OXBOW ADVISORS, LLC of AUSTIN, TX is an SEC-registered investment adviser (CRD 156393). Regulatory assets under management: $2.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Other.
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 | — |
| 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 |
| City | State | Employees | Phone |
|---|---|---|---|
| CORPUS CHRISTI | TX | 2 | 361-692-1296 |
| HOUSTON | TX | 2 | 713-961-0462 |