United States 805-6182050622 Other Private Fund RESTRUCTURING/DISTRESSED DEBT 2,777,575 250,000
SAVILE ROW SP HEDGED EQUITY INSTITUTIONAL, LLC United States 805-5792427376 Hedge Fund 17,761,920 250,000
SAVILE ROW LIFE SETTLEMENTS FUND V 2017-1, LLC United States 805-4521777312 Hedge Fund 72,728,029 150,000
SAVILE ROW FINANCIALS HEDGED EQUITY INSTITUTIONAL FUND M 2016-2, LLC United States 805-7945600551 Hedge Fund 11,068,689 150,000
SAVILE ROW FINANCIALS HEDGED EQUITY FUND M 2016-2, LLC United States 805-1732526159 Hedge Fund 49,619,445 150,000
REGENT STREET OPPORTUNISTIC REAL ESTATE FUND H 2016-1, LLC United States 805-2674630870 Real Estate Fund 15,497,630 150,000
SAVILE ROW SP HEDGED EQUITY, LLC United States 805-4644259552 Hedge Fund 33,420,545 250,000
REGENT STREET GROWTH EQUITY FUND K 2017-1, LLC United States 805-5968173208 Private Equity Fund 17,180,372 250,000
REGENT STREET SECONDARY FUND RV 2016-1, LLC United States 805-7261389688 Private Equity Fund 33,830,802 250,000
REGENT STREET CBC REAL ASSET PARTICIPANT FUND, LLC United States 805-1302787761 Private Equity Fund 575,348 250,000
SAVILE ROW HEDGED CREDIT FUND, LLC United States 805-7868128822 Hedge Fund 14,676,035 150,000
SAVILE ROW INDUSTRIAL VALUE PARTICIPANT FUND, LLC United States 805-9349573690 Real Estate Fund 190,411 250,000
SAVILE ROW MANAGED FUTURES T, LLC United States 805-2934574460 Hedge Fund 72,188,284 150,000
REGENT STREET MERIT PARTICIPANT FUND, LLC United States 805-8808285740 Other Private Fund NATURAL RESOURCES 189,645 250,000
SAVILE ROW MLP PARTICIPANT FUND, LLC United States 805-4898012573 Hedge Fund 9,722,067 100,000
SAVILE ROW MLP PARTICIPANT FUND II, LLC United States 805-3084815912 Hedge Fund 11,418,093 100,000

OXFORD FINANCIAL GROUP, LTD

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
THOMASSON, JEFFREY, HUGH CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, AND CLASS A & B SHAREHOLDER 01/01/1984 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CROWE WEALTH MANAGEMENT, LLC CHAIRMAN AND CEO, MAJORITY CLASS A SHAREHOLDER OF OXFORD indirect 1984-01-01
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, AND CLASS A & B SHAREHOLDER direct 1984-01-01
OLIVE OXFORD OFFICE LLC BOARD MEMBER direct 1999-11-01 2001-03-22
OXFORD GROUP LTD PRESIDENT, CORPORATE DIRECTOR AND MANAGING DIRECTOR direct 1984-01-01 2001-08-27
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN, CORPORATE DIRECTOR AND MANAGING DIRECTOR direct 1984-01-01 2003-10-02
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN, CORPORATE DIRECTOR AND PARTNER direct 1984-01-01 2005-04-28
OLIVE OXFORD OFFICE LLC CEO, CHAIRMAN AND BOARD MANAGER direct 1999-11-01 2005-04-28
UNION FEDERAL BANK OF INDIANAPOLIS DIRECTOR direct 2003-04-01 2006-03-21
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR direct 1984-01-01 2008-04-03
CROWE WEALTH MANAGEMENT, LLC MANAGING DIRECTOR direct 2003-03-01 2008-07-18
CROWE WEALTH MANAGEMENT, LLC CHAIRMAN AND CEO indirect 1984-01-01 2008-07-22
OXFORD FINANCIAL GROUP, LTD CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD, MANAGING DIRECTOR, CLASS A & B SHAREHOLDER direct 1984-01-01 2017-01-03
STROMAN, JEFFERY, HAL CHIEF INVESTMENT OFFICER AND MEMBER SENIOR MANAGEMENT 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
CROWE WEALTH MANAGEMENT, LLC BOARD MANAGER direct 2003-03-01
OXFORD FINANCIAL GROUP, LTD CHIEF INVESTMENT OFFICER AND MEMBER SENIOR MANAGEMENT direct 2017-01-01
OLIVE OXFORD OFFICE LLC CHAIRMAN OF THE BOARD direct 1999-11-01 2001-03-22
OXFORD GROUP LTD VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND MANAGING DIRECTOR direct 1988-10-01 2003-10-02
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CORPORATE DIRECTOR, TREASURER AND PARTNER direct 1988-10-01 2005-04-28
OLIVE OXFORD OFFICE LLC BOARD MANAGER direct 1999-11-01 2005-04-28
OXFORD FINANCIAL GROUP, LTD CORPORATE AND MANAGING DIRECTOR direct 1988-10-01 2008-04-03
OXFORD FINANCIAL GROUP, LTD CORPORATE AND MANAGING DIRECTOR, CLASS A & B SHAREHOLDER direct 1988-10-01 2017-01-03
DEAN, TIMOTHY, MAURICE CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT direct 1999-02-01
CROWE WEALTH MANAGEMENT, LLC BOARD MANAGER direct 2005-07-01
OXFORD GROUP LTD CHIEF FINANCIAL OFFICER direct 1999-02-01 2001-08-27
OXFORD FINANCIAL GROUP, LTD EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 1999-02-01 2002-02-27
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 1999-02-01 2005-04-28
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR direct 1999-02-01 2008-04-03
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CORPORATE DIRECTOR, CLASS B SHAREHOLDER direct 1999-02-01 2012-03-29
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CORPORATE DIRECTOR, CLASS B SHAREHOLDER AND MEMBER SENIOR MANAGEMENT direct 1999-02-01 2013-03-28
DAVIS, CHARLES, RICHARD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER 07/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD MANAGING DIRECTOR, CLASS B SHAREHOLDER direct 2007-07-01
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER direct 2007-07-01
OXFORD FINANCIAL GROUP, LTD CORPORATE AND MANAGING DIRECTOR, CLASS B SHAREHOLDER direct 2007-07-01
MCMILLEN, SUE, A. CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF TALENT OFFICER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, CLASS B SHAREHOLDER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD CHIEF TALENT OFFICER, MEMBER SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF TALENT OFFICER AND MEMBER SENIOR MANAGEMENT direct 2011-01-01
WALKER, LISA, ANN CHIEF OPERATIONS & RISK OFFICER, CHAIR SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WORLD ASSET MANAGEMENT, INC. DIRECTOR/CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER/CHIEF OPERATING OFFICER direct 2006-09-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR/AML COMPLIANCE OFFICER direct 2006-09-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR / CHIEF OPERATIONS OFFICER direct 2012-11-01
COMERICA SECURITIES,INC. CHIEF COMPLIANCE OFFICER direct 2005-02-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, CHAIR SENIOR MANAGEMENT direct 2014-03-01
OXFORD FINANCIAL GROUP, LTD VICE PRESIDENT, CHIEF OPERATIONS OFFICER, CHAIR SENIOR MANAGEMENT direct 2014-03-01
OXFORD FINANCIAL GROUP, LTD CHIEF OPERATIONS & RISK OFFICER, CHAIR SENIOR MANAGEMENT, AND CLASS B SHAREHOLDER direct 2014-03-01
WILSON, KEMP & ASSOCIATES, INC. CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2010-05-01
WILSON, KEMP & ASSOCIATES, INC. CHIEF OPERATING OFFICER direct 2010-05-01
WILSON, KEMP & ASSOCIATES, INC. CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER & BSA/AML COMPLIANCE OFFICER direct 2010-05-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR/CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER direct 2006-09-01
WORLD ASSET MANAGEMENT, INC. DIRECTOR & CHIEF COMPLIANCE OFFICER direct 2006-09-01
TWITCHELL, ROBERT, MEAD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER direct 2017-01-01
O'SULLIVAN-HALE, BRENDAN, GR CORPORATE DIRECTOR AND CLASS B SHAREHOLDER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD SENIOR ANALYST, CLASS B SHAREHOLDER direct 2008-12-01
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER direct 2017-01-01
ROSEN, MICHAEL, ALLEN CORPORATE DIRECTOR AND CLASS B SHAREHOLDER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD MANAGING DIRECTOR OF PRIVATE EQUITY, CLASS B SHAREHOLDER direct 2011-01-01
OXFORD FINANCIAL GROUP, LTD CORPORATE DIRECTOR AND CLASS B SHAREHOLDER direct 2017-01-01
MOHLMAN, MATTHEW, FRANK CHIEF COMPLIANCE OFFICER AND DIRECTOR, COMPLIANCE & LEGAL AFFAIRS 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
OXFORD FINANCIAL GROUP, LTD CHIEF COMPLIANCE OFFICER AND DIRECTOR, COMPLIANCE & LEGAL AFFAIRS direct 2017-03-01
ASTOR ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-03-01
LAKEWOOD INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
ASTOR INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SAVILE ROW HEALTHCARE HEDGED EQUITY FUND, LLC United States 805-5860996694 Hedge Fund 35,639,391 150,000
REGENT STREET SECONDARY INSTITUTIONAL FUND RV 2016-1, LLC United States 805-6550018289 Private Equity Fund 4,173,595 250,000
SAVILE ROW HEALTHCARE HEDGED EQUITY INSTITUTIONAL FUND, LLC United States 805-7524027235 Hedge Fund 13,549,628 150,000
SAVILE ROW SPECIALTY FINANCE FUND VP 2016-1, LLC United States 805-2381853638 Private Equity Fund 6,678,945 150,000
REGENT STREET SPECIAL SITUATIONS FUND S 2016-2, LLC United States 805-8838330993 Other Private Fund RESTRUCTURING/DISTRESSED DEBT 8,734,665 250,000
SAVILE ROW GLOBAL PRIVATE EQUITY WP, LLC United States 805-9762088158 Private Equity Fund 3,097,095 150,000
SAVILE ROW AB MULTI-STRATEGY INSTITUTIONAL, LLC United States 805-1214108769 Hedge Fund 925,854 150,000
SAVILE ROW CBC REAL ASSET PARTICIPANT FUND, LLC United States 805-1302787761 Private Equity Fund 2,713,318 250,000
SAVILE ROW DIVERSIFIED HEDGE E, LLC United States 805-3912791588 Hedge Fund 2,257,703 150,000
SAVILE ROW HEDGED CREDIT FUND, LLC United States 805-7868128822 Hedge Fund 49,172,714 150,000
SAVILE ROW INDUSTRIAL VALUE PARTICIPANT FUND, LLC United States 805-9349573690 Real Estate Fund 11,486,610 250,000
SAVILE ROW MANAGED FUTURES T, LLC United States 805-2934574460 Hedge Fund 89,546,708 150,000
SAVILE ROW MERIT PARTICIPANT FUND, LLC United States 805-8808285740 Other Private Fund NATURAL RESOURCES 335,648 250,000
SAVILE ROW MLP PARTICIPANT FUND, LLC United States 805-4898012573 Hedge Fund 18,163,172 100,000
SAVILE ROW MLP PARTICIPANT FUND II, LLC United States 805-3084815912 Hedge Fund 14,646,505 100,000
SAVILE ROW PRIVATE EQUITY 2007-08, LLC United States 805-9596837913 Private Equity Fund 16,183,141 250,000
SAVILE ROW PRIVATE NATURAL RESOURCES 2009, LLC United States 805-4549596016 Other Private Fund NATURAL RESOURCES 3,884,206 250,000
SAVILE ROW PRIVATE REAL ESTATE 2008, LLC United States 805-1544771993 Real Estate Fund 9,480,759 250,000
SAVILE ROW ENERGY OPPORTUNITIES Q, LLC United States 805-2177322243 Other Private Fund NATURAL RESOURCES 17,964,393 250,000
SAVILE ROW FRONTIER OPPORTUNITIES T, LLC United States 805-4852208895 Hedge Fund 32,355,095 250,000
SAVILE ROW RB REAL ESTATE PARTICIPANT FUND, LLC United States 805-6249397024 Real Estate Fund 1,311,930 250,000
SAVILE ROW REAL ASSET PARTICIPANT FUND, LLC United States 805-2553524611 Real Estate Fund 5,766,969 250,000
SAVILE ROW PRIVATE EQUITY SECONDARY P, LLC United States 805-1606187023 Private Equity Fund 20,005,162 150,000
SAVILE ROW CM DISTRESSED PARTICIPANT FUND, LLC United States 805-4305587103 Other Private Fund DISTRESSED 9,726,374 250,000
SAVILE ROW MLP III LLC United States 805-1169523464 Hedge Fund 18,525,411 100,000
POLY-WOOD MAYFAIR, LLC United States 805-8344944335 Private Equity Fund 81,805,000 500,000
SAVILE ROW OPPORTUNISTIC REAL ESTATE C, LLC United States 805-2205180035 Real Estate Fund 12,037,380 250,000
SAVILE ROW AB MULTI-STRATEGY, LLC United States 805-6343123523 Hedge Fund 2,585,848 150,000
SAVILE ROW PRIVATE EUROPEAN CREDIT, LLC United States 805-6182050622 Other Private Fund RESTRUCTURING/DISTRESSED DEBT 7,785,228 250,000
SAVILE ROW SP HEDGED EQUITY INSTITUTIONAL, LLC United States 805-5792427376 Hedge Fund 20,792,331 250,000
SAVILE ROW SP HEDGED EQUITY, LLC United States 805-4644259552 Hedge Fund 43,322,265 250,000
REGENT STREET SECONDARY FUND RV 2016-1, LLC United States 805-7261389688 Private Equity Fund 16,895,268 250,000

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