Unclaimed Profile

James Theodore Oakley

OXBOW ADVISORS, LLC·AUSTIN, Texas

SIE, Series 7, Series 24, Series 63, Series 65, Series 99TOCFP CFA27 years registeredOXBOW ADVISORS, LLC

500 WEST 5TH STREET, SUITE 1205, AUSTIN, TX 78701CRD# 813008Firm CRD# 156393

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Theodore Oakley · AUSTIN, TX

Registration

CRD #813008 · OXBOW ADVISORS, LLC · 27 years registered

Brand Profile

Not yet started

Career History

OXBOW ADVISORS, LLC

Jun 2011 – present

HERNDON PLANT OAKLEY LTD

Aug 1998 – Nov 2015

CORPUS CHRISTI, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 99TO

Registration record

First registered · August 26, 1998

Years registered · 27

Professional designations · CFP, CFA

Disclosure History

1998Customer Dispute·Settled

1984Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

OXBOW ADVISORS, LLC

CRD 156393 · SEC 801-72387

AUM

$1.9B

Regulatory assets under management

Employees

1,527 client accounts

Services offered by OXBOW ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at OXBOW ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does James Theodore Oakley offer?

James Theodore Oakley specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in AUSTIN, Texas for a consultation.

What are James Theodore Oakley's credentials?

James Theodore Oakley holds the following professional designations: CFP, CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Theodore Oakley located?

James Theodore Oakley is based in AUSTIN, Texas, working with OXBOW ADVISORS, LLC. Their office serves clients in the AUSTIN metropolitan area and surrounding communities.

How does James Theodore Oakley charge for services?

James Theodore Oakley's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is OXBOW ADVISORS, LLC?

OXBOW ADVISORS, LLC has approximately 12 employees and manages $1.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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