Chief Operations and Risk Officer

0001398344-20-009984.txt : 20200512 0001398344-20-009984.hdr.sgml : 20200512 20200512165819 ACCESSION NUMBER: 0001398344-20-009984 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200512 DATE AS OF CHANGE: 20200512 EFFECTIVENESS DATE: 20200512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OXFORD FINANCIAL GROUP LTD CENTRAL INDEX KEY: 0001245862 IRS NUMBER: 351588335 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17623 FILM NUMBER: 20869844 BUSINESS ADDRESS: STREET 1: 11711 N MERIDIAN ST SUITE 600 CITY: CARMEL STATE: IN ZIP: 46032 BUSINESS PHONE: 317-843-5678 MAIL ADDRESS: STREET 1: PO BOX 80238 CITY: INDIANAPOLIS STATE: IN ZIP: 46280-0238 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001245862 XXXXXXXX 03-31-2020 03-31-2020 false OXFORD FINANCIAL GROUP LTD

PO BOX 80238 INDIANAPOLIS IN 46280-0238

13F COMBINATION REPORT 028-17623 028-04558 Parametric 028-06986 Horizon Asset 028-03692 Miller Howard 028-13833 Nuance 028-16000 Select Equity 028-18017 SpiderRock 028-06972 Stifel Nicolaus Equity 028-06683 TCW 028-11123 Tortoise Cap 028-01347 W.H. Reaves 028-03676 Winslow 028-10031 Woodley Farra Manion 028-17085 Neuberger Berman (Rachlin) N Lisa A. Walker Chief Operations and Risk Officer 317-805-5151 /s/ Lisa A. Walker Carmel IN 05-12-2020 0 196 500465 INFORMATION TABLE 2 fp0053226_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 388 4916 SH SOLE 0 0 4916 ABBVIE INC COM 00287Y109 390 5120 SH SOLE 0 0 5120 ACCELERATE DIAGNOSTICS INC COM 00430H102 349 41917 SH SOLE 0 0 41917 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 204 1250 SH SOLE 0 0 1250 AIR TRANSPORT SERVICES GRP I COM 00922R105 254 13870 SH SOLE 0 0 13870 AKAMAI TECHNOLOGIES INC COM 00971T101 314 3430 SH SOLE 0 0 3430 AKEBIA THERAPEUTICS INC COM 00972D105 144 19006 SH SOLE 0 0 19006 ALLERGAN PLC SHS G0177J108 204 1150 SH SOLE 0 0 1150 ALPHABET INC CAP STK CL C 02079K107 716 616 SH SOLE 0 0 616 ALPHABET INC CAP STK CL A 02079K305 472 406 SH SOLE 0 0 406 AMAZON COM INC COM 023135106 1330 682 SH SOLE 0 0 682 AMERICAN ELEC PWR CO INC COM 025537101 676 8448 SH SOLE 0 0 8448 AMGEN INC COM 031162100 1060 5230 SH SOLE 0 0 5230 APPLE INC COM 037833100 5110 20095 SH SOLE 0 0 20095 ATMOS ENERGY CORP COM 049560105 295 2977 SH SOLE 0 0 2977 AUTODESK INC COM 052769106 326 2087 SH SOLE 0 0 2087 AUTOMATIC DATA PROCESSING IN COM 053015103 424 3099 SH SOLE 0 0 3099 AVID TECHNOLOGY INC COM 05367P100 164 24295 SH SOLE 0 0 24295 BALL CORP COM 058498106 625 9664 SH SOLE 0 0 9664 BECTON DICKINSON & CO COM 075887109 260 1133 SH SOLE 0 0 1133 BERKSHIRE HATHAWAY INC DEL CL A 084670108 816 3 SH SOLE 0 0 3 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4933 26981 SH SOLE 0 0 26981 BOEING CO COM 097023105 258 1732 SH SOLE 0 0 1732 BP PLC SPONSORED ADR 055622104 254 10410 SH SOLE 0 0 10410 BRISTOL-MYERS SQUIBB CO COM 110122108 1082 19417 SH SOLE 0 0 19417 BRISTOL-MYERS SQUIBB CO RIGHT 99/99/9999 110122157 59 15638 SH SOLE 0 0 15638 BROADCOM INC COM 11135F101 285 1200 SH SOLE 0 0 1200 CASTLE BIOSCIENCES INC COM 14843C105 530 17796 SH SOLE 0 0 17796 CELANESE CORP DEL COM 150870103 211 2875 SH SOLE 0 0 2875 CERNER CORP COM 156782104 1701 27000 SH SOLE 0 0 27000 CHEVRON CORP NEW COM 166764100 1012 13961 SH SOLE 0 0 13961 CISCO SYS INC COM 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29273V100 59 12917 SH SOLE 0 0 12917 EVERI HLDGS INC COM 30034T103 153 46420 SH SOLE 0 0 46420 EXXON MOBIL CORP COM 30231G102 1068 28129 SH SOLE 0 0 28129 FACEBOOK INC CL A 30303M102 563 3373 SH SOLE 0 0 3373 FIRST MAJESTIC SILVER CORP COM 32076V103 69 11158 SH SOLE 0 0 11158 FIRST MERCHANTS CORP COM 320817109 282 10658 SH SOLE 0 0 10658 FORD MTR CO DEL COM 345370860 60 12495 SH SOLE 0 0 12495 FREEPORT-MCMORAN INC CL B 35671D857 87 12913 SH SOLE 0 0 12913 G1 THERAPEUTICS INC COM 3621LQ109 258 23416 SH SOLE 0 0 23416 HOME DEPOT INC COM 437076102 531 2843 SH SOLE 0 0 2843 INTEL CORP COM 458140100 485 8962 SH SOLE 0 0 8962 INTERNATIONAL BUSINESS MACHS COM 459200101 294 2654 SH SOLE 0 0 2654 INTL FCSTONE INC COM 46116V105 343 9453 SH SOLE 0 0 9453 INTUITIVE SURGICAL INC COM NEW 46120E602 52387 105788 SH SOLE 0 0 105788 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 44 350 SH SOLE 0 0 350 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 641 4021 SH SOLE 0 0 4021 INVESCO EXCHANGE 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SOLE 0 0 5525 ISHARES TR RUS MID CAP ETF 464287499 668 15472 SH SOLE 0 0 15472 ISHARES TR CORE S&P MCP ETF 464287507 655 4552 SH SOLE 0 0 4552 ISHARES TR RUS 1000 VAL ETF 464287598 4982 50231 SH SOLE 0 0 50231 ISHARES TR RUS 1000 GRW ETF 464287614 1207 8014 SH SOLE 0 0 8014 ISHARES TR RUS 1000 ETF 464287622 4859 34335 SH SOLE 0 0 34335 ISHARES TR RUS 2000 VAL ETF 464287630 29713 362225 SH SOLE 0 0 362225 ISHARES TR RUS 2000 GRW ETF 464287648 385 2432 SH SOLE 0 0 2432 ISHARES TR RUSSELL 2000 ETF 464287655 495 4327 SH SOLE 0 0 4327 ISHARES TR CORE S&P US VLU 464287663 1221 26446 SH SOLE 0 0 26446 ISHARES TR RUSSELL 3000 ETF 464287689 915 6172 SH SOLE 0 0 6172 ISHARES TR CORE S&P SCP ETF 464287804 819 14598 SH SOLE 0 0 14598 ISHARES TR SP SMCP600VL ETF 464287879 35 351 SH SOLE 0 0 351 ISHARES TR S&P SML 600 GWT 464287887 2 17 SH SOLE 0 0 17 ISHARES TR SHRT NAT MUN ETF 464288158 133 1250 SH SOLE 0 0 1250 ISHARES TR JPMORGAN USD EMG 464288281 53 553 SH SOLE 0 0 553 ISHARES TR NATIONAL MUN ETF 464288414 1087 9616 SH SOLE 0 0 9616 ISHARES TR INTL SEL DIV ETF 464288448 207 9178 SH SOLE 0 0 9178 ISHARES TR IBOXX HI YD ETF 464288513 11 148 SH SOLE 0 0 148 ISHARES TR SHORT TREAS BD 464288679 811 7308 SH SOLE 0 0 7308 ISHARES TR PFD AND INCM SEC 464288687 10 300 SH SOLE 0 0 300 ISHARES TR MSCI USA ESG SLC 464288802 403 3674 SH SOLE 0 0 3674 ISHARES TR AGGRES ALLOC ETF 464289859 91 1919 SH SOLE 0 0 1919 ISHARES TR GRWT ALLOCAT ETF 464289867 5333 128883 SH SOLE 0 0 128883 ISHARES TR MIN VOL EAFE ETF 46429B689 106 1715 SH SOLE 0 0 1715 ISHARES TR MSCI MIN VOL ETF 46429B697 302 5593 SH SOLE 0 0 5593 ISHARES TR USA MOMENTUM FCT 46432F396 73344 688803 SH SOLE 0 0 688803 ISHARES TR CORE MSCI EAFE 46432F842 28 557 SH SOLE 0 0 557 JOHNSON & JOHNSON COM 478160104 1021 7786 SH SOLE 0 0 7786 JPMORGAN CHASE & CO COM 46625H100 3664 40695 SH SOLE 0 0 40695 KKR & CO INC CL A 48251W104 512 21825 SH SOLE 0 0 21825 L BRANDS INC COM 501797104 152 13141 SH SOLE 0 0 13141 L3HARRIS TECHNOLOGIES INC COM 502431109 252 1401 SH SOLE 0 0 1401 LEGGETT & PLATT INC COM 524660107 665 24917 SH SOLE 0 0 24917 LILLY ELI & CO COM 532457108 27488 198157 SH SOLE 0 0 198157 LOCKHEED MARTIN CORP COM 539830109 314 926 SH SOLE 0 0 926 MANAGED PORTFOLIO SER TORTOISE NRAM PI 56167N720 13030 959519 SH SOLE 0 0 959519 MASIMO CORP COM 574795100 643 3630 SH SOLE 0 0 3630 MCDONALDS CORP COM 580135101 542 3276 SH SOLE 0 0 3276 MERCHANTS BANCORP IND COM 58844R108 247 16250 SH SOLE 0 0 16250 MERCK & CO. INC COM 58933Y105 415 5399 SH SOLE 0 0 5399 MICROSOFT CORP COM 594918104 2004 12705 SH SOLE 0 0 12705 NEXTERA ENERGY INC COM 65339F101 697 2895 SH SOLE 0 0 2895 NIKE INC CL B 654106103 1334 16120 SH SOLE 0 0 16120 NISOURCE INC COM 65473P105 909 36397 SH SOLE 0 0 36397 OLD NATL BANCORP IND COM 680033107 6902 523251 SH SOLE 0 0 523251 OPKO HEALTH INC COM 68375N103 15 11100 SH SOLE 0 0 11100 ORACLE CORP COM 68389X105 640 13238 SH SOLE 0 0 13238 PAYPAL HLDGS INC COM 70450Y103 367 3835 SH SOLE 0 0 3835 PEPSICO INC COM 713448108 754 6275 SH SOLE 0 0 6275 PHILIP MORRIS INTL INC COM 718172109 253 3472 SH SOLE 0 0 3472 PIMCO ETF TR INTER MUN BD ACT 72201R866 282 5160 SH SOLE 0 0 5160 PNC FINL SVCS GROUP INC COM 693475105 260 2717 SH SOLE 0 0 2717 POWERSHARES DB MULTI-SECTOR OIL FD 46140H403 297 48387 SH SOLE 0 0 48387 PROCTER & GAMBLE CO COM 742718109 1606 14601 SH SOLE 0 0 14601 PROGRESSIVE CORP OHIO COM 743315103 1087 14720 SH SOLE 0 0 14720 PROSHARES TR S&P 500 DV ARIST 74348A467 355 6160 SH SOLE 0 0 6160 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 223 4976 SH SOLE 0 0 4976 QUINSTREET INC COM 74874Q100 235 29250 SH SOLE 0 0 29250 RAYMOND JAMES FINANCIAL INC COM 754730109 476 7533 SH SOLE 0 0 7533 SALESFORCE COM INC COM 79466L302 487 3379 SH SOLE 0 0 3379 SCHLUMBERGER LTD COM 806857108 136 10068 SH SOLE 0 0 10068 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 145 6883 SH SOLE 0 0 6883 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 489 18922 SH SOLE 0 0 18922 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1363 22258 SH SOLE 0 0 22258 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 245 4746 SH SOLE 0 0 4746 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 25 1224 SH SOLE 0 0 1224 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 73 3567 SH SOLE 0 0 3567 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 21966 701131 SH SOLE 0 0 701131 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 0 1 SH SOLE 0 0 1 SEAGATE TECHNOLOGY PLC SHS G7945M107 344 7040 SH SOLE 0 0 7040 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4 42 SH SOLE 0 0 42 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 338 16235 SH SOLE 0 0 16235 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 44 750 SH SOLE 0 0 750 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5 68 SH SOLE 0 0 68 SHOPIFY INC CL A 82509L107 452 1085 SH SOLE 0 0 1085 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 395 1804 SH SOLE 0 0 1804 SPDR GOLD TRUST GOLD SHS 78463V107 217 1463 SH SOLE 0 0 1463 SPDR INDEX SHS FDS MSCI EAFE FS ETF 78470E106 397 7086 SH SOLE 0 0 7086 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 15 522 SH SOLE 0 0 522 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 3569 115342 SH SOLE 0 0 115342 SPDR S&P 500 ETF TR TR UNIT 78462F103 9830 38138 SH SOLE 0 0 38138 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 783 2979 SH SOLE 0 0 2979 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 55 1383 SH SOLE 0 0 1383 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 235 4902 SH SOLE 0 0 4902 STATE AUTO FINL CORP COM 855707105 442 15919 SH SOLE 0 0 15919 TARGET CORP COM 87612E106 474 5094 SH SOLE 0 0 5094 TRONOX HOLDINGS PLC SHS G9087Q102 108 21695 SH SOLE 0 0 21695 TWITTER INC COM 90184L102 214 8725 SH SOLE 0 0 8725 UNITEDHEALTH GROUP INC COM 91324P102 548 2197 SH SOLE 0 0 2197 US BANCORP DEL COM NEW 902973304 649 18849 SH SOLE 0 0 18849 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 107 4664 SH SOLE 0 0 4664 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 12297 486031 SH SOLE 0 0 486031 VANECK VECTORS ETF TR AGRIBUSINESS ETF 92189F700 21 415 SH SOLE 0 0 415 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 93 3324 SH SOLE 0 0 3324 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4459 18829 SH SOLE 0 0 18829 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1290 18464 SH SOLE 0 0 18464 VANGUARD INDEX FDS MID CAP ETF 922908629 293 2224 SH SOLE 0 0 2224 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 3882 42877 SH SOLE 0 0 42877 VANGUARD INDEX FDS VALUE ETF 922908744 28908 324585 SH SOLE 0 0 324585 VANGUARD INDEX FDS LARGE CAP ETF 922908637 124 1051 SH SOLE 0 0 1051 VANGUARD INDEX FDS GROWTH ETF 922908736 260 1657 SH SOLE 0 0 1657 VANGUARD INDEX FDS SMALL CP ETF 922908751 877 7593 SH SOLE 0 0 7593 VANGUARD INDEX FDS TOTAL STK MKT 922908769 39785 308624 SH SOLE 0 0 308624 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 34 790 SH SOLE 0 0 790 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3144 93719 SH SOLE 0 0 93719 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 38 485 SH SOLE 0 0 485 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 13157 209500 SH SOLE 0 0 209500 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2715 66181 SH SOLE 0 0 66181 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 2711 81319 SH SOLE 0 0 81319 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1600 22612 SH SOLE 0 0 22612 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 1622 23036 SH SOLE 0 0 23036 VERMILLION INC COM NEW 92407M206 59 70735 SH SOLE 0 0 70735 VERTEX PHARMACEUTICALS INC COM 92532F100 303 1273 SH SOLE 0 0 1273 VISA INC COM CL A 92826C839 238 1475 SH SOLE 0 0 1475 WALGREENS BOOTS ALLIANCE INC COM 931427108 293 6413 SH SOLE 0 0 6413 WALMART INC COM 931142103 318 2800 SH SOLE 0 0 2800 WELLS FARGO CO NEW COM 949746101 391 13640 SH SOLE 0 0 13640 WELLTOWER INC COM 95040Q104 643 14043 SH SOLE 0 0 14043