# OXBOW ADVISORS, LLC

OXBOW ADVISORS, LLC of AUSTIN, TX is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 156393
- Type: SEC-registered investment adviser
- SEC file number: 801-72387
- Location: 200 WEST 6TH STREET, SUITE 1920, AUSTIN, TX, 78701
- Phone: 512-386-1088
- Latest filing: 2026-06-19
- Regulatory AUM: $2.5B
- Discretionary AUM: $2.5B
- Clients: 13
- Accounts: 1,782

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Other

## Officers, owners & control persons (26)

_Showing 25 of 26 people._

| Name | Role | Location |
| --- | --- | --- |
| James Theodore Oakley | MANAGING MEMBER | — |
| Kimmie Jo Mathis-Doumis | CHIEF COMPLIANCE OFFICER | — |
| Barry Lloyd Brauchi | DIRECTOR OF INVESTOR RELATIONS | — |
| William Keys Oakley | DIRECTOR OF MARKETING | — |
| Chance Michael Finucane | CHIEF INVESTMENT OFFICER | — |
| Courtney Gibson Bechtol | DIRECTOR OF OPERATIONS | — |
| OAKLEY JAMES THEODORE | MANAGING MEMBER | — |
| DEUBEL-RAGAN ELIZABETH ANN | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| KING ROGER EARL | PRINCIPAL AND SENIOR MANAGING DIRECTOR | — |
| SWANSON PAT HENRY | DIRECTOR OF RESEARCH | — |
| MATHIS-DOUMIS KIMMIE JO | CHIEF COMPLIANCE OFFICER | — |
| PIERCE ALEXANDER WEBSTER | PARTNER; SHAREHOLDER | — |
| COHEN ERIK GLENN | SHAREHOLDER | — |
| NOEL ELLEN SUE | PARTNER; SHAREHOLDER | — |
| KEYS JOHN BLACKSHEAR | PARTNER; SHAREHOLDER | — |
| CRAIN THOMAS MILTON | PARTNER; SHAREHOLDER | — |
| GIBSON COURTNEY L | SHAREHOLDER | — |
| HORNSBY BEVERLY BAGGS | CHIEF COMPLIANCE OFFICER | — |
| POWELL RAY LEON | SHAREHOLDER | — |
| RAGAN ELIZABETH BLANCHARD | MANAGING DIRECTOR | — |
| BECHTOL COURTNEY GIBSON | DIRECTOR OF OPERATIONS; PARTNER; SHAREHOLDER | — |
| CROSWHITE DANA BUTTREY | PARTNER; SHAREHOLDER | — |
| LEVY JONATHAN LEO | SHAREHOLDER | — |
| BRAUCHI BARRY LLOYD | DIRECTOR OF INVESTOR RELATIONS | — |
| OAKLEY WILLIAM KEYS | DIRECTOR OF BUSINESS DEVELOPMENT; DIRECTOR OF MARKETING | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2018-12-04 | regulatory | THESE PROCEEDINGS ARISE OUT OF ALLEGED BREACHES OF FIDUCIARY DUTY BY OXBOW ADVISORS, LLC, A REGISTERED INVESTMENT ADVISER, IN CONNECTION WITH INADEQUATE DISCLOSURE OF ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES. | Final | $90K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/156393/brochure
- Similar advisers: https://search.stillhousedata.com/firm/156393/similar
- Related entities: https://search.stillhousedata.com/firm/156393/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/156393

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.