Oxbow Advisors, LLC (Corpus Christi)

Name: Oxbow Advisors, LLC
Address: 800 North Shoreline Blvd, Corpus Christi, TX, 78401
Telephone: 361-692-1296

Oxbow Advisors, LLC is a large advisory firm based in Corpus Christi. It manages $1.41 billion of regulatory assets for 1,334 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 33 other states.

Oxbow Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Oxbow Advisors: assets under management

The assets under management (AUM) of Oxbow Advisors, LLC is $1.41 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.41 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.06 million each.

Oxbow Advisors has custody of $1.06 billion in cash and securities for 972 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 39% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 23% of the firm’s portfolio. Investments in investment and business development companies form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Oxbow Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Oxbow Advisors serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Oxbow Advisors is high net worth individuals with 260 clients and $759.47 million of assets under management. Among the 10 most similar advisory firms, Oxbow Advisors has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.41 billion for 1,334 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Oxbow Advisors doesn't advise any private funds.

Careers at Oxbow Advisors, LLC

The company employs 15 people that are either part- or full-time employees. 87 percent of the employees work as investment advisers or researchers. 13 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Chance Michael Finucane has served as the Chief Investment Officer since 1 Apr 2018. Courtney Gibson Bechtol joined the executive team most recently as the Director Of Operations.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Theodore Oakley	Managing member	1 Oct 2007	75% - 100%	813008
Elizabeth Ann Deubel Ragan	Managing director/chief compliance officer	1 Feb 2011	Other	1191381
Elizabeth Blanchard Ragan	Managing director	1 Feb 2011	Other	1191381
Erik Glenn Cohen	Shareholder	1 Feb 2013	Other	6140234
Ellen Sue Noel	Shareholder	1 Feb 2013	Other	2881065
John Blackshear Keys	Shareholder	1 Feb 2013	Other	2217794
Ray Leon Powell	Shareholder	1 Feb 2013	Other	3221452
Thomas Milton Crain	Shareholder	1 Dec 2014	Other	5956732
Courtney L Gibson	Shareholder	1 Dec 2014	Other	5823025
Alexander Webster Pierce	Shareholder	1 Dec 2014	Other	730560
Courtney Gibson Bechtol	Shareholder	1 Dec 2014	Other	5823025
Roger Earl King	Principal and senior managing director	1 Apr 2015	Other	1794250
Pat Henry Swanson	Director of research	1 Apr 2015	Other	2374789
Dana Buttrey Croswhite	Shareholder	1 Dec 2015	Other	1371905
Jonathan Leo Levy	Shareholder	1 Dec 2015	Other	6227273
Barry Lloyd Brauchi	Director of investor relations	1 Aug 2016	Other	4699093
William Keys Oakley	Director of business development	1 Oct 2016	Other	6754491
Beverly Baggs Hornsby	Chief compliance officer	1 Oct 2016	Other	4085745
Kimmie Jo Mathis Doumis	Chief compliance officer	1 May 2017	Other	2240144
Chance Michael Finucane	Chief investment officer	1 Apr 2018	Other	6938549
Courtney Gibson Bechtol	Director of operations	1 Jul 2018	Other	5823025

Based in Corpus Christi

The principal office where Oxbow Advisors, LLC performs its advisory services is located at 800 North Shoreline Blvd, Corpus Christi, TX 78401, which is also the mailing address of the firm. An additional office of the firm is in Houston, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 361-692-1296 or by fax 361-888-9342. The normal business hours are 8 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at oxbowadv.com.