Barry L. Brauchi

OXBOW ADVISORS

AUSTIN, TX 78701

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CRD#: 4699093

Professional summary

Barry Lloyd Brauchi, CFP®, who also goes by Barry Brauchi, is a registered financial advisor currently at OXBOW ADVISORS, LLC located in Austin, Texas and HERNDON PLANT OAKLEY, LTD. located in Austin, Texas.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Barry has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barry Brauchi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Lloyd Brauchi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

September 22, 2016 - Present

OXBOW ADVISORS, LLC

Office #1: 200 West 6th Street Suite 1920, Austin, TX 78701

RIA

CRD#: 156393

AUSTIN, TX

Current

September 22, 2016 - Present

HERNDON PLANT OAKLEY, LTD.

Office #1: 200 West 6th Street Suite 1920, Austin, TX 78701

RIA

CRD#: 44971

AUSTIN, TX

Past

May 4, 2012 - August 18, 2016

SYNTAL CAPITAL PARTNERS, LLC

RIA

CRD#: 161954

MIDLAND, TX

Past

May 4, 2012 - September 29, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MIDLAND, TX

Past

April 1, 2004 - May 8, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIDLAND, TX

Past

November 18, 2003 - May 8, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MIDLAND, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OXBOW ADVISORS, LLC

CRD#: 156393 / SEC#: 801-72387

RIA

Registered Investment Advisory firm - (6/6/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(9/22/2016)

Texas
(2/16/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/4/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OXBOW ADVISORS, LLC

CRD#: 156393 / SEC#: 801-72387

RIA

Registered Investment Advisory firm - (6/6/2011 Approved)

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Contact information

Main Address

200 West 6th Street Suite 1920, Austin, TX 78701

Mailing Address

Phone number

(512) 386-1088

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OXBOW ADVISORS, LLC FORM ADV PART 2A (7/16/2025)

Regulatory assets under management

Total Number of Accounts	1,625
AUM (Assets Under Management)	$ 2,097,433,511

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2024	Cover Page	Report
03/14/2024	Cover Page	Report
02/08/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Barry L. Brauchi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Lloyd Brauchi's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERNDON PLANT OAKLEY, LTD.

SYNTAL CAPITAL PARTNERS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OXBOW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/4/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/17/2003

FINRA

Current Firm

OXBOW ADVISORS, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OXBOW ADVISORS, LLC

TRUST BUT VERIFY

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