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BF

Barton C. Francis

OXFORD FINANCIAL GROUP, LTD
PALM BEACH, FL 33480
Some features on this profile are disabled
CRD#: 4520663
BF

Professional summary

Barton Craig Francis, CFP®, CIMA®, who also goes by Barton Francis, is a registered financial advisor currently at OXFORD FINANCIAL GROUP, LTD located in Palm Beach, Florida.

Barton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Barton has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Barton Francis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barton Craig Francis's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1989

CIMA®

Certified Investment Management Analyst

Experience

Current

May 11, 2023 - Present

OXFORD FINANCIAL GROUP, LTD

Office #1: 231 Royal Palm Way Suite 301, Palm Beach, FL 33480
RIA
CRD#: 105303
PALM BEACH, FL
Past

April 9, 2010 - March 1, 2023

BESSEMER INVESTOR SERVICES, INC.

BD
CRD#: 17442
STUART, FL
Past

October 23, 2009 - March 16, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PALM BEACH, FL
Past

October 23, 2009 - March 16, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PALM BEACH, FL
Past

April 9, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
PALM BEACH, FL
Past

March 19, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
PALM BEACH, FL
Past

July 13, 2004 - July 20, 2007

PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC

RIA
CRD#: 110974
WASHINGTON, DC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OF
OXFORD FINANCIAL GROUP, LTD
FAMILY OFFICE SERVICES OF OXFORD | THE OXFORD GROUP, LTD | THE OXFORD FAMILY OFFICE | PHILANTHROPIC COUNSEL OF OXFORD | OXFORD WEALTH ADVISORS | OXFORD GROUP, LTD | OXFORD GROUP LTD | OXFORD FINANCIAL GROUP, LTD. LLC | OXFORD FINANCIAL GROUP, LTD | OXFORD FINANCIAL ADVISORS CORPORATION | OXFORD FINANCIAL ADVISORS | INVESTMENT SERVICES OF OXFORD

CRD#: 105303 / SEC#: 801-20692

RIA
Registered Investment Advisory firm - (2/7/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Florida
(5/11/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/7/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/2008
General Securities Representative Examination

Current Firm

OF
OXFORD FINANCIAL GROUP, LTD
FAMILY OFFICE SERVICES OF OXFORD | THE OXFORD GROUP, LTD | THE OXFORD FAMILY OFFICE | PHILANTHROPIC COUNSEL OF OXFORD | OXFORD WEALTH ADVISORS | OXFORD GROUP, LTD | OXFORD GROUP LTD | OXFORD FINANCIAL GROUP, LTD. LLC | OXFORD FINANCIAL GROUP, LTD | OXFORD FINANCIAL ADVISORS CORPORATION | OXFORD FINANCIAL ADVISORS | INVESTMENT SERVICES OF OXFORD

CRD#: 105303 / SEC#: 801-20692

RIA
Registered Investment Advisory firm - (2/7/1984 Approved)
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Contact information

Main Address
11711 North Meridian Street Suite 600, Carmel, IN 46032
Mailing Address
P. O. Box 80238, Indianapolis, IN 46280-0238
Phone number
(317) 843-5678
Established
Firm type
Fiscal year end
# of Employees
154

SEC notice filing (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OXFORD FINANCIAL GROUP LTD. FORM ADV PART 2A JUNE 2025 (6/25/2025)

Regulatory assets under management

Total Number of Accounts6,467
AUM (Assets Under Management)$ 19,650,381,670

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/16/2025
Cover Page
Report
03/28/2025
Cover Page
Report
03/15/2024
Cover Page
Report
03/24/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

OXFORD FINANCIAL GROUP, LTD

CRD#: 105303Palm Beach, FL 33480

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