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.
SEC-registered adviser
Oxford Finance Advisors, LLC
Latest filing Aug 27, 2026
First filing on the tape Jun 22, 2022 · 12 filings
SEC status approved since Jul 22, 2022
RAUM
$2.4B
reported, Item 5.F
Discretionary
100%
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
84
80 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
4
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.4B as of Aug 27, 2026
Mar 16, 2023$996M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 27, 2026
Mar 16, 20230 then
Employees (5.A)84 as of Aug 27, 2026
Mar 16, 202373 then
Private funds4 as of Aug 27, 2026
Mar 16, 20233 then
RAUM +50% over the last fiscal year+34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 27, 2026; 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
- $602MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +50%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.4B, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Oxford Finance Credit Fund III LP | Hedge Fund | $673M | 2 | Jun 22, 2022 |
| Oxford Finance Credit Fund II LP | Hedge Fund | $349M | 3 | Jun 22, 2022 |
| Oxford Finance Credit Fund I LP | Hedge Fund | $212M | 1 | Jun 17, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Hastings Colette Featherly · Senior Vice Presidentcontrolsince 03/2019 · owns less than 5%
- Morris Joshua Friedman · Vice President & Chief Financial Officercontrolsince 06/2019 · owns less than 5%
- Strickler Hans Houser · Senior Vice President & Chief Credit Officercontrolsince 03/2019 · owns less than 5%
- Arthur Timothy Lex · Executive Vice President & Chief Operating Officercontrolsince 03/2019 · owns less than 5%
- Alden John Philbrick · President & Chief Executive Officercontrolsince 03/2019 · owns less than 5%
- Nmn Michael Gontar · Managercontrolsince 11/2016 · owns F of Oxford Holdco LLC
- Nmn Michael Gontar · Membercontrolsince 11/2016 · owns 25% to 50% of Wcp Oxford Ventures LLC
- Arthur Timothy Lex · Managercontrolsince 11/2016 · owns F of Oxford Holdco LLC
- A John Philbrick · Managercontrolsince 11/2016 · owns F of Oxford Holdco LLC
- Alden John Philbrick · Membercontrolsince 11/2016 · owns 25% to 50% of Oxford Finance Partners LLC
- Nmn Stanislav Tenenbayev · Managercontrolsince 11/2016 · owns F of Oxford Holdco LLC
- Winthrop Robert Toan · Managercontrolsince 11/2016 · owns F of Wcp Oxford Ventures LLC
- Winthrop Robert Toan · Managercontrolsince 11/2016 · owns F of Oxford Holdco LLC
- Kate Tracy Abbott · Chief Compliance Officersince 08/2023 · owns less than 5%
Entity owners
- Oxford Finance LLC · Sole Memberdirect · owns 75% or more
- Oxford Finance Partners LLC · Memberindirect · owns 25% to 50% of Oxford Holdco LLC
- Oxford Holdco LLC · Sole Memberindirect · owns 75% or more of Oxford Finance LLC
- Wcp Oxford Ventures LLC · Memberindirect · owns 50% to 75% of Oxford Holdco LLC
Related persons
Schedule D 7.A
- Intervest Capital Partners LLCinvestment advisernRAUM $689M
- Oxford Finance Credit Gp I, LLCpooled vehicle sponsorn
- Oxford Finance Credit Gp II, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA23 employees
- San Mateo, CA4 employees
- Short Hills, NJ3 employees
- Los Angeles, CA2 employees
- Avon, CT1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Private funds · 3 to 4Mar 27, 2026 to Aug 27, 2026
- Advisory employees · 76 to 80Dec 1, 2025 to Mar 27, 2026
- Assets in custody · $1.6B to $2.4BDec 1, 2025 to Mar 27, 2026
- Employees · 80 to 84Dec 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.6B to $2.4BDec 1, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.6B to $2.2BDec 1, 2025 to Mar 27, 2026
- RAUM · $1.6B to $2.4BDec 1, 2025 to Mar 27, 2026
- Financial planning clients · unset to Apr 16, 2025 to May 12, 2025
- Accounts · 3 to 4Apr 29, 2024 to Apr 16, 2025
- Assets in custody · $1.2B to $1.6BApr 29, 2024 to Apr 16, 2025
- Other offices · 7 to 9Apr 29, 2024 to Apr 16, 2025
- Discretionary RAUM · $1.2B to $1.6BApr 29, 2024 to Apr 16, 2025
- Pooled vehicle RAUM · $1.2B to $1.6BApr 29, 2024 to Apr 16, 2025
- RAUM · $1.2B to $1.6BApr 29, 2024 to Apr 16, 2025
- Other offices · 8 to 7Apr 24, 2024 to Apr 29, 2024
- Advisory employees · 68 to 76Aug 11, 2023 to Mar 22, 2024
- Assets in custody · $996M to $1.2BAug 11, 2023 to Mar 22, 2024
- Employees · 73 to 80Aug 11, 2023 to Mar 22, 2024
- Discretionary RAUM · $996M to $1.2BAug 11, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $996M to $1.2BAug 11, 2023 to Mar 22, 2024
- RAUM · $996M to $1.2BAug 11, 2023 to Mar 22, 2024
- Advisory employees · 65 to 68Jun 27, 2022 to Mar 16, 2023
- Assets in custody · $660M to $996MJun 27, 2022 to Mar 16, 2023
- Employees · 70 to 73Jun 27, 2022 to Mar 16, 2023
- Discretionary RAUM · $660M to $996MJun 27, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $660M to $996MJun 27, 2022 to Mar 16, 2023
- RAUM · $660M to $996MJun 27, 2022 to Mar 16, 2023
- Private funds · 6 to 3Jun 22, 2022 to Jun 27, 2022
Signals
4 dated events
- Oxford Finance Advisors, Llc reported RAUM $2.4B, up 50% from $1.6B (2025-12-01 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Oxford Finance Advisors, Llc reported RAUM $1.6B, up 30% from $1.2B (2024-04-29 to 2025-04-16)Apr 16, 2025 · RAUM change · derived
- Oxford Finance Advisors, Llc reported RAUM $995.6M, up 51% from $659.9M (2022-06-27 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- Oxford Finance Advisors, Llc filed its initial SEC registration (Form ADV)Jun 22, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Oxford Finance Advisors, LLC · Private Equityshared crd · organization
- Oxford Finance Advisors, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 703-519-4900reportedpublic record, Form ADV, Aug 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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