Wealth manager, independent · Austin, TX
Oxbow Advisors, LLC
SEC-registered investment adviser · CRD 156393 · SEC 801-72387
At a glance
Oxbow Advisors, LLC is an SEC-registered investment adviser based in Austin, Texas, with $2.5B in regulatory assets under management as of its Form ADV filed June 19, 2026. It reports 688 individual clients, 341 of them high-net-worth, holding an average of about $2.9 million each, and 13 employees. That ranks it 457th among the nation’s 5,657 independent wealth management RIAs and 24th of 367 in Texas. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and RBC.
Main office 512-386-1088oxbowadvisors.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.5B
- Rank among independent wealth managers
- #457 of 5,657
- Rank among all SEC RIAs
- #3,203 of 17,210
- Rank in Texas
- #24 of 367
- Individual clients
- 688
- High-net-worth clients
- 341
- Accounts
- 1,782
- Discretionary
- 100% of AUM
- Employees
- 13
- Advisory staff
- 10
- Offices
- 3
Owners and executives on its Form ADV
- James Theodore OakleyManaging Member
- Kimmie J. Mathis-DoumisChief Compliance Officer
- Barry L. BrauchiDirector of Investor Relations
- William K. OakleyDirector of Marketing
- Chance M. FinucaneChief Investment Officer
- Courtney G. BechtolDirector of Operations
Custody and brokerage
Broker-dealer
Hybrid RIA
Oxbow Advisors, LLC is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Herndon Plant Oakley LTD.
- Herndon Plant Oakley LTD ↗CRD 44971
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 341 | $1.7B | 71% |
| Corporations or other businesses | 45 | $396M | 16% |
| Individuals | 347 | $256M | 10% |
| Charitable organizations | 7 | $54M | 2% |
| Pension and profit sharing plans | 3 | $14M | <1% |
| Other investment advisers | 1 | $7M | <1% |
Disciplinary disclosures
Oxbow Advisors, LLC answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗oxbowadvisors.com ↗
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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, ten years of filings
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- 6 namedLocked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Texas
All of Texas →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Titleist Asset Management, LLCSAN Antonio | $2.8B | 2,103 |
| Icon Wealth PartnersHouston | $2.6B | 617 |
| Warwick PartnersBryan | $2.5B | 253 |
| Requisite Capital Management LLCDallas | $2.4B | 218 |
| Beaird HarrisDallas | $2.3B | 793 |
| Sather Financial Group, Inc.Victoria | $2.3B | 448 |
Background
Questions
How much does Oxbow Advisors, LLC manage?
Oxbow Advisors, LLC reports $2.5B in regulatory assets under management across 1,782 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 19, 2026.
How many clients does Oxbow Advisors, LLC have?
It reports 688 individual clients: 341 high-net-worth individuals and 347 other individuals. Individuals account for about 81% of its regulatory assets.
Where is Oxbow Advisors, LLC headquartered?
Its main office is in Austin, Texas. It reports 3 offices in total and 13 employees, 10 of whom perform investment advisory functions.
How does Oxbow Advisors, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Oxbow Advisors, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and RBC. On Schedule D of its Form ADV filed June 19, 2026, it reports these amounts held: Charles Schwab ($1.7B); RBC ($679M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Oxbow Advisors, LLC a hybrid RIA with a broker-dealer?
Oxbow Advisors, LLC is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Herndon Plant Oakley LTD. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Oxbow Advisors, LLC a fiduciary?
As an SEC-registered investment adviser, Oxbow Advisors, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 6 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Oxbow Advisors, LLC’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 (2026-06-19), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →