Brock R. Oxford

SPYGLASS INVESTMENT MANAGEMENT

Terre Haute, IN 47802

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CRD#: 7556392

Professional summary

Brock R Oxford is a registered financial advisor currently at SPYGLASS INVESTMENT MANAGEMENT located in Terre Haute, Indiana.

Brock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Brock has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Brock R 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

June 3, 2022 - Present

SPYGLASS INVESTMENT MANAGEMENT

Office #1: 1205 South 3rd St, Terre Haute, IN 47802

RIA

CRD#: 122594

Terre Haute, IN

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".

SPYGLASS INVESTMENT MANAGEMENT

SPYGLASS INVESTMENT MANAGEMENT | SPYGLASS INVESTMENT MANAGEMENT CORPORATION

CRD#: 122594 / SEC#: 801-133745

RIA

Registered Investment Advisory firm - (6/23/2025 Approved)

Florida

Registered Investment Advisory firm - (7/9/2025 Terminated)

Illinois

Registered Investment Advisory firm - (7/9/2025 Terminated)

Indiana

Registered Investment Advisory firm - (7/15/2025 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

Indiana
(6/3/2022)

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: 6/3/2022

Uniform Investment Adviser Law Examination

Current Firm

SPYGLASS INVESTMENT MANAGEMENT

SPYGLASS INVESTMENT MANAGEMENT | SPYGLASS INVESTMENT MANAGEMENT CORPORATION

CRD#: 122594 / SEC#: 801-133745

RIA

Registered Investment Advisory firm - (6/23/2025 Approved)

Florida

Registered Investment Advisory firm - (7/9/2025 Terminated)

Illinois

Registered Investment Advisory firm - (7/9/2025 Terminated)

Indiana

Registered Investment Advisory firm - (7/15/2025 Terminated)

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Contact information

Main Address

1205 South 3rd St, Terre Haute, IN 47802

Mailing Address

Phone number

(812) 238-8484

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	749
AUM (Assets Under Management)	$ 140,011,446

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.

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Brock R. Oxford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock R Oxford's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPYGLASS INVESTMENT MANAGEMENT

Primary Firm SEC Registration

SPYGLASS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/2022

Current Firm

SPYGLASS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

SPYGLASS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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