OXBOW ADVISORS, LLC

CRD

156393

SEC file #

801-72387

EIN

261399473

DBA names

—

Economics

AUM

$2.46B

AUM band

$1B+

AUM trajectory

'20 · $1.41B

'21 · $1.61B

'22 · $1.61B

'23 · $1.81B

'25 · $2.10B

'26 · $2.46B

'20'26

$1.41B → $2.46B▲ +74%

sec adv history

Client mix

Individuals Other	347
Individuals High Net Worth	341
Corporations	45
Charitable Organizations	7
Pension Profit Sharing Plans	3

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 13 advisors

'21 · 11 advisors

'22 · 11 advisors

'23 · 10 advisors

'25 · 10 advisors

'26 · 10 advisors

'20'26

13 advisors → 10 advisors▼ -23%

sec adv history

Primary office

AUSTIN TX

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

02/20/2026

ADV-W filed at

—

Website

oxbowadvisors.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

OAKLEY, JAMES, THEODORE

Top Owner Pct

62.5

Top Owner Entity Kind

Owner Count

Control Persons

OAKLEY, JAMES, THEODORE

FINUCANE, CHANCE, MICHAEL

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

OXBOWADVISORS.COM

Rdap Domain Creation Date

2007-01-19T23:08:47Z

Rdap Firm Age Years

Rdap Firm Age Band

10-20y

Rdap Registrar

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001564770

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2013-02-21

Edgar Last Filing Date

2026-04-27

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-27

Accession0002085853-26-000513

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
E*trade	4
Wells Fargo	1
Morgan Stanley	1

adv brochure

Edgar Addresses

Mailing

200 WEST 6TH STREETSUITE 1920AUSTIN, TX 78701

Business

200 WEST 6TH STREETSUITE 1920AUSTIN, TX 78701

Edgar EIN

261399473

Edgar Recent Filings

13F-HR2026-04-27 · 0002085853-26-000513

13F-HR2026-02-04 · 0002085853-26-000196

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2028-01-19T23:08:47Z

Rdap Domain Last Changed

2020-03-17T18:57:59Z

Rdap Nameservers

Dns101.register.comDns102.register.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Top Owner CRD

813008

Trust Company Affiliate