OXFORD FINANCE ADVISORS, LLC
Adviser information for OXFORD FINANCE ADVISORS, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 80 |
|---|---|
| Investment Advisory/Research | 76 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $1.2B |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $1.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $1.2B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 33 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesORIGINATION, LEVERAGE SOURCING AND ADMINISTRATION FEES |
Identifiers
| SEC RIA File Number | 801-126145 |
|---|---|
| SEC ERA File Number | 801-126145 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304433 |
| Legal Entity Identifier | None |
Principal Office
115 SOUTH UNION STREETSUITE 300
ALEXANDRIA
VA
United States
Monday - Friday, 9AM-5PM
Tel: 703-519-4900, Fax: None
Chief Compliance Officer
TRACY ABBOTT
115 SOUTH UNION STREET
SUITE 300
ALEXANDRIA
VA
United States
Tel:
518-256-1526
T***********@************M
(Full email address available in API data)
Regulatory Contact
JOSHUA FRIEDMAN
CHIEF FINANCIAL OFFICER
115 SOUTH UNION STREET
SUITE 300
ALEXANDRIA
VA
United States
Tel:
703-519-4900
J********@****************M
(Full email address available in API data)
Industry Affiliates
| INTERVEST CAPITAL PARTNERS INC. | Other investment adviser, including financial planners |
| OXFORD FINANCE CREDIT GP I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| OXFORD FINANCE CREDIT GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OXFORD FINANCE CREDIT FUND I LP | Hedge Fund | $211.9M | $50.0M | 1 |
| OXFORD FINANCE CREDIT FUND II LP | Hedge Fund | $349.3M | $50.0M | 3 |
| OXFORD FINANCE CREDIT FUND III LP | Hedge Fund | $673.3M | $50.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OXFORD HOLDCO LLC | Domestic Entity | OXFORD FINANCE LLC | SOLE MEMBER | 04/2011 | > 75% |
| OXFORD FINANCE LLC | Domestic Entity | – | SOLE MEMBER | 03/2019 | > 75% |
| WCP OXFORD VENTURES LLC | Domestic Entity | OXFORD HOLDCO LLC | MEMBER | 11/2016 | 50-75% |
| OXFORD FINANCE PARTNERS LLC | Domestic Entity | OXFORD HOLDCO LLC | MEMBER | 11/2016 | 25-50% |
| GONTAR, MICHAEL, NMN | Individual | WCP OXFORD VENTURES LLC | MEMBER | 11/2016 | 25-50% |
| PHILBRICK, JOHN, ALDEN | Individual | OXFORD FINANCE PARTNERS LLC | MEMBER | 11/2016 | 25-50% |
| PHILBRICK, JOHN, ALDEN | Individual | – | PRESIDENT & CHIEF EXECUTIVE OFFICER | 03/2019 | < 5% |
| LEX, TIMOTHY, ARTHUR | Individual | – | EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER | 03/2019 | < 5% |
| HOUSER, HANS, STRICKLER | Individual | – | SENIOR VICE PRESIDENT & CHIEF CREDIT OFFICER | 03/2019 | < 5% |
| FRIEDMAN, JOSHUA, MORRIS | Individual | – | VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 06/2019 | < 5% |
| FEATHERLY, COLETTE, HASTINGS | Individual | – | SENIOR VICE PRESIDENT | 03/2019 | < 5% |
| TENENBAYEV, STANISLAV, NMN | Individual | OXFORD HOLDCO LLC | MANAGER | 11/2016 | |
| TOAN, ROBERT, WINTHROP | Individual | OXFORD HOLDCO LLC | MANAGER | 11/2016 | |
| LEX, TIMOTHY, ARTHUR | Individual | OXFORD HOLDCO LLC | MANAGER | 11/2016 | |
| TOAN, ROBERT, WINTHROP | Individual | WCP OXFORD VENTURES LLC | MANAGER | 11/2016 | |
| GONTAR, MICHAEL, NMN | Individual | OXFORD HOLDCO LLC | MANAGER | 11/2016 | |
| PHILBRICK, JOHN, A | Individual | OXFORD HOLDCO LLC | MANAGER | 11/2016 | |
| ABBOTT, TRACY, KATE | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |