DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Oxford Investment Partners, LLC

Former SEC-registered adviserPhoenix, ArizonaCRD 124791SEC 801-61873IAPD
Latest filing Aug 31, 2012
First filing on the tape Dec 16, 2011 · 6 filings
RAUM
$224M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$224M as of Aug 31, 2012
Dec 16, 2011$250M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$575,097derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$6.0M, 11 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
389reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$6.0M for 11 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Suzanne Lori Clarke · Membercontrol
    since 06/2006 · owns 25% to 50%
  • Jerome Walter Clarke · President / Chief Compliance Officercontrol
    since 01/2003 · owns 25% to 50%
  • Louise Leah Lewis · Trusteecontrol
    since 03/2008 · owns 75% or more of The Leah L. Lewis Trust
  • Jane Beverly Clarke · Member
    since 04/2008 · owns less than 5%
Entity owners
  • The Leah L. Lewis Trust · Member
    indirect · owns 75% or more of Ll1, LLC
  • E. Capital, LLC · Member
    direct · owns less than 5%
  • Ll1, LLC · Member
    direct · owns 5% to 10%
  • Times Financial 2, LLC · Member
    direct · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 131 to 389
    Jan 9, 2012 to Mar 27, 2012
  • Assets in custody · $6.0M to $6.0M
    Jan 9, 2012 to Mar 27, 2012
  • Financial planning clients · 51-100 to 101-250
    Jan 9, 2012 to Mar 27, 2012
  • Discretionary RAUM · $247M to $213M
    Jan 9, 2012 to Mar 27, 2012
  • Non-discretionary RAUM · $3.0M to $10.6M
    Jan 9, 2012 to Mar 27, 2012
  • RAUM · $250M to $224M
    Jan 9, 2012 to Mar 27, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 16, 2011 to Jan 9, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026