Richard L. Oxford

DUTCH ASSET

SELKIRK, NY 12158

Some features on this profile are disabled

CRD#: 5475549

Professional summary

Richard L Oxford, who also goes by Rick Oxford, is a registered financial advisor currently at DUTCH ASSET CORPORATION located in Selkirk, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Richard has worked at 6 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Oxford

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.

Dunlap Stone University. Small private, online university. I am a board member and a 10% owner. I devote less than 1hr/ month to this venture. PCG Insurance, LLC, dba Richard Oxford Financial. Fixed life and annuity sales. Commissioned fixed insurance products. Contracted with several major life insurance companies. RL Oxford Enterprises, LLC. Personal holding company for various transient business activities and real estate.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard L Oxford'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®

None

Experience

Current

February 26, 2016 - Present

DUTCH ASSET CORPORATION

Office #1: 113b Jericho Rd, Selkirk, NY 12158

RIA

CRD#: 170884

SELKIRK, NY

Past

May 29, 2014 - December 18, 2015

SOWELL MANAGEMENT

RIA

CRD#: 127145

PHOENIX, AZ

Past

July 1, 2013 - May 16, 2014

PRIVATE CLIENT GROUP

RIA

CRD#: 165178

SCOTTSDALE, AZ

Past

April 11, 2013 - September 3, 2013

PRIVATE CLIENT LLC

RIA

CRD#: 145678

SCOTTSDALE, AZ

Past

June 9, 2010 - June 14, 2012

PRIVATE CLIENT LLC

RIA

CRD#: 145678

SCOTTSDALE, AZ

Past

October 9, 2008 - April 26, 2010

PENSION PROTECTION ADVISORS, LLC

RIA

CRD#: 142632

SUN CITY, AZ

Past

January 15, 2008 - November 17, 2008

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

PHOENIX, AZ

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".

DUTCH ASSET CORPORATION

CRD#: 170884 / SEC#: 801-122087

RIA

Registered Investment Advisory firm - (8/16/2021 Approved)

Arizona

Registered Investment Advisory firm - (5/19/2022 Terminated)

Florida

Registered Investment Advisory firm - (5/19/2022 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

New York

Registered Investment Advisory firm - (5/19/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/19/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(2/26/2016)

IAR

New York
(6/3/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/2007

Uniform Investment Adviser Law Examination

Current Firm

DUTCH ASSET CORPORATION

CRD#: 170884 / SEC#: 801-122087

RIA

Registered Investment Advisory firm - (8/16/2021 Approved)

Arizona

Registered Investment Advisory firm - (5/19/2022 Terminated)

Florida

Registered Investment Advisory firm - (5/19/2022 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

New York

Registered Investment Advisory firm - (5/19/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/19/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

113b Jericho Rd, Selkirk, NY 12158

Mailing Address

Phone number

(518) 478-8077

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DUTCH ASSET CORPORATION DISCLOSURE BROCHURE (6/12/2025)

Regulatory assets under management

Total Number of Accounts	233
AUM (Assets Under Management)	$ 91,091,678

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.

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard L. Oxford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard L Oxford's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUTCH ASSET CORPORATION

SOWELL MANAGEMENT

PRIVATE CLIENT GROUP

PRIVATE CLIENT LLC

PRIVATE CLIENT LLC

PENSION PROTECTION ADVISORS, LLC

INTEGRITY ALLIANCE, LLC.

Primary Firm SEC Registration

DUTCH ASSET CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2007

Current Firm

DUTCH ASSET CORPORATION

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DUTCH ASSET CORPORATION

TRUST BUT VERIFY

Similar Advisors