Chief Operations and Risk Officer

0001398344-21-010019.txt : 20210510 0001398344-21-010019.hdr.sgml : 20210510 20210510105838 ACCESSION NUMBER: 0001398344-21-010019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210510 DATE AS OF CHANGE: 20210510 EFFECTIVENESS DATE: 20210510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OXFORD FINANCIAL GROUP LTD CENTRAL INDEX KEY: 0001245862 IRS NUMBER: 351588335 STATE OF INCORPORATION: IN FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17623 FILM NUMBER: 21905650 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 03-31-2021 03-31-2021 false OXFORD FINANCIAL GROUP LTD

PO BOX 80238 INDIANAPOLIS IN 46280-0238

13F COMBINATION REPORT 028-17623 028-04558 Parametric 028-06986 Horizon Asset 028-13833 Nuance 028-16000 Select Equity 028-06972 Stifel Nicolaus Equity 028-06683 TCW 028-01347 W.H. Reaves 028-03676 Winslow 028-10031 Woodley Farra Manion N Lisa A. Walker Chief Operations and Risk Officer 317-805-5151 /s/ Lisa A. Walker Carmel IN 05-10-2021 0 219 721259 INFORMATION TABLE 2 fp0064321_13fhr-table.xml 13F INFORMATION TABLE 3M CO COM 88579Y101 235 1219 SH SOLE 0 0 1219 ABBOTT LABS COM 002824100 1223 10209 SH SOLE 0 0 10209 ABBVIE INC COM 00287Y109 554 5117 SH SOLE 0 0 5117 ABIOMED INC COM 003654100 2617 8210 SH SOLE 0 0 8210 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 299 1081 SH SOLE 0 0 1081 AIR TRANSPORT SERVICES GRP I COM 00922R105 406 13870 SH SOLE 0 0 13870 AKEBIA THERAPEUTICS INC COM 00972D105 64 19006 SH SOLE 0 0 19006 ALPHABET INC CAP STK CL C 02079K107 1332 644 SH SOLE 0 0 644 ALPHABET INC CAP STK CL A 02079K305 742 360 SH SOLE 0 0 360 AMAZON COM INC COM 023135106 2405 777 SH SOLE 0 0 777 AMERICAN ELEC PWR CO INC COM 025537101 716 8448 SH SOLE 0 0 8448 AMGEN INC COM 031162100 1287 5171 SH SOLE 0 0 5171 AON PLC SHS CL A G0403H108 1096 4764 SH SOLE 0 0 4764 APPLE INC COM 037833100 8653 70840 SH SOLE 0 0 70840 APPLE INC COM 037833100 98 800 SH Call SOLE 0 0 800 ARK ETF TR INNOVATION ETF 00214Q104 276 2300 SH SOLE 0 0 2300 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 67 793 SH SOLE 0 0 793 ARK ETF TR GENOMIC REV ETF 00214Q302 63 708 SH SOLE 0 0 708 ARK ETF TR NEXT GNRTN INTER 00214Q401 61 414 SH SOLE 0 0 414 ARK ETF TR FINTECH INNOVA 00214Q708 62 1219 SH SOLE 0 0 1219 ATMOS ENERGY CORP COM 049560105 294 2977 SH SOLE 0 0 2977 AUTOMATIC DATA PROCESSING IN COM 053015103 503 2670 SH SOLE 0 0 2670 BALL CORP COM 058498106 819 9664 SH SOLE 0 0 9664 BECTON DICKINSON & CO COM 075887109 233 960 SH SOLE 0 0 960 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1157 03 SH SOLE 0 0 3 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4987 19521 SH SOLE 0 0 19521 BOEING CO COM 097023105 414 1626 SH SOLE 0 0 1626 BOXLIGHT CORP COM CL A 103197109 110 43330 SH SOLE 0 0 43330 BP PLC SPONSORED ADR 055622104 249 10228 SH SOLE 0 0 10228 BRISTOL-MYERS SQUIBB CO COM 110122108 345 5457 SH SOLE 0 0 5457 BROADSTONE NET LEASE INC COM 11135E203 719 39296 SH SOLE 0 0 39296 CANADIAN NATL RY CO COM 136375102 203 1750 SH SOLE 0 0 1750 CARDINAL HEALTH INC COM 14149Y108 218 3583 SH SOLE 0 0 3583 CATERPILLAR INC COM 149123101 200 864 SH SOLE 0 0 864 CELANESE CORP DEL COM 150870103 431 2875 SH SOLE 0 0 2875 CHEVRON CORP NEW COM 166764100 1091 10413 SH SOLE 0 0 10413 CISCO SYS INC COM 17275R102 356 6894 SH SOLE 0 0 6894 COCA COLA CO COM 191216100 603 11449 SH SOLE 0 0 11449 COLGATE PALMOLIVE CO COM 194162103 323 4094 SH SOLE 0 0 4094 COMCAST CORP NEW CL A 20030N101 374 6903 SH SOLE 0 0 6903 COPART INC COM 217204106 1625 14960 SH SOLE 0 0 14960 CORMEDIX INC COM 21900C308 608 60905 SH SOLE 0 0 60905 COSTCO WHSL CORP NEW COM 22160K105 1082 3071 SH SOLE 0 0 3071 CVS HEALTH CORP COM 126650100 238 3162 SH SOLE 0 0 3162 DANAHER CORPORATION COM 235851102 580 2575 SH SOLE 0 0 2575 DEERE & CO COM 244199105 1709 4567 SH SOLE 0 0 4567 DISNEY WALT CO COM 254687106 1734 9399 SH SOLE 0 0 9399 DOMINION ENERGY INC COM 25746U109 255 3354 SH SOLE 0 0 3354 DOMINOS PIZZA INC COM 25754A201 7356 20000 SH SOLE 0 0 20000 DOVER CORP COM 260003108 213 1554 SH SOLE 0 0 1554 EATON CORP PLC SHS G29183103 1691 12229 SH SOLE 0 0 12229 ELANCO ANIMAL HEALTH INC COM 28414H103 301 10219 SH SOLE 0 0 10219 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 1236 160921 SH SOLE 0 0 160921 EQUIFAX INC COM 294429105 265 1462 SH SOLE 0 0 1462 EVERI HLDGS INC COM 30034T103 655 46420 SH SOLE 0 0 46420 EXXON MOBIL CORP COM 30231G102 1299 23274 SH SOLE 0 0 23274 FACEBOOK INC CL A 30303M102 477 1620 SH SOLE 0 0 1620 FIFTH THIRD BANCORP COM 316773100 332 8852 SH SOLE 0 0 8852 FIRST INTERNET BANCORP COM 320557101 346 9834 SH SOLE 0 0 9834 FIRST MERCHANTS CORP COM 320817109 378 8136 SH SOLE 0 0 8136 FORD MTR CO DEL COM 345370860 162 13215 SH SOLE 0 0 13215 GENERAL DYNAMICS CORP COM 369550108 237 1305 SH SOLE 0 0 1305 GENERAL ELECTRIC CO COM 369604103 292 22228 SH SOLE 0 0 22228 GENERAL MTRS CO COM 37045V100 287 5000 SH SOLE 0 0 5000 HILL ROM HLDGS INC COM 431475102 1460 13212 SH SOLE 0 0 13212 HOME DEPOT INC COM 437076102 655 2146 SH SOLE 0 0 2146 HORIZON BANCORP INC COM 440407104 11630 625921 SH SOLE 0 0 625921 HORIZON THERAPEUTICS PUB L SHS G46188101 460 5000 SH SOLE 0 0 5000 INTEL CORP COM 458140100 505 7888 SH SOLE 0 0 7888 INTERNATIONAL BUSINESS MACHS COM 459200101 458 3439 SH SOLE 0 0 3439 INTUITIVE SURGICAL INC COM NEW 46120E602 63171 85488 SH SOLE 0 0 85488 INVESCO DB MULTI-SECTOR COMM OIL FD 46140H403 942 89506 SH SOLE 0 0 89506 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 81 350 SH SOLE 0 0 350 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 1085 4021 SH SOLE 0 0 4021 INVESCO EXCHANGE TRADED FD T RYMND JMS SB 1 46137V522 586 10120 SH SOLE 0 0 10120 ISHARES INC CORE MSCI EMKT 46434G103 139 2164 SH SOLE 0 0 2164 ISHARES INC MSCI TAIWAN ETF 46434G772 1 10 SH SOLE 0 0 10 ISHARES INC MSCI SINGPOR ETF 46434G780 0 10 SH SOLE 0 0 10 ISHARES INC MSCI MLY ETF NEW 46434G814 0 5 SH SOLE 0 0 5 ISHARES INC ESG AWR MSCI EM 46434G863 6298 145415 SH SOLE 0 0 145415 ISHARES TR CORE S&P TTL STK 464287150 1678 18320 SH SOLE 0 0 18320 ISHARES TR SELECT DIVID ETF 464287168 49 429 SH SOLE 0 0 429 ISHARES TR TIPS BD ETF 464287176 2589 20626 SH SOLE 0 0 20626 ISHARES TR CORE S&P500 ETF 464287200 32276 81132 SH SOLE 0 0 81132 ISHARES TR CORE US AGGBD ET 464287226 44 388 SH SOLE 0 0 388 ISHARES TR MSCI EMG MKT ETF 464287234 2807 52618 SH SOLE 0 0 52618 ISHARES TR IBOXX INV CP ETF 464287242 18 135 SH SOLE 0 0 135 ISHARES TR S&P 500 GRWT ETF 464287309 416 6396 SH SOLE 0 0 6396 ISHARES TR S&P 500 VAL ETF 464287408 789 5586 SH SOLE 0 0 5586 ISHARES TR MSCI EAFE ETF 464287465 1564 20610 SH SOLE 0 0 20610 ISHARES TR RUS MDCP VAL ETF 464287473 467 4276 SH SOLE 0 0 4276 ISHARES TR RUS MD CP GR ETF 464287481 929 9107 SH SOLE 0 0 9107 ISHARES TR RUS MID CAP ETF 464287499 1144 15472 SH SOLE 0 0 15472 ISHARES TR CORE S&P MCP ETF 464287507 898 3449 SH SOLE 0 0 3449 ISHARES TR EXPANDED TECH 464287515 128 375 SH SOLE 0 0 375 ISHARES TR RUS 1000 VAL ETF 464287598 8174 53936 SH SOLE 0 0 53936 ISHARES TR RUS 1000 GRW ETF 464287614 2294 9440 SH SOLE 0 0 9440 ISHARES TR RUS 1000 ETF 464287622 7908 35331 SH SOLE 0 0 35331 ISHARES TR RUS 2000 VAL ETF 464287630 55813 349988 SH SOLE 0 0 349988 ISHARES TR RUS 2000 GRW ETF 464287648 729 2425 SH SOLE 0 0 2425 ISHARES TR RUSSELL 2000 ETF 464287655 525 2376 SH SOLE 0 0 2376 ISHARES TR RUSSELL 3000 ETF 464287689 1632 6879 SH SOLE 0 0 6879 ISHARES TR CORE S&P SCP ETF 464287804 865 7972 SH SOLE 0 0 7972 ISHARES TR S&P SML 600 GWT 464287887 21 160 SH SOLE 0 0 160 ISHARES TR EAFE SML CP ETF 464288273 8 113 SH SOLE 0 0 113 ISHARES TR NATIONAL MUN ETF 464288414 997 8591 SH SOLE 0 0 8591 ISHARES TR IBOXX HI YD ETF 464288513 13 150 SH SOLE 0 0 150 ISHARES TR INTRM GOV CR ETF 464288612 27 232 SH SOLE 0 0 232 ISHARES TR PFD AND INCM SEC 464288687 27 700 SH SOLE 0 0 700 ISHARES TR MSCI USA ESG SLC 464288802 546 6213 SH SOLE 0 0 6213 ISHARES TR AGGRES ALLOC ETF 464289859 518 7746 SH SOLE 0 0 7746 ISHARES TR GRWT ALLOCAT ETF 464289867 1152 21514 SH SOLE 0 0 21514 ISHARES TR MODERT ALLOC ETF 464289875 50 1153 SH SOLE 0 0 1153 ISHARES TR MSCI EAFE MIN VL 46429B689 125 1715 SH SOLE 0 0 1715 ISHARES TR MSCI USA MIN VOL 46429B697 439 6348 SH SOLE 0 0 6348 ISHARES TR MSCI USA VALUE 46432F388 2915 28454 SH SOLE 0 0 28454 ISHARES TR MSCI USA MMENTM 46432F396 105576 656321 SH SOLE 0 0 656321 ISHARES TR CORE MSCI EAFE 46432F842 30 418 SH SOLE 0 0 418 ISHARES TR GLOBAL REIT ETF 46434V647 4219 165576 SH SOLE 0 0 165576 ISHARES TR MSCI UAE ETF 46434V761 1 100 SH SOLE 0 0 100 JOHNSON & JOHNSON COM 478160104 1194 7268 SH SOLE 0 0 7268 JPMORGAN CHASE & CO COM 46625H100 6055 39776 SH SOLE 0 0 39776 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2 144 SH SOLE 0 0 144 KKR & CO INC COM 48251W104 1066 21825 SH SOLE 0 0 21825 L BRANDS INC COM 501797104 738 11936 SH SOLE 0 0 11936 LEGGETT & PLATT INC COM 524660107 1137 24917 SH SOLE 0 0 24917 LILLY ELI & CO COM 532457108 35633 190734 SH SOLE 0 0 190734 LINEAGE CELL THERAPEUTICS IN COM 53566P109 30 12630 SH SOLE 0 0 12630 LOCKHEED MARTIN CORP COM 539830109 333 900 SH SOLE 0 0 900 LOWES COS INC COM 548661107 510 2680 SH SOLE 0 0 2680 MARATHON DIGITAL HOLDINGS IN COM 565788106 365 7600 SH SOLE 0 0 7600 MASIMO CORP COM 574795100 788 3430 SH SOLE 0 0 3430 MCDONALDS CORP COM 580135101 626 2791 SH SOLE 0 0 2791 MERCHANTS BANCORP IND COM 58844R108 404 9628 SH SOLE 0 0 9628 MERCK & CO. INC COM 58933Y105 414 5368 SH SOLE 0 0 5368 MICROSOFT CORP COM 594918104 2827 11991 SH SOLE 0 0 11991 MICROSTRATEGY INC CL A NEW 594972408 268 395 SH SOLE 0 0 395 NEXTERA ENERGY INC COM 65339F101 894 11820 SH SOLE 0 0 11820 NIKE INC CL B 654106103 1978 14886 SH SOLE 0 0 14886 NISOURCE INC COM 65473P105 810 33581 SH SOLE 0 0 33581 NVIDIA CORPORATION COM 67066G104 355 666 SH SOLE 0 0 666 OLD NATL BANCORP IND COM 680033107 9300 480855 SH SOLE 0 0 480855 ORACLE CORP COM 68389X105 790 11259 SH SOLE 0 0 11259 PAYPAL HLDGS INC COM 70450Y103 831 3421 SH SOLE 0 0 3421 PEPSICO INC COM 713448108 929 6569 SH SOLE 0 0 6569 PHILIP MORRIS INTL INC COM 718172109 294 3317 SH SOLE 0 0 3317 PIMCO ETF TR INTER MUN BD ACT 72201R866 290 5160 SH SOLE 0 0 5160 PNC FINL SVCS GROUP INC COM 693475105 463 2638 SH SOLE 0 0 2638 PROCTER AND GAMBLE CO COM 742718109 1989 14687 SH SOLE 0 0 14687 PROGRESSIVE CORP COM 743315103 1072 11211 SH SOLE 0 0 11211 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 300 4976 SH SOLE 0 0 4976 QUALCOMM INC COM 747525103 331 2495 SH SOLE 0 0 2495 QUINSTREET INC COM 74874Q100 594 29250 SH SOLE 0 0 29250 RAYMOND JAMES FINL INC COM 754730109 923 7533 SH SOLE 0 0 7533 RAYTHEON TECHNOLOGIES CORP COM 75513E101 334 4327 SH SOLE 0 0 4327 SALESFORCE COM INC COM 79466L302 710 3352 SH SOLE 0 0 3352 SALESFORCE COM INC COM 79466L302 21 100 SH Call SOLE 0 0 100 SCHLUMBERGER LTD COM 806857108 265 9764 SH SOLE 0 0 9764 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 238 7407 SH SOLE 0 0 7407 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 161 4267 SH SOLE 0 0 4267 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 24 253 SH SOLE 0 0 253 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 454 4723 SH SOLE 0 0 4723 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 103 1030 SH SOLE 0 0 1030 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 10 299 SH SOLE 0 0 299 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 144 4699 SH SOLE 0 0 4699 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 32011 619526 SH SOLE 0 0 619526 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1 08 SH SOLE 0 0 8 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 5 44 SH SOLE 0 0 44 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 553 16235 SH SOLE 0 0 16235 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 74 750 SH SOLE 0 0 750 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 9 68 SH SOLE 0 0 68 SIMON PPTY GROUP INC NEW COM 828806109 609 5352 SH SOLE 0 0 5352 SOUTHERN COPPER CORP COM 84265V105 314 4629 SH SOLE 0 0 4629 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 596 1804 SH SOLE 0 0 1804 SPDR INDEX SHS FDS MSCI EAFE FS ETF 78470E106 1191 14835 SH SOLE 0 0 14835 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1 25 SH SOLE 0 0 25 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1 25 SH SOLE 0 0 25 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 4303 85613 SH SOLE 0 0 85613 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 1 25 SH SOLE 0 0 25 SPDR S&P 500 ETF TR TR UNIT 78462F103 14680 37040 SH SOLE 0 0 37040 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1384 2907 SH SOLE 0 0 2907 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 236 4902 SH SOLE 0 0 4902 STARBUCKS CORP COM 855244109 230 2109 SH SOLE 0 0 2109 STATE AUTO FINL CORP COM 855707105 314 15919 SH SOLE 0 0 15919 STONEX GROUP INC COM 861896108 618 9453 SH SOLE 0 0 9453 TARGET CORP COM 87612E106 1009 5094 SH SOLE 0 0 5094 TESLA INC COM 88160R101 374 560 SH SOLE 0 0 560 TESLA INC COM 88160R101 334 500 SH Call SOLE 0 0 500 TJX COS INC NEW COM 872540109 216 3271 SH SOLE 0 0 3271 US BANCORP DEL COM NEW 902973304 1018 18403 SH SOLE 0 0 18403 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 7 215 SH SOLE 0 0 215 VANECK VECTORS ETF TR BDC INCOME ETF 92189F411 0 25 SH SOLE 0 0 25 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 17001 532435 SH SOLE 0 0 532435 VANECK VECTORS ETF TR AGRIBUSINESS ETF 92189F700 36 415 SH SOLE 0 0 415 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 9392 25782 SH SOLE 0 0 25782 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1833 19952 SH SOLE 0 0 19952 VANGUARD INDEX FDS MID CAP ETF 922908629 454 2053 SH SOLE 0 0 2053 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 6675 37730 SH SOLE 0 0 37730 VANGUARD INDEX FDS VALUE ETF 922908744 40282 306418 SH SOLE 0 0 306418 VANGUARD INDEX FDS LARGE CAP ETF 922908637 195 1051 SH SOLE 0 0 1051 VANGUARD INDEX FDS GROWTH ETF 922908736 426 1657 SH SOLE 0 0 1657 VANGUARD INDEX FDS SMALL CP ETF 922908751 974 4547 SH SOLE 0 0 4547 VANGUARD INDEX FDS TOTAL STK MKT 922908769 89154 431341 SH SOLE 0 0 431341 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 94 1679 SH SOLE 0 0 1679 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3691 70919 SH SOLE 0 0 70919 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 17793 182891 SH SOLE 0 0 182891 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1686 27784 SH SOLE 0 0 27784 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 991 20171 SH SOLE 0 0 20171 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1302 12875 SH SOLE 0 0 12875 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 1327 17122 SH SOLE 0 0 17122 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 0 3 SH SOLE 0 0 3 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 33 175 SH SOLE 0 0 175 VANGUARD WORLD FDS INF TECH ETF 92204A702 774 2159 SH SOLE 0 0 2159 VICTORY PORTFOLIOS II VCSHS US 500 VOL 92647N766 205 3050 SH SOLE 0 0 3050 VISA INC COM CL A 92826C839 266 1258 SH SOLE 0 0 1258 WALGREENS BOOTS ALLIANCE INC COM 931427108 276 5035 SH SOLE 0 0 5035 WALMART INC COM 931142103 385 2832 SH SOLE 0 0 2832 WELLS FARGO CO NEW COM 949746101 417 10671 SH SOLE 0 0 10671 WELLTOWER INC COM 95040Q104 1400 19544 SH SOLE 0 0 19544