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RIA / WealthAdvisor19 years in industry

DANIEL KENNETH PHELPS

Advisor at OXFORD CAPITAL

WEST LAFAYETTE, IN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2006 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: OXFORD CAPITAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S65
First exam: Oct 23, 2006
First registration: Oct 24, 2006
Dual registered: no
IAPD individual key: 5033909

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
OXFORD CAPITAL	State registered	Sep 13, 2024	n/a	yes	WEST LAFAYETTE, IN	Current employment
SPANISH PEAKS CAPITAL MANAGEMENT	n/a	Jun 1, 2012	Nov 8, 2018	no	BIG SKY, MT	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Dec 18, 2009	Dec 2, 2011	no	CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Mar 14, 2008	Sep 30, 2009	no	CLINTON TOWNSHIP, MI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 24, 2006	Feb 1, 2008	no	BLOOMFIELD HILLS, MI	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
SPANISH PEAKS CAPITAL MANAGEMENT	OXFORD CAPITAL	Nov 8, 2018	Sep 13, 2024	2,136	Firm change after gap	Other
FIFTH THIRD SECURITIES, INC.	SPANISH PEAKS CAPITAL MANAGEMENT	Dec 2, 2011	Jun 1, 2012	182	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	FIFTH THIRD SECURITIES, INC.	Sep 30, 2009	Dec 18, 2009	79	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHASE INVESTMENT SERVICES CORP.	Feb 1, 2008	Mar 14, 2008	42	Firm change	Other

Relationships

Registered with (5)

→ OXFORD CAPITALRegistered adviserregistration: current employment
Sep 13, 2024 to presentfactForm ADV
→ SPANISH PEAKS CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Jun 1, 2012 to Nov 8, 2018factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Dec 18, 2009 to Dec 2, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Mar 14, 2008 to Sep 30, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 24, 2006 to Feb 1, 2008factForm ADV

Dated events

No dated event names this entity yet.