Chief Operations and Risk Officer

0001398344-20-021900.txt : 20201112 0001398344-20-021900.hdr.sgml : 20201112 20201112092948 ACCESSION NUMBER: 0001398344-20-021900 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 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: 201303948 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 09-30-2020 09-30-2020 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 11-12-2020 0 184 619689 INFORMATION TABLE 2 fp0058373_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 447 4108 SH SOLE 0 0 4108 ABBVIE INC COM 00287Y109 450 5132 SH SOLE 0 0 5132 ABIOMED INC COM 003654100 2275 8210 SH SOLE 0 0 8210 ACCELERATE DIAGNOSTICS INC COM 00430H102 447 41917 SH SOLE 0 0 41917 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 244 1081 SH SOLE 0 0 1081 AIR TRANSPORT SERVICES GRP I COM 00922R105 348 13870 SH SOLE 0 0 13870 AKAMAI TECHNOLOGIES INC COM 00971T101 378 3418 SH SOLE 0 0 3418 AKEBIA THERAPEUTICS INC COM 00972D105 48 19006 SH SOLE 0 0 19006 ALPHABET INC CAP STK CL C 02079K107 930 633 SH SOLE 0 0 633 ALPHABET INC CAP STK CL A 02079K305 516 352 SH SOLE 0 0 352 AMAZON COM INC COM 023135106 1965 624 SH SOLE 0 0 624 AMERICAN ELEC PWR CO INC COM 025537101 690 8448 SH SOLE 0 0 8448 AMGEN INC COM 031162100 1314 5171 SH SOLE 0 0 5171 AON PLC SHS CL A G0403H108 981 4754 SH SOLE 0 0 4754 APPLE INC COM 037833100 8768 75712 SH SOLE 0 0 75712 ASPIRA WOMENS HEALTH INC COM 04537Y109 229 74281 SH SOLE 0 0 74281 ATMOS ENERGY CORP COM 049560105 285 2977 SH SOLE 0 0 2977 AUTOMATIC DATA PROCESSING IN COM 053015103 371 2662 SH SOLE 0 0 2662 BALL CORP COM 058498106 803 9664 SH SOLE 0 0 9664 BECTON DICKINSON & CO COM 075887109 258 1108 SH SOLE 0 0 1108 BERKSHIRE HATHAWAY INC DEL CL A 084670108 960 3 SH SOLE 0 0 3 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4698 22061 SH SOLE 0 0 22061 BOEING CO COM 097023105 283 1715 SH SOLE 0 0 1715 BOXLIGHT CORP COM CL A 103197109 70 43330 SH SOLE 0 0 43330 BP PLC SPONSORED ADR 055622104 178 10203 SH SOLE 0 0 10203 BRISTOL-MYERS SQUIBB CO COM 110122108 1165 19325 SH SOLE 0 0 19325 BRISTOL-MYERS SQUIBB CO RIGHT 99/99/9999 110122157 35 15538 SH SOLE 0 0 15538 CASTLE BIOSCIENCES INC COM 14843C105 4462 86720 SH SOLE 0 0 86720 CELANESE CORP DEL COM 150870103 309 2875 SH SOLE 0 0 2875 CERNER CORP COM 156782104 2209 30556 SH SOLE 0 0 30556 CHEVRON CORP NEW COM 166764100 932 12951 SH SOLE 0 0 12951 CISCO SYS INC COM 17275R102 277 7027 SH SOLE 0 0 7027 CLEARSIDE BIOMEDICAL INC COM 185063104 141 91824 SH SOLE 0 0 91824 COCA COLA CO COM 191216100 565 11449 SH SOLE 0 0 11449 COLGATE PALMOLIVE CO COM 194162103 322 4174 SH SOLE 0 0 4174 COMCAST CORP NEW CL A 20030N101 331 7163 SH SOLE 0 0 7163 CORCEPT THERAPEUTICS INC COM 218352102 5873 337436 SH SOLE 0 0 337436 CORMEDIX INC COM 21900C308 367 60905 SH SOLE 0 0 60905 CORNING INC COM 219350105 1150 35498 SH SOLE 0 0 35498 COSTCO WHSL CORP NEW COM 22160K105 1094 3083 SH SOLE 0 0 3083 DANAHER CORPORATION COM 235851102 390 1813 SH SOLE 0 0 1813 DEERE & CO COM 244199105 1012 4567 SH SOLE 0 0 4567 DIRTT ENVIRONMENTAL SOLUTION COM 25490H106 27 17100 SH SOLE 0 0 17100 DISNEY WALT CO COM DISNEY 254687106 1172 9444 SH SOLE 0 0 9444 DOMINOS PIZZA INC COM 25754A201 8506 20000 SH SOLE 0 0 20000 ELANCO ANIMAL HEALTH INC COM 28414H103 254 9077 SH SOLE 0 0 9077 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 835 153975 SH SOLE 0 0 153975 EQUIFAX INC COM 294429105 229 1462 SH SOLE 0 0 1462 EVERI HLDGS INC COM 30034T103 383 46420 SH SOLE 0 0 46420 EXXON MOBIL CORP COM 30231G102 892 25974 SH SOLE 0 0 25974 FACEBOOK INC CL A 30303M102 431 1647 SH SOLE 0 0 1647 FIFTH THIRD BANCORP COM 316773100 255 11977 SH SOLE 0 0 11977 FIRST MERCHANTS CORP COM 320817109 253 10908 SH SOLE 0 0 10908 FORD MTR CO DEL COM 345370860 77 11539 SH SOLE 0 0 11539 G1 THERAPEUTICS INC COM 3621LQ109 270 23416 SH SOLE 0 0 23416 GENERAL ELECTRIC CO COM 369604103 138 22228 SH SOLE 0 0 22228 HOME DEPOT INC COM 437076102 685 2467 SH SOLE 0 0 2467 HORIZON BANCORP INC COM 440407104 6315 625901 SH SOLE 0 0 625901 HORIZON THERAPEUTICS PUB L SHS G46188101 388 5000 SH SOLE 0 0 5000 INTEL CORP COM 458140100 427 8241 SH SOLE 0 0 8241 INTERNATIONAL BUSINESS MACHS COM 459200101 439 3609 SH SOLE 0 0 3609 INTUITIVE SURGICAL INC COM NEW 46120E602 73923 104185 SH SOLE 0 0 104185 INVESCO DB MULTI-SECTOR COMM OIL FD 46140H403 644 89506 SH SOLE 0 0 89506 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 847 4021 SH SOLE 0 0 4021 INVESCO EXCHANGE TRADED FD T RYMND JMS SB 1 46137V522 403 10120 SH SOLE 0 0 10120 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 72 350 SH SOLE 0 0 350 ISHARES INC CORE MSCI EMKT 46434G103 114 2154 SH SOLE 0 0 2154 ISHARES INC ESG AWR MSCI EM 46434G863 5287 148462 SH SOLE 0 0 148462 ISHARES TR CORE S&P TTL STK 464287150 1383 18320 SH SOLE 0 0 18320 ISHARES TR SELECT DIVID ETF 464287168 35 429 SH SOLE 0 0 429 ISHARES TR TIPS BD ETF 464287176 3289 25998 SH SOLE 0 0 25998 ISHARES TR CORE S&P500 ETF 464287200 29005 86308 SH SOLE 0 0 86308 ISHARES TR CORE US AGGBD ET 464287226 79 672 SH SOLE 0 0 672 ISHARES TR MSCI EMG MKT ETF 464287234 2395 54318 SH SOLE 0 0 54318 ISHARES TR S&P 500 GRWT ETF 464287309 369 1599 SH SOLE 0 0 1599 ISHARES TR S&P 500 VAL ETF 464287408 635 5648 SH SOLE 0 0 5648 ISHARES TR MSCI EAFE ETF 464287465 1249 19630 SH SOLE 0 0 19630 ISHARES TR RUS MDCP VAL ETF 464287473 346 4276 SH SOLE 0 0 4276 ISHARES TR RUS MD CP GR ETF 464287481 930 5380 SH SOLE 0 0 5380 ISHARES TR RUS MID CAP ETF 464287499 888 15472 SH SOLE 0 0 15472 ISHARES TR CORE S&P MCP ETF 464287507 756 4080 SH SOLE 0 0 4080 ISHARES TR RUS 1000 VAL ETF 464287598 6520 55195 SH SOLE 0 0 55195 ISHARES TR RUS 1000 GRW ETF 464287614 2047 9440 SH SOLE 0 0 9440 ISHARES TR RUS 1000 ETF 464287622 6238 33333 SH SOLE 0 0 33333 ISHARES TR RUS 2000 VAL ETF 464287630 36319 365642 SH SOLE 0 0 365642 ISHARES TR RUS 2000 GRW ETF 464287648 537 2425 SH SOLE 0 0 2425 ISHARES TR RUSSELL 2000 ETF 464287655 643 4292 SH SOLE 0 0 4292 ISHARES TR RUSSELL 3000 ETF 464287689 1210 6181 SH SOLE 0 0 6181 ISHARES TR CORE S&P SCP ETF 464287804 980 13958 SH SOLE 0 0 13958 ISHARES TR NATIONAL MUN ETF 464288414 996 8591 SH SOLE 0 0 8591 ISHARES TR PFD AND INCM SEC 464288687 11 300 SH SOLE 0 0 300 ISHARES TR MSCI USA ESG SLC 464288802 476 3239 SH SOLE 0 0 3239 ISHARES TR AGGRES ALLOC ETF 464289859 164 2823 SH SOLE 0 0 2823 ISHARES TR GRWT ALLOCAT ETF 464289867 2488 51358 SH SOLE 0 0 51358 ISHARES TR MSCI EAFE MIN VL 46429B689 117 1715 SH SOLE 0 0 1715 ISHARES TR MSCI USA MIN VOL 46429B697 403 6319 SH SOLE 0 0 6319 ISHARES TR MSCI USA MMENTM 46432F396 97378 660636 SH SOLE 0 0 660636 ISHARES TR CORE MSCI EAFE 46432F842 25 418 SH SOLE 0 0 418 ISHARES TR GLOBAL REIT ETF 46434V647 812 38607 SH SOLE 0 0 38607 JOHNSON & JOHNSON COM 478160104 1080 7256 SH SOLE 0 0 7256 JPMORGAN CHASE & CO COM 46625H100 3682 38245 SH SOLE 0 0 38245 KKR & CO INC COM 48251W104 749 21825 SH SOLE 0 0 21825 L BRANDS INC COM 501797104 380 11936 SH SOLE 0 0 11936 LEGGETT & PLATT INC COM 524660107 452 10968 SH SOLE 0 0 10968 LILLY ELI & CO COM 532457108 30824 208240 SH SOLE 0 0 208240 LOCKHEED MARTIN CORP COM 539830109 356 929 SH SOLE 0 0 929 LOWES COS INC COM 548661107 450 2712 SH SOLE 0 0 2712 MANAGED PORTFOLIO SERIES TORTOISE NRAM PI 56167N720 389 25995 SH SOLE 0 0 25995 MASIMO CORP COM 574795100 810 3430 SH SOLE 0 0 3430 MCDONALDS CORP COM 580135101 588 2681 SH SOLE 0 0 2681 MERCHANTS BANCORP IND COM 58844R108 320 16250 SH SOLE 0 0 16250 MERCK & CO. INC COM 58933Y105 448 5406 SH SOLE 0 0 5406 MICROSOFT CORP COM 594918104 2545 12100 SH SOLE 0 0 12100 MURPHY OIL CORP COM 626717102 94 10519 SH SOLE 0 0 10519 NEXTERA ENERGY INC COM 65339F101 915 3295 SH SOLE 0 0 3295 NIKE INC CL B 654106103 1983 15797 SH SOLE 0 0 15797 NISOURCE INC COM 65473P105 635 28884 SH SOLE 0 0 28884 NVIDIA CORPORATION COM 67066G104 378 698 SH SOLE 0 0 698 OLD NATL BANCORP IND COM 680033107 6583 524126 SH SOLE 0 0 524126 ORACLE CORP COM 68389X105 672 11249 SH SOLE 0 0 11249 PAYPAL HLDGS INC COM 70450Y103 681 3458 SH SOLE 0 0 3458 PEPSICO INC COM 713448108 888 6410 SH SOLE 0 0 6410 PHILIP MORRIS INTL INC COM 718172109 260 3472 SH SOLE 0 0 3472 PIMCO ETF TR INTER MUN BD ACT 72201R866 290 5160 SH SOLE 0 0 5160 PNC FINL SVCS GROUP INC COM 693475105 288 2623 SH SOLE 0 0 2623 PROCTER AND GAMBLE CO COM 742718109 2041 14687 SH SOLE 0 0 14687 PROGRESSIVE CORP COM 743315103 1394 14720 SH SOLE 0 0 14720 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 273 4976 SH SOLE 0 0 4976 QUINSTREET INC COM 74874Q100 463 29250 SH SOLE 0 0 29250 RAYMOND JAMES FINL INC COM 754730109 548 7533 SH SOLE 0 0 7533 RAYTHEON TECHNOLOGIES CORP COM 75513E101 249 4327 SH SOLE 0 0 4327 SALESFORCE COM INC COM 79466L302 849 3379 SH SOLE 0 0 3379 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 20 253 SH SOLE 0 0 253 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 373 4626 SH SOLE 0 0 4626 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 69 1008 SH SOLE 0 0 1008 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 8 289 SH SOLE 0 0 289 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 88 3714 SH SOLE 0 0 3714 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 182 7407 SH SOLE 0 0 7407 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 25025 646132 SH SOLE 0 0 646132 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 0 1 SH SOLE 0 0 1 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 130 4138 SH SOLE 0 0 4138 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4 42 SH SOLE 0 0 42 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 391 16235 SH SOLE 0 0 16235 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 58 750 SH SOLE 0 0 750 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 8 68 SH SOLE 0 0 68 SIMON PPTY GROUP INC NEW COM 828806109 336 5198 SH SOLE 0 0 5198 SOUTHERN COPPER CORP COM 84265V105 244 5389 SH SOLE 0 0 5389 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 501 1804 SH SOLE 0 0 1804 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 3324 88512 SH SOLE 0 0 88512 SPDR INDEX SHS FDS MSCI EAFE FS ETF 78470E106 854 12486 SH SOLE 0 0 12486 SPDR S&P 500 ETF TR TR UNIT 78462F103 11699 34935 SH SOLE 0 0 34935 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 985 2907 SH SOLE 0 0 2907 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 242 4902 SH SOLE 0 0 4902 STATE AUTO FINL CORP COM 855707105 219 15919 SH SOLE 0 0 15919 STONEX GROUP INC COM 861896108 484 9453 SH SOLE 0 0 9453 TARGET CORP COM 87612E106 802 5094 SH SOLE 0 0 5094 TESLA INC COM 88160R101 260 605 SH SOLE 0 0 605 TRUIST FINL CORP COM 89832Q109 241 6341 SH SOLE 0 0 6341 US BANCORP DEL COM NEW 902973304 676 18849 SH SOLE 0 0 18849 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 8 214 SH SOLE 0 0 214 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 15883 534054 SH SOLE 0 0 534054 VANECK VECTORS ETF TR AGRIBUSINESS ETF 92189F700 28 415 SH SOLE 0 0 415 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 7922 25751 SH SOLE 0 0 25751 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1521 19257 SH SOLE 0 0 19257 VANGUARD INDEX FDS MID CAP ETF 922908629 362 2053 SH SOLE 0 0 2053 VANGUARD INDEX FDS LARGE CAP ETF 922908637 164 1051 SH SOLE 0 0 1051 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 5282 40718 SH SOLE 0 0 40718 VANGUARD INDEX FDS GROWTH ETF 922908736 377 1657 SH SOLE 0 0 1657 VANGUARD INDEX FDS VALUE ETF 922908744 33850 323895 SH SOLE 0 0 323895 VANGUARD INDEX FDS SMALL CP ETF 922908751 770 5008 SH SOLE 0 0 5008 VANGUARD INDEX FDS TOTAL STK MKT 922908769 65917 387043 SH SOLE 0 0 387043 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 16223 201174 SH SOLE 0 0 201174 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1503 29788 SH SOLE 0 0 29788 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3068 70956 SH SOLE 0 0 70956 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1388 33933 SH SOLE 0 0 33933 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1042 12875 SH SOLE 0 0 12875 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 1195 15147 SH SOLE 0 0 15147 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 25 175 SH SOLE 0 0 175 VANGUARD WORLD FDS INF TECH ETF 92204A702 672 2159 SH SOLE 0 0 2159 VISA INC COM CL A 92826C839 208 1042 SH SOLE 0 0 1042 WALMART INC COM 931142103 397 2835 SH SOLE 0 0 2835 WELLS FARGO CO NEW COM 949746101 244 10382 SH SOLE 0 0 10382 WELLTOWER INC COM 95040Q104 1081 19625 SH SOLE 0 0 19625 ZIMMER BIOMET HOLDINGS INC COM 98956P102 216 1587 SH SOLE 0 0 1587