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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

OXBOW ADVISORS, LLC

CRD 156393

AUSTIN, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e8cad2e6-6307-8023-e25a-8e4cc84f8794

Data as of Jun 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 4
On other graphs: 0
Observed: Mar 30, 2012 to Jun 19, 2026
77 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.81 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=6.0
Regulatory AUM: $2.5BItem 5.F on the latest filing (2026-06-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.5B
Private client RAUM: $2.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $246Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 13
Advisory employees: 10
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,782
Individual clients: 347
High net worth clients: 341
Custody, client assets: $546M
SEC number: 801-72387
CIK: 1564770
CRD: 156393
Filings on the tape: 77
First filed: Mar 30, 2012
Latest filed: Jun 19, 2026
Organised: Limited Liability Company, TX
Website: oxbowadvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES THEODORE OAKLEY	Certified Financial Planner\|Chartered Financial Analyst	AUSTIN, TX	15	47	n/a	yes
KIMMIE JO MATHIS-DOUMIS	n/a	AUSTIN, TX	14	24	2	no
DARLA CHAPMAN RIPLEY	n/a	AUSTIN, TX \| Dallas, TX	14	34	1	no
COURTNEY GIBSON BECHTOL	n/a	CORPUS CHRISTI, TX \| AUSTIN, TX	12	16	n/a	yes
THOMAS MILTON CRAIN	n/a	AUSTIN, TX \| Houston, TX	12	14	1	no
DANA BUTTREY CROSWHITE	Chartered Financial Analyst	Houston, TX \| AUSTIN, TX	11	29	1	no
BARRY LLOYD BRAUCHI	Certified Financial Planner	AUSTIN, TX	9	22	2	yes
CHANCE MICHAEL FINUCANE	Chartered Financial Analyst	AUSTIN, TX	8	15	n/a	no
Jonas Adam Mioen Dahlstrom	n/a	AUSTIN, TX	2	10	1	no
Ryan M. Leggett	n/a	AUSTIN, TX	1	14	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
OAKLEY, JAMES, THEODORE	MANAGING MEMBER	D	yes	10/2007	Mar 30, 2012	Oct 18, 2024
BECHTOL, COURTNEY, GIBSON	DIRECTOR OF OPERATIONS	Na	no	07/2018	Apr 23, 2015	Oct 18, 2024
BRAUCHI, BARRY, LLOYD	DIRECTOR OF INVESTOR RELATIONS	Na	no	08/2016	Mar 22, 2018	Oct 18, 2024
FINUCANE, CHANCE, MICHAEL	CHIEF INVESTMENT OFFICER	B	no	04/2018	May 15, 2018	Oct 18, 2024
MATHIS-DOUMIS, KIMMIE, JO	CHIEF COMPLIANCE OFFICER	Na	no	05/2017	May 22, 2017	Oct 18, 2024
OAKLEY, WILLIAM, KEYS	DIRECTOR OF MARKETING	Na	no	10/2016	Mar 22, 2018	Oct 18, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
HERNDON PLANT OAKLEY LTD	n/a	Former SEC adviser	$155M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CORPUS CHRISTI	TX	United States	2	yes
Houston	TX	United States	2	no
SAN ANTONIO	TX	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 20, 2026	$2.5B	$2.5B	13	10	2	n/a	n/a
2024	Apr 10, 2025	$2.1B	$2.1B	13	10	3	n/a	n/a
2023	Mar 21, 2024	$1.9B	$1.9B	11	8	3	n/a	n/a
2022	Feb 16, 2023	$1.8B	$1.8B	14	11	4	n/a	n/a
2021	Mar 22, 2022	$1.8B	$1.8B	13	10	4	n/a	n/a
2020	Mar 10, 2021	$1.6B	$1.6B	13	11	4	n/a	n/a
2019	Mar 25, 2020	$1.6B	$1.6B	13	11	4	n/a	n/a
2018	Mar 14, 2019	$1.4B	$1.4B	15	13	5	n/a	n/a
2017	Mar 22, 2018	$1.5B	$1.5B	16	11	5	n/a	n/a
2016	Mar 29, 2017	$1.4B	$1.4B	18	11	n/a	n/a	n/a
2015	Mar 30, 2016	$1.4B	$1.4B	12	10	n/a	n/a	n/a
2014	Mar 27, 2015	$1.3B	$1.3B	12	10	n/a	n/a	n/a
2013	Mar 31, 2014	$1.0B	$1.0B	9	5	n/a	n/a	n/a
2012	Mar 27, 2013	$973M	$973M	9	5	n/a	n/a	n/a
2011	Mar 30, 2012	$0	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	10.0%	0	0	0	2	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.5B	$2.1B	17.5%	$1.8B	11.5%	13	13	2	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BROWN ADVISORY	2	Aug 4, 2016	Aug 4, 2016	AUSTIN, TX	Team lift out	Other	16.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KING INVESTMENT ADVISORS, INC.	2	Nov 12, 2015	Mar 17, 2015	HOUSTON, TX	Team lift out	Other	66.7%
HERNDON PLANT OAKLEY LTD	3	Apr 23, 2015	Mar 7, 2014	CORPUS CHRISTI, TX	Firm absorbed	Other	60.0%

Relationships

Affiliated with (3)

← HERNDON PLANT OAKLEY LTDRegistered adviserother investment adviser, control, common control
factForm ADV
→ HERNDON PLANT OAKLEY LTDRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SPRINGWATER ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (18)

← Ryan M. LeggettAdvisorregistration: current employment
Mar 17, 2025 to presentfactForm ADV
← Jonas Adam Mioen DahlstromAdvisorregistration: current employment
Jun 26, 2024 to presentfactForm ADV
← CHANCE MICHAEL FINUCANEAdvisorregistration: current employment
Apr 26, 2018 to presentfactForm ADV
← BARRY LLOYD BRAUCHIAdvisorregistration: current employment
Sep 22, 2016 to presentfactForm ADV
← DANA BUTTREY CROSWHITEAdvisorregistration: current employment
Mar 17, 2015 to presentfactForm ADV
← THOMAS MILTON CRAINAdvisorregistration: current employment
Mar 7, 2014 to presentfactForm ADV
← COURTNEY GIBSON BECHTOLAdvisorregistration: current employment
Feb 24, 2014 to presentfactForm ADV
← DARLA CHAPMAN RIPLEYAdvisorregistration: current employment
Apr 30, 2012 to presentfactForm ADV
← KIMMIE JO MATHIS-DOUMISAdvisorregistration: current employment
Mar 8, 2012 to presentfactForm ADV
← JAMES THEODORE OAKLEYAdvisorregistration: current employment
Jun 13, 2011 to presentfactForm ADV
← Edward Scott BuddAdvisorregistration: previous registration
Sep 22, 2022 to Apr 28, 2026factForm ADV
← William Braden KoppAdvisorregistration: previous registration
Oct 19, 2021 to Jul 19, 2023factForm ADV
← ALEXANDER WEBSTER PIERCEAdvisorregistration: previous registration
Jun 8, 2011 to Jul 10, 2023factForm ADV
← BRENT STEVEN HOLTAdvisorregistration: previous registration
Sep 10, 2013 to Apr 11, 2023factForm ADV
← ROGER EARL KINGAdvisorregistration: previous registration
Mar 17, 2015 to Jul 5, 2017factForm ADV
← BRYAN WILKINSON LESTERAdvisorregistration: previous registration
Mar 17, 2015 to Jul 5, 2017factForm ADV
← ERIK GLENN COHENAdvisorregistration: previous registration
Dec 22, 2012 to Aug 4, 2016factForm ADV
← JONATHAN LEO LEVYAdvisorregistration: previous registration
Dec 14, 2013 to Aug 4, 2016factForm ADV

Owns (5)

← MATHIS-DOUMIS, KIMMIE, JOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 22, 2017 to Oct 18, 2024factForm ADV
← BRAUCHI, BARRY, LLOYDOwnerDIRECTOR OF INVESTOR RELATIONS, ownership code NA, individual
Mar 22, 2018 to Oct 18, 2024factForm ADV
← BECHTOL, COURTNEY, GIBSONOwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Apr 23, 2015 to Oct 18, 2024factForm ADV
← OAKLEY, WILLIAM, KEYSOwnerDIRECTOR OF MARKETING, ownership code NA, individual
Mar 22, 2018 to Oct 18, 2024factForm ADV
← FINUCANE, CHANCE, MICHAELOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
May 15, 2018 to Oct 18, 2024factForm ADV

Controls (1)

← OAKLEY, JAMES, THEODOREOwnerMANAGING MEMBER, ownership code D, individual
Mar 30, 2012 to Oct 18, 2024factForm ADV

Moved with (3)

→ BROWN ADVISORYRegistered adviser2 advisors, team lift out, same day
Aug 4, 2016 to Aug 4, 2016factForm ADV
← KING INVESTMENT ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Nov 12, 2015 to Mar 17, 2015factForm ADV
← HERNDON PLANT OAKLEY LTDRegistered adviser3 advisors, firm absorbed, same day
Apr 23, 2015 to Mar 7, 2014factForm ADV

Dated events

Occurred
Apr 28, 2026
Advisor changed firm
Edward Scott Budd left Oxbow Advisors, Llc for Meridian Wealth Advisors, Llc (registered 2026-04-30)
Form ADVobserved 4 days ago
Occurred
Jul 19, 2023
Advisor changed firm
William Braden Kopp left Oxbow Advisors, Llc for Sapient Capital Llc (registered 2023-09-11)
Form ADVobserved 4 days ago
Occurred
Jul 10, 2023
Advisor changed firm
Alexander Webster Pierce left Oxbow Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2023-09-26)
Form ADVobserved 4 days ago
Occurred
Apr 11, 2023
Advisor changed firm
Brent Steven Holt left Oxbow Advisors, Llc for Springwater Advisors, Llc (registered 2021-10-04)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8cad2e6-6307-8023-e25a-8e4cc84f8794
First observed: Mar 30, 2012
Last observed: Jun 19, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OXBOW ADVISORS, LLC

CRD 156393

AUSTIN, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e8cad2e6-6307-8023-e25a-8e4cc84f8794

Data as of Jun 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES THEODORE OAKLEY

Certified Financial Planner|Chartered Financial Analyst

AUSTIN, TX

n/a

yes

KIMMIE JO MATHIS-DOUMIS

n/a

AUSTIN, TX

DARLA CHAPMAN RIPLEY

n/a

AUSTIN, TX | Dallas, TX

COURTNEY GIBSON BECHTOL

n/a

CORPUS CHRISTI, TX | AUSTIN, TX

n/a

yes

THOMAS MILTON CRAIN

n/a

AUSTIN, TX | Houston, TX

DANA BUTTREY CROSWHITE

Chartered Financial Analyst

Houston, TX | AUSTIN, TX

BARRY LLOYD BRAUCHI

Certified Financial Planner

AUSTIN, TX

yes

CHANCE MICHAEL FINUCANE

Chartered Financial Analyst

AUSTIN, TX

n/a

Jonas Adam Mioen Dahlstrom

n/a

AUSTIN, TX

Ryan M. Leggett

n/a

AUSTIN, TX

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

OAKLEY, JAMES, THEODORE

MANAGING MEMBER

yes

10/2007

Mar 30, 2012

Oct 18, 2024

BECHTOL, COURTNEY, GIBSON

DIRECTOR OF OPERATIONS

07/2018

Apr 23, 2015

Oct 18, 2024

BRAUCHI, BARRY, LLOYD

DIRECTOR OF INVESTOR RELATIONS

08/2016

Mar 22, 2018

Oct 18, 2024

FINUCANE, CHANCE, MICHAEL

CHIEF INVESTMENT OFFICER

04/2018

May 15, 2018

Oct 18, 2024

MATHIS-DOUMIS, KIMMIE, JO

CHIEF COMPLIANCE OFFICER

05/2017

May 22, 2017

Oct 18, 2024

OAKLEY, WILLIAM, KEYS

DIRECTOR OF MARKETING

10/2016

Mar 22, 2018

Oct 18, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HERNDON PLANT OAKLEY LTD

n/a

Former SEC adviser

$155M

yes

n/a

City

State

Country

Employees

Also broker-dealer

CORPUS CHRISTI

United States

yes

Houston

United States

SAN ANTONIO

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 20, 2026

$2.5B

n/a

2024

Apr 10, 2025

$2.1B

n/a

2023

Mar 21, 2024

$1.9B

n/a

2022

Feb 16, 2023

$1.8B

n/a

2021

Mar 22, 2022

$1.8B

n/a

2020

Mar 10, 2021

$1.6B

n/a

2019

Mar 25, 2020

$1.6B

n/a

2018

Mar 14, 2019

$1.4B

n/a

2017

Mar 22, 2018

$1.5B

n/a

2016

Mar 29, 2017

$1.4B

n/a

2015

Mar 30, 2016

$1.4B

n/a

2014

Mar 27, 2015

$1.3B

n/a

2013

Mar 31, 2014

$1.0B

n/a

2012

Mar 27, 2013

$973M

n/a

2011

Mar 30, 2012

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

10.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.5B

$2.1B

17.5%

$1.8B

11.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BROWN ADVISORY

Aug 4, 2016

AUSTIN, TX

Team lift out

Other

16.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KING INVESTMENT ADVISORS, INC.

Nov 12, 2015

Mar 17, 2015

HOUSTON, TX

Team lift out

Other

66.7%

HERNDON PLANT OAKLEY LTD

Apr 23, 2015

Mar 7, 2014

CORPUS CHRISTI, TX

Firm absorbed

Other

60.0%