Oxbow Advisors, Llc
- Regulatory AUM
- $2.5B
- Discretionary
- $2.5B
- Clients
- 744
- Avg AUM / client
- $3.3M
- Accounts
- 1,782
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of Jun 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 347 | $256M | 10.4% |
| High net worth individuals | 341 | $1.7B | 70.6% |
| Pension and profit sharing plans | 3 | $13.6M | 0.55% |
| Charitable organizations | 7 | $53.7M | 2.18% |
| Other investment advisers | 1 | $7.2M | 0.29% |
| Corporations and other businesses | 45 | $396M | 16.1% |
People (12)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Theodore Oakley | Managing Member | CFP CFA | Oct 2007 (19y) | 50% – 75% |
| Kimmie Jo Mathis Doumis | Chief Compliance Officer | Mar 2012 (14y) | Less than 5% | |
| Courtney Gibson Bechtol | Director Of Operations | Feb 2014 (12y) | Less than 5% | |
| Barry Lloyd Brauchi | Director Of Investor Relations | CFP | Aug 2016 (10y) | Less than 5% |
| Oakley, William, Keys | Director Of Marketing | Oct 2016 (10y) | Less than 5% | |
| Chance Michael Finucane | Chief Investment Officer | CFA | Apr 2018 (8y) | 10% – 25% |
| Robert Elliott Walsh | Registered representative | Jun 2011 (15y) | ||
| Darla Chapman Ripley | Registered representative | Apr 2012 (14y) | ||
| Thomas Milton Crain | Registered representative | Mar 2014 (12y) | ||
| Dana Buttrey Croswhite | Registered representative | CFA | Mar 2015 (11y) | |
| Jonas Adam Mioen Dahlstrom | Registered representative | Jun 2024 (2y) | ||
| Ryan M. Leggett | Registered representative | Mar 2025 (1y) |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/19/2026 | 1.12 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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. Status: Final Sanction Detail: $200,000 DISGORGEMENT; $31,958.25 INTEREST; $90,000 CIVIL PENALTY Summary: DISGORGEMENT, INTEREST AND PENALTY PAYMENTS COMPLETED 11/2020.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $1.7B (70% of AUM) Jun 2026
- RBC $679M (28% of AUM) Jun 2026
- Wells Fargo $580M (30% of AUM) Oct 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 19, 2026.
View current Form ADV (SEC/IAPD) ↗