Asset manager · Indianapolis, IN
Oxford Harriman Private Wealth Management
Oxford Harriman Holdings ADV LLC · SEC-registered investment adviser · CRD 340313 · SEC 801-135797
At a glance
Oxford Harriman Private Wealth Management is an SEC-registered investment adviser based in Indianapolis, Indiana, with $0 in regulatory assets under management as of its Form ADV filed September 23, 2026. By Form ADV it is a asset manager, ranked 2,872nd of 3,218 asset managers and 16,857th of 17,210 SEC-registered advisers by assets.
Main office 317-581-4003LinkedInAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among asset managers
- #2,872 of 3,218
- Rank among all SEC RIAs
- #16,857 of 17,210
- Rank in Indiana
- #145 of 146
- Clients
- 0
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 4
- Advisory staff
- 1
- Offices
- 2
Owners and executives on its Form ADV
- Dennis P. BarbaFounder and Chairman
- Monica Ann ColesChief Compliance Officer, President
Custody and brokerage
Custodian
Oxford Harriman Private Wealth Management’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Oxford Harriman Private Wealth Management is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed July 2026) names Thurston, Springer, Miller, Herd & Titak, Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services as the broker-dealer its advisers are registered with.
COMMISSIONABLE SECURITIES SALES Representatives of our firm may also be registered representatives are registered representatives of other broker/dealers, including Thurston, Springer, Miller, Herd & Titak, INC (“TSF”), member FINRA/SIPC.
Disciplinary disclosures
Oxford Harriman Private Wealth Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Oxford Harriman Private Wealth Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 626 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Oxford Harriman Private Wealth Management manage?
Oxford Harriman Private Wealth Management reports $0 in regulatory assets under management, on its Form ADV filed September 23, 2026.
What kind of firm is Oxford Harriman Private Wealth Management?
Oxford Harriman Private Wealth Management is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Does Oxford Harriman Private Wealth Management have any disciplinary history?
Oxford Harriman Private Wealth Management reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Oxford Harriman Private Wealth Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →