Thomas M. Crain

OXBOW ADVISORS

Houston, TX 77024

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CRD#: 5956732

Professional summary

Thomas Milton Crain III, who also goes by Trey M Crain, is a registered financial advisor currently at OXBOW ADVISORS, LLC located in Houston, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Thomas has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Trey M Crain

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.

Cornerstone Merger and Acquisitions Advisors, non-investment related; Corpus Christi, TX; assist private business owners work through the process of selling their company; part owner and founder; February 2019; 20 hours a month not during securities trading hours. Southbound Capital, LLC, investment related; Corpus Christi, TX; assists the LLC group to find investment opportunities; part owner and member; November 2020; 4 hours a month not during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Milton Crain III'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®

None

Experience

Current

March 7, 2014 - Present

OXBOW ADVISORS, LLC

Office #1: 800 Gessner Road Suite 750, Houston, TX 77024

RIA

CRD#: 156393

Houston, TX

Past

January 16, 2012 - April 23, 2015

HERNDON PLANT OAKLEY, LTD.

RIA

CRD#: 44971

CORPUS CHRISTI, 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.

Highlighted states indicate IAR registrations

IAR

Texas
(3/7/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/14/2012

Uniform Investment Adviser Law Examination

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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Thomas M. Crain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Milton Crain III's CRS (Customer Relationship Summary).

Certified licenses

Experience

OXBOW ADVISORS, LLC

HERNDON PLANT OAKLEY, LTD.

Primary Firm SEC Registration

OXBOW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2012

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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