James Oakley
James Oakley is a CFA, CFP-designated registered investment advisor at Oxbow Advisors, LLC, based in Austin, TX, with 50 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Investment Management, Retirement Planning. Their firm serves 744 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $10.0M | 0.60% |
| $10.0M - $20.0M | 0.50% |
| $20.0M - $30.0M | 0.40% |
| $30.0M - $40.0M | 0.30% |
| $40.0M - $50.0M | 0.20% |
| $50M+ | 0.10% |
Advisory fees are negotiable and may not exceed 1.00% annually.
Fee Estimator
Location
200 West 6th Street, Suite 1920, Austin, TX, 78701
Get directionsHistory
Regulatory History (2)
Customer Dispute
May 1998Regulatory
May 1984Other Business ActivitiesSells Insurance
James has an 87% ownership in Oxbow Advisors, LLC, and is a director at American Bank. He is also the founder of two non-profit foundations, an investor in Bigg Whale LLC, an officer at Herndon Plant Oakley Insurance Agency, LC, a partner at Cornerstone Merger and Acquisitions, and part of TEDOUPTICK LLC.
Employment History
Current Registrations
Oxbow Advisors, LLC
Herndon Plant Oakley, LTD.Broker
Previous Registrations
Herndon Plant Oakley LTD
Dain Rauscher IncorporatedBroker
Dain Rauscher IncorporatedBroker
Rauscher Pierce Refsnes, INC.Broker
Rotan Mosle INC.Broker
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations35 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.