Hedge Fund Database

OXBOW ADVISORS, LLC

Adviser information for OXBOW ADVISORS, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 11
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 5
Registered State Investment Advisers 9
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,527 $1.9B
Non-Discretionary 0 $0
Total 1,527 $1.9B

Clients

Type Number RAUM
Individuals 292 $167.4M
HNW Individuals 290 $1.4B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $11.8M
Charitable organizations 8 $54.8M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 41 $331.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 22.1M
Both for Same 0
Portfolio Manager to Program Sponsor
INVESTMENT MANAGEMENT SERVICES MORGAN STANLEY
PRIVATE ADVISOR NETWORK WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Identifiers

SEC RIA File Number 801-72387
SEC ERA File Number 801-72387
SEC CIK Numbers 1564770
SEC CRD Numbers 156393
Legal Entity Identifier None

Principal Office

500 WEST 5TH STREET, SUITE 1205
AUSTIN
TX
United States
Monday - Friday, 8 A.M. - 5 P.M.
Tel: 512-386-1088, Fax: 512-505-8145

Websites

twitter.com/oxbow_advisors www.linkedin.com/company/3163842/admin/feed/posts/ www.youtube.com/@oxbowadvisors www.oxbowadvisors.com www.linkedin.com/in/keys-oakley-353708a5/

Chief Compliance Officer

KIMMIE JO MATHIS-DOUMIS
CHIEF COMPLIANCE OFFICER
500 WEST 5TH STREET, SUITE 1205
AUSTIN
TX
United States
Tel: 512-386-1088
Fax: 512-505-8145
(Full email address available in API data)

Regulatory Contact

JAMES THEODORE OAKLEY
MANAGING MEMBER
500 WEST 5TH STREET, SUITE 1205
AUSTIN
TX
United States
Tel: 512-386-1088
Fax: 512-505-8145
(Full email address available in API data)

Industry Affiliates

HERNDON PLANT OAKLEY LTD Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
OAKLEY, JAMES, THEODORE Individual – MANAGING MEMBER 10/2007 > 75%
MATHIS-DOUMIS, KIMMIE, JO Individual – CHIEF COMPLIANCE OFFICER 05/2017 < 5%
BRAUCHI, BARRY, LLOYD Individual – DIRECTOR OF INVESTOR RELATIONS 08/2016 < 5%
OAKLEY, WILLIAM, KEYS Individual – DIRECTOR OF MARKETING 10/2016 < 5%
FINUCANE, CHANCE, MICHAEL Individual – CHIEF INVESTMENT OFFICER 04/2018 5-10%
BECHTOL, COURTNEY, GIBSON Individual – DIRECTOR OF OPERATIONS 07/2018 < 5%

No. Employees, Historic

20100201920202021202220232024202515 on 8/6/201915 on 8/7/201915 on 12/26/201913 on 3/25/202013 on 6/5/202013 on 6/5/202013 on 6/23/202013 on 6/24/202013 on 6/29/202013 on 12/22/202013 on 3/10/202113 on 3/22/202213 on 3/24/202213 on 12/12/202214 on 2/16/202314 on 2/22/202314 on 2/27/202314 on 2/27/202314 on 3/1/202313 on 4/11/202313 on 6/23/202313 on 6/26/202313 on 6/27/202311 on 7/19/202311 on 9/1/202311 on 3/21/202411 on 3/22/2024

RAUM, Historic

2B1B020192020202120222023202420251414727631 on 8/6/20191414727631 on 8/7/20191414727631 on 12/26/20191614640709 on 3/25/20201614640709 on 6/5/20201614640709 on 6/5/20201614640709 on 6/23/20201614640709 on 6/24/20201614640709 on 6/29/20201614640709 on 12/22/20201611704209 on 3/10/20211810215837 on 3/22/20221810215837 on 3/24/20221810215837 on 12/12/20221778335240 on 2/16/20231778335240 on 2/22/20231778335240 on 2/27/20231778335240 on 2/27/20231778335240 on 3/1/20231778335240 on 4/11/20231778335240 on 6/23/20231778335240 on 6/26/20231778335240 on 6/27/20231778335240 on 7/19/20231778335240 on 9/1/20231948085898 on 3/21/20241948085898 on 3/22/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251334 on 8/6/20191334 on 8/7/20191334 on 12/26/20191282 on 3/25/20201282 on 6/5/20201282 on 6/5/20201282 on 6/23/20201282 on 6/24/20201282 on 6/29/20201282 on 12/22/20201306 on 3/10/20211366 on 3/22/20221366 on 3/24/20221366 on 12/12/2022638 on 2/16/2023638 on 2/22/2023638 on 2/27/2023638 on 2/27/2023638 on 3/1/2023638 on 4/11/2023638 on 6/23/2023638 on 6/26/2023638 on 6/27/2023638 on 7/19/2023638 on 9/1/2023634 on 3/21/2024634 on 3/22/2024

Holdings

From latest 13F, filed August 6th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 358K 4K –
ABBOTT LABS COM 909K 9K –
ABBVIE INC COM 1M 7K –
ABRDN ASIA PACIFIC INCOME FU COM 491K 183K –
ABRDN TOTAL DYNAMIC DIVIDEND COM SH BEN INT 134K 16K –
ACCENTURE PLC IRELAND SHS CLASS A 7M 25K –
ADOBE INC COM 12M 22K –
ADVANCED MICRO DEVICES INC COM 440K 3K –
ADVENT CONV & INCOME FD COM 271K 23K –
AGNICO EAGLE MINES LTD COM 12M 177K –
ALAMOS GOLD INC NEW COM CL A 1M 82K –
ALPHABET INC CAP STK CL C 25M 136K –
ALPHABET INC CAP STK CL A 2M 12K –
ALPS ETF TR ALERIAN MLP 1M 21K –
AMAZON COM INC COM 2M 12K –
AMERICAN EXPRESS CO COM 852K 4K –
AMGEN INC COM 346K 1K –
ANGLOGOLD ASHANTI PLC COM SHS 345K 14K –
APPLE INC COM 25M 119K –
APPLIED MATLS INC COM 236K 1K –
ARES MANAGEMENT CORPORATION CL A COM STK 293K 2K –
ARROWMARK FINANCIAL CORP COM 203K 11K –
AUTOMATIC DATA PROCESSING IN COM 1M 6K –
B2GOLD CORP COM 210K 78K –
BANK AMERICA CORP 7.25%CNV PFD L 11M 9K –
BANK AMERICA CORP COM 680K 17K –
BARRICK GOLD CORP COM 1M 63K –
BERKSHIRE HATHAWAY INC DEL CL A 612K 1 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K –
BLACKSTONE INC COM 3M 27K –
BOOKING HOLDINGS INC COM 4M 921 –
BROADCOM INC COM 2M 2K –
CALAMOS CONV & HIGH INCOME F COM SHS 195K 18K –
CATERPILLAR INC COM 3M 8K –
CENTENE CORP DEL COM 4M 62K –
CHENIERE ENERGY INC COM NEW 4M 23K –
CHEVRON CORP NEW COM 2M 11K –
CHORD ENERGY CORPORATION COM NEW 327K 2K –
CISCO SYS INC COM 431K 9K –
CLEARBRIDGE MLP AND MIDSTRM COM 404K 9K –
CLEARBRIDGE MLP AND MIDSTRM COM 1M 33K –
CLOROX CO DEL COM 513K 4K –
COCA COLA CO COM 5M 79K –
COMCAST CORP NEW CL A 342K 9K –
CONOCOPHILLIPS COM 1M 10K –
COSTCO WHSL CORP NEW COM 2M 3K –
CVR PARTNERS LP COM 212K 3K –
DANAHER CORPORATION COM 231K 924 –
DELL TECHNOLOGIES INC CL C 538K 4K –
DIAMONDBACK ENERGY INC COM 929K 5K –
DOW INC COM 524K 10K –
DUPONT DE NEMOURS INC COM 424K 5K –
EASTGROUP PPTYS INC COM 230K 1K –
EATON VANCE SR FLTNG RTE TR COM 198K 15K –
EDISON INTL COM 2M 32K –
ELEVANCE HEALTH INC COM 6M 10K –
ELI LILLY & CO COM 947K 1K –
ENDEAVOUR SILVER CORP COM 51K 15K –
ENERGY TRANSFER L P COM UT LTD PTN 8M 486K –
ENTERGY CORP NEW COM 5M 43K –
ENTERPRISE PRODS PARTNERS L COM 40M 1M –
EOG RES INC COM 5M 39K –
EQT CORP COM 226K 6K –
EQUINOX GOLD CORP COM 123K 24K –
ETF SER SOLUTIONS DISTILLATE US 10M 198K –
ETF SER SOLUTIONS DISTILLATE SMLMD 528K 15K –
EXPEDIA GROUP INC COM NEW 4M 34K –
EXPRO GROUP HOLDINGS NV COM 738K 32K –
EXXON MOBIL CORP COM 10M 86K –
FIRST MAJESTIC SILVER CORP COM 206K 35K –
FIRST TR ABRDN GBL OPP INCM COM SHS 172K 27K –
FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 267K 2K –
FRANCO NEV CORP COM 2M 16K –
FREEPORT-MCMORAN INC CL B 348K 7K –
GALLAGHER ARTHUR J & CO COM 4M 14K –
GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 583K 130K –
GENERAL DYNAMICS CORP COM 452K 2K –
GENERAL MLS INC COM 523K 8K –
GILEAD SCIENCES INC COM 5M 72K –
GLOBAL X FDS GLOBAL X URANIUM 262K 9K –
GOLD FIELDS LTD SPONSORED ADR 585K 39K –
GOLDMAN SACHS GROUP INC COM 552K 1K –
GRAINGER W W INC COM 728K 807 –
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 532K 10K –
GSK PLC SPONSORED ADR 5M 136K –
HALLIBURTON CO COM 215K 6K –
HECLA MNG CO COM 90K 19K –
HOME DEPOT INC COM 857K 2K –
HONEYWELL INTL INC COM 385K 2K –
I-80 GOLD CORP COM 49K 46K –
INGERSOLL RAND INC COM 209K 2K –
INTERNATIONAL BUSINESS MACHS COM 860K 5K –
INTUIT COM 294K 447 –
INVESCO EXCH TRADED FD TR II PFD ETF 260K 22K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 5M 32K –
INVESCO QQQ TR UNIT SER 1 3M 5K –
ISHARES GOLD TR ISHARES NEW 42M 964K –
ISHARES SILVER TR ISHARES 8M 303K –
ISHARES TR RUSSELL 3000 ETF 650K 2K –
ISHARES TR MSCI INDIA ETF 527K 9K –
ISHARES TR RUS MD CP GR ETF 362K 3K –
ISHARES TR PFD AND INCM SEC 237K 8K –
ISHARES TR 20 YR TR BD ETF 305K 3K –
ISHARES TR MSCI UK ETF NEW 8M 225K –
ISHARES TR CORE S&P500 ETF 247K 452 –
ISHARES TR TRS FLT RT BD 85M 2M –
ISHARES TR JPMORGAN USD EMG 10M 118K –
ISHARES TR SELECT DIVID ETF 2M 18K –
ISHARES TR RUS 1000 GRW ETF 234K 641 –
ISHARES TR 1 3 YR TREAS BD 702K 9K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 6M 121K –
JACKSON FINANCIAL INC COM CL A 2M 22K –
JOHNSON & JOHNSON COM 6M 40K –
JPMORGAN CHASE & CO. COM 420K 2K –
KIMBERLY-CLARK CORP COM 6M 43K –
KINDER MORGAN INC DEL COM 9M 456K –
KINROSS GOLD CORP COM 188K 23K –
KRANESHARES TRUST CSI CHI INTERNET 474K 18K –
KROGER CO COM 984K 20K –
LINDE PLC SHS 400K 911 –
LOWES COS INC COM 7M 33K –
LULULEMON ATHLETICA INC COM 4M 13K –
MANAGED PORTFOLIO SERIES TORTOISE NRAM PI 7M 247K –
MARATHON PETE CORP COM 917K 5K –
MASCO CORP COM 3M 40K –
MASTERCARD INCORPORATED CL A 12M 27K –
MCDONALDS CORP COM 6M 24K –
MCKESSON CORP COM 444K 761 –
MERCADOLIBRE INC COM 743K 452 –
MERCK & CO INC COM 3M 23K –
MGIC INVT CORP WIS COM 539K 25K –
MICRON TECHNOLOGY INC COM 618K 5K –
MICROSOFT CORP COM 36M 80K –
MOLINA HEALTHCARE INC COM 2M 7K –
MOODYS CORP COM 9M 20K –
MOSAIC CO NEW COM 4M 124K –
MOTOROLA SOLUTIONS INC COM NEW 1M 3K –
MPLX LP COM UNIT REP LTD 17M 402K –
NETFLIX INC COM 402K 595 –
NEW GOLD INC CDA COM 531K 272K –
NEWMONT CORP COM 6M 149K –
NOVARTIS AG SPONSORED ADR 3M 26K –
NOVO-NORDISK A S ADR 323K 2K –
NRG ENERGY INC COM NEW 370K 5K –
NUTRIEN LTD COM 4M 71K –
NUVEEN AMT FREE MUN CR INC F COM 505K 41K –
NUVEEN MUN VALUE FD INC COM 128K 15K –
NVIDIA CORPORATION COM 2M 15K –
OCCIDENTAL PETE CORP COM 222K 4K –
ONEOK INC NEW COM 967K 12K –
ORACLE CORP COM 376K 3K –
OREILLY AUTOMOTIVE INC COM 9M 9K –
PAN AMERN SILVER CORP COM 231K 12K –
PEPSICO INC COM 1M 9K –
PINNACLE FINL PARTNERS INC COM 912K 11K –
PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 2M 116K –
PLAINS GP HLDGS L P LTD PARTNR INT A 12M 662K –
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR 2M 35K –
PROCTER AND GAMBLE CO COM 2M 10K –
PROSHARES TR S&P 500 DV ARIST 226K 2K –
PROSHARES TR SHORT QQQ 433K 11K –
PROSHARES TR SHORT S&P 500 NE 475K 42K –
PROSHARES TR II VIX MDTRM FUTR N 166K 12K –
PUBLIC STORAGE OPER CO COM 344K 1K –
PUBLIC SVC ENTERPRISE GRP IN COM 5M 69K –
RBB FD INC US TREAS 3 MNTH 70M 1M –
REPUBLIC SVCS INC COM 683K 4K –
RESMED INC COM 2M 12K –
ROYAL GOLD INC COM 14M 112K –
SABINE RTY TR UNIT BEN INT 267K 4K –
SANDSTORM GOLD LTD COM NEW 112K 21K –
SANOFI SPONSORED ADR 5M 100K –
SEABRIDGE GOLD INC COM 141K 10K –
SERVICENOW INC COM 9M 12K –
SHELL PLC SPON ADS 869K 12K –
SHERWIN WILLIAMS CO COM 206K 690 –
SILVERCREST METALS INC COM 557K 68K –
SITIO ROYALTIES CORP CLASS A COM 511K 22K –
SOUTHERN COPPER CORP COM 435K 4K –
SOUTHWESTERN ENERGY CO COM 304K 45K –
SPDR GOLD TR GOLD SHS 6M 27K –
SPDR S&P 500 ETF TR TR UNIT 2M 4K –
SPDR SER TR S&P BIOTECH 431K 5K –
SPDR SER TR S&P OILGAS EXP 259K 2K –
SPROTT PHYSICAL GOLD & SILVE TR UNIT 218K 10K –
SPROTT PHYSICAL GOLD TR UNIT 360K 20K –
SPROTT PHYSICAL SILVER TR TR UNIT 408K 41K –
SSR MINING IN COM 159K 35K –
STELLAR BANCORP INC COM 651K 28K –
SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 214K 11K –
SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 462K 8K –
SYSCO CORP COM 685K 10K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 757K 4K –
TC ENERGY CORP COM 294K 8K –
TEXAS PACIFIC LAND CORPORATI COM 350K 477 –
THE CIGNA GROUP COM 5M 16K –
TJX COS INC NEW COM 272K 2K –
TRANE TECHNOLOGIES PLC SHS 378K 1K –
UBER TECHNOLOGIES INC COM 548K 8K –
UGI CORP NEW COM 5M 216K –
UNILEVER PLC SPON ADR NEW 7M 126K –
UNION PAC CORP COM 209K 924 –
UNITEDHEALTH GROUP INC COM 216K 424 –
VALERO ENERGY CORP COM 334K 2K –
VANECK ETF TRUST GOLD MINERS ETF 3M 84K –
VANECK ETF TRUST JUNIOR GOLD MINE 3M 64K –
VANGUARD INDEX FDS MCAP VL IDXVIP 387K 3K –
VANGUARD INDEX FDS MID CAP ETF 823K 3K –
VANGUARD INDEX FDS S&P 500 ETF SHS 2M 4K –
VANGUARD INDEX FDS SMALL CP ETF 1M 5K –
VANGUARD INDEX FDS TOTAL STK MKT 2M 8K –
VANGUARD INDEX FDS LARGE CAP ETF 312K 1K –
VANGUARD INDEX FDS GROWTH ETF 481K 1K –
VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 368K 1K –
VANGUARD WORLD FD MEGA GRWTH IND 2M 5K –
VANGUARD WORLD FD EXTENDED DUR 26M 357K –
VENTAS INC COM 1M 22K –
VIRTUS CONVERTIBLE & INCOME COM 75K 23K –
VISA INC COM CL A 11M 41K –
VITESSE ENERGY INC COMMON STOCK 605K 26K –
VIZSLA SILVER CORP COM NEW 110K 62K –
VOYA EMERGING MKTS HIGH DIVI COM 105K 20K –
WALMART INC COM 1M 20K –
WASTE MGMT INC DEL COM 2M 8K –
WELLS FARGO CO NEW PERP PFD CNV A 16M 13K –
WELLS FARGO CO NEW COM 210K 4K –
WHEATON PRECIOUS METALS CORP COM 530K 10K –
WILLIAMS COS INC COM 12M 279K –
YUM BRANDS INC COM 259K 2K –
ZOETIS INC CL A 541K 3K –