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RIA / WealthAdvisor18 years in industry

RICHARD L OXFORD

Advisor at DUTCH ASSET CORPORATION

SELKIRK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 15, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: DUTCH ASSET CORPORATION
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 9, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S65
First exam: Dec 9, 2007
First registration: Jan 15, 2008
Dual registered: no
Other names: RICK OXFORD
IAPD individual key: 5475549

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
DUTCH ASSET CORPORATION	Independent wealth	Feb 26, 2016	n/a	yes	SELKIRK, NY	Current employment
SOWELL MANAGEMENT	Independent wealth	May 29, 2014	Dec 18, 2015	no	PHOENIX, AZ\|NORTH LITTLE ROCK, AR	Previous registration
PRIVATE CLIENT GROUP	Former SEC adviser	Jul 1, 2013	May 16, 2014	no	SCOTTSDALE, AZ	Previous registration
PRIVATE CLIENT LLC	Former SEC adviser	Apr 11, 2013	Sep 3, 2013	no	SCOTTSDALE, AZ	Previous registration
PRIVATE CLIENT LLC	Former SEC adviser	Jun 9, 2010	Jun 14, 2012	no	SCOTTSDALE, AZ	Previous registration
PENSION PROTECTION ADVISORS, LLC	n/a	Oct 9, 2008	Apr 26, 2010	no	SUN CITY, AZ	Previous registration
INTEGRITY ALLIANCE, LLC	Bd affiliated wealth	Jan 15, 2008	Nov 17, 2008	no	PHOENIX, AZ\|Urbandale, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SOWELL MANAGEMENT	DUTCH ASSET CORPORATION	Dec 18, 2015	Feb 26, 2016	70	Firm change	Other
PRIVATE CLIENT GROUP	SOWELL MANAGEMENT	May 16, 2014	May 29, 2014	13	Firm change	Other
PRIVATE CLIENT LLC	PRIVATE CLIENT GROUP	Sep 3, 2013	Jul 1, 2013	-64	Channel change	Other
PENSION PROTECTION ADVISORS, LLC	PRIVATE CLIENT LLC	Apr 26, 2010	Jun 9, 2010	44	Firm change	Other
INTEGRITY ALLIANCE, LLC	PENSION PROTECTION ADVISORS, LLC	Nov 17, 2008	Oct 9, 2008	-39	Firm change after gap	Other

Relationships

Registered with (6)

→ DUTCH ASSET CORPORATIONRegistered adviserregistration: current employment
Feb 26, 2016 to presentfactForm ADV
→ SOWELL MANAGEMENTRegistered adviserregistration: previous registration
May 29, 2014 to Dec 18, 2015factForm ADV
→ PRIVATE CLIENT GROUPRegistered adviserregistration: previous registration
Jul 1, 2013 to May 16, 2014factForm ADV
→ PRIVATE CLIENT LLCRegistered adviserregistration: previous registration
Apr 11, 2013 to Sep 3, 2013factForm ADV
→ PENSION PROTECTION ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 9, 2008 to Apr 26, 2010factForm ADV
→ INTEGRITY ALLIANCE, LLCRegistered adviserregistration: previous registration
Jan 15, 2008 to Nov 17, 2008factForm ADV

Dated events

No dated event names this entity yet.