0001564770-13-000005.txt : 20130515
0001564770-13-000005.hdr.sgml : 20130515
20130515110424
ACCESSION NUMBER: 0001564770-13-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130515
DATE AS OF CHANGE: 20130515
EFFECTIVENESS DATE: 20130515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Oxbow Advisors, LLC
CENTRAL INDEX KEY: 0001564770
IRS NUMBER: 261399473
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15434
FILM NUMBER: 13844525
BUSINESS ADDRESS:
STREET 1: 800 N. SHORELINE BLVD
STREET 2: SUITE 2200 SOUTH
CITY: CORPUS CHRISTI
STATE: TX
ZIP: 78401
BUSINESS PHONE: 361-888-7611
MAIL ADDRESS:
STREET 1: 800 N. SHORELINE BLVD
STREET 2: SUITE 2200 SOUTH
CITY: CORPUS CHRISTI
STATE: TX
ZIP: 78401
13F-HR
1
march13edgarfiling.txt
COVER AND 13F
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarterly Ended: March 31, 2013
Check here is Amendment [X]; Amendment Number:1
This Amendment (Check only one.): [X] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing This Report:
Name: Oxbow Advisors
Address: 800 North Shoreline, Ste. 2200-South
Corpus Christi, Texas 78401
13F File Number: 028-11388
The institutional investment manager filing this report and the
person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all
information contained herein is true, correct and complete, and
that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts
of this form.
Person Signing This Report on Behalf of Reporting Manager:
Name: Beth Deubel-Ragan
Title: Managing Director
Phone: 361-888-7611
Signature, Place and Date of Signing:
Beth Deubel-Ragan, Corpus Christi, TX May 14, 2013
Report Type (Check only one):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE
ACT OF 1934.
Report Summary:
Number of Other Included Managers:
Form 13F Information Table Entry Total: 186
Form 13F Information Table Value Total: 549,754
(x1,000)
List of Other Included Managers:
No. 13F File Number Name
01 N/A N/A
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
***BHP BILLITON LTD SPONSORED COM 088606108 2669 39000 SH Sole 39000
***PETROLEO BRASILEIRO SA PETR COM 71654v408 166 10000 SH Sole 10000
3M COMPANY COM 88579Y101 1828 17196 SH Sole 17196
ABBOTT LABORATORIES COM 002824100 254 7185 SH Sole 7185
ABBVIE INC COM 00287y109 293 7185 SH Sole 7185
ABERDEEN ASIA PACIFIC INCOME F COM 003009107 200 25736 SH Sole 25736
ADVENT CLAYMORE CONV SECS & IN COM 00764c109 5674 334745 SH Sole 334745
ALLIANCE HLDGS GP L P COM UNIT COM 01861g100 3010 57145 SH Sole 57145
ALLIANCEBERNSTEIN INCOME FUND COM 01881e101 4250 520190 SH Sole 520190
ALLIANZGI CONV & INCOME FUND COM 018828103 5558 586287 SH Sole 586287
ALTRIA GROUP INC COM 02209s103 274 7975 SH Sole 7975
AMERICAN EXPRESS COMPANY COM 025816109 212 3140 SH Sole 3140
ANADARKO PETROLEUM CORP COM 032511107 1054 12052 SH Sole 12052
APACHE CORP COM 037411105 733 9500 SH Sole 9500
ARES CAPITAL CORPORATION COM 04010L103 6712 370816 SH Sole 370816
ARTHUR J GALLAGHER & CO COM 363576109 1045 25292 SH Sole 25292
AT&T INC COM 00206r102 3713 101191 SH Sole 101191
BANK OF AMERICA CORP COM 060505104 5812 477191 SH Sole 477191
BARCLAYS BK PLC ETN IPATH S&P5 COM 0674c1882 383 18900 SH Sole 18900
BLACKROCK CREDIT ALLOC INCOME COM 092508100 198 14160 SH Sole 14160
BLACKROCK ENHANCED DIVID ACHIE COM 09251a104 129 16469 SH Sole 16469
BLACKROCK INCOME TRUST INC COM 09247f100 98 13648 SH Sole 13648
BLACKROCK MUNIYIELD INSURED IN COM 09254t100 181 11980 SH Sole 11980
BLACKROCK STRATEGIC BOND TRUST COM 09249g106 242 16286 SH Sole 16286
BOEING CO COM 097023105 4447 51801 SH Sole 51801
BP P L C SPONSORED ADR (FRM BP COM 055622104 303 7162 SH Sole 7162
BRISTOL MYERS SQUIBB CO COM 110122108 908 22040 SH Sole 22040
CALAMOS CONV & HIGH INCOME FD COM 12811p108 2659 207555 SH Sole 207555
CALAMOS CONVERTIBLE OPPORTUNIT COM 128117108 370 29306 SH Sole 29306
CALAMOS STRATEGIC TOTAL RETURN COM 128125101 2191 206543 SH Sole 206543
CATERPILLAR INC COM 149123101 328 3770 SH Sole 3770
CENTRAL FUND CDA LTD CL A COM 153501101 911 47014 SH Sole 47014
CHART INDUSTRIES INC COM 16115Q308 1312 16400 SH Sole 16400
CHESAPEAKE ENERGY CORP COM 165167107 3886 190390 SH Sole 190390
CHESAPEAKE GRANITE WASH TRUST COM 165185109 8709 622929 SH Sole 622929
CHEVRON CORPORATION COM 166764100 3154 26543 SH Sole 26543
CISCO SYSTEMS INC COM 17275R102 1640 78496 SH Sole 78496
CLOUGH GLOBAL ALLOCATION FUND COM 18913y103 3282 217769 SH Sole 217769
CLOUGH GLOBAL EQUITY FUND COM 18914c100 384 26100 SH Sole 26100
CLOUGH GLOBAL OPPORTUNITIES FD COM 18914e106 20060 1558667 SH Sole 1558667
COCA COLA CO COM 191216100 1804 44600 SH Sole 44600
COHEN & STEERS INFRASTRUCTURE COM 19248A109 1419 68575 SH Sole 68575
COMMERCE FINANCIAL CORP ****RE COM 1561219 0 20000 SH Sole 20000
CONAGRA FOODS INC COM 205887102 378 10564 SH Sole 10564
CONOCOPHILLIPS COM 20825c104 1760 29279 SH Sole 29279
COPANO ENERGY LLC COM UNITS COM 217202100 1495 36903 SH Sole 36903
CORNING INC COM 219350105 898 67336 SH Sole 67336
CROCOTTA ENERGY INC COM 227045200 67 20000 SH Sole 20000
DEVON ENERGY CORPORATION NEW COM 25179m103 847 15020 SH Sole 15020
DIVDEND & INCOME FUND COM 25538a204 338 22094 SH Sole 22094
EAGLE ROCK ENERGY PARTNERS COM 26985r104 9568 974298 SH Sole 974298
EATON VANCE SENIOR FLOATING RA COM 27828q105 423 25401 SH Sole 25401
EATON VANCE TAX MANAGED DIVERS COM 27828N102 154 15115 SH Sole 15115
EMC CORP-MASS COM 268648102 1519 63588 SH Sole 63588
ENBRIDGE ENERGY MANAGEMENT LLC COM 29250x103 4907 162392 SH Sole 162392
ENBRIDGE ENERGY PARTNERS L P COM 29250r106 7445 247014 SH Sole 247014
ENERGY TRANSFER PARTNERS L P U COM 29273r109 2001 39470 SH Sole 39470
ENTERPRISE PRODUCTS PARTNERS L COM 293792107 5574 92454 SH Sole 92454
EXXON MOBIL CORP COM 30231G102 14818 164444 SH Sole 164444
FEDERATED INVESTORS INC (PA.) COM 314211103 880 37191 SH Sole 37191
FLAHERTY & CRUMRINE / CLAYMORE COM 338478100 4535 221783 SH Sole 221783
FORD MOTOR CO PAR $0.01 COM 345370860 3913 297578 SH Sole 297578
GAMCO NATURAL RESOURCES GOLD & COM 36465e101 9467 682096 SH Sole 682096
GENERAL ELECTRIC COM 369604103 6337 274105 SH Sole 274105
GENERAL MILLS INC COM 370334104 443 8980 SH Sole 8980
GENEREX BIOTECHNOLOGY CORP DEL COM 371485103 0 10400 SH Sole 10400
GLAXOSMITHKLINE PLC SPONSORED COM 37733w105 1037 22100 SH Sole 22100
GLOBAL X SUPER DIVIDEND 100 ET COM 37950E549 2231 95485 SH Sole 95485
GUGGENHEIM S&P 500 EQWT ETF COM 78355W106 6248 104763 SH Sole 104763
GUGGENHEIM S&P 500 FINANCIAL E COM 78355W858 779 23390 SH Sole 23390
HALLIBURTON CO COM 406216101 249 6155 SH Sole 6155
HARTFORD FINANCIAL SERVICES GR COM 416515104 15244 590836 SH Sole 590836
HESS CORPORATION COM 42809h107 454 6338 SH Sole 6338
INTEL CORP COM 458140100 1779 81454 SH Sole 81454
INTERNATIONAL BUSINESS MACHINE COM 459200101 763 3577 SH Sole 3577
INTERNATIONAL PAPER CO COM 460146103 356 7653 SH Sole 7653
IRON MOUNTAIN INC COM 462846106 1467 40389 SH Sole 40389
ISHARES BARCLAYS 1-3 YR CREDIT COM 464288646 838 7942 SH Sole 7942
ISHARES DOW JONES SELECT DIV I COM 464287168 2506 39530 SH Sole 39530
ISHARES TRUST BARCLAYS 20+YEAR COM 464287432 58045 492909 SH Sole 492909
ISHARES TRUST ISHARES LEHMAN T COM 464287176 212 1745 SH Sole 1745
ISHARES TRUST S&P SMALLCAP 600 COM 464287804 1202 13809 SH Sole 13809
JOHN HANCOCK PREFERRED INCOME COM 41013w108 268 11370 SH Sole 11370
JOHNSON & JOHNSON COM 478160104 2472 30318 SH Sole 30318
KAYNE ANDERSON MLP INVT CO COM 486606106 348 10023 SH Sole 10023
KIMBERLY CLARK CORP COM 494368103 424 4327 SH Sole 4327
KINDER MORGAN ENERGY PARTNERS COM 494550106 40614 452420 SH Sole 452420
KINDER MORGAN INC DEL COM 49456b101 15821 409015 SH Sole 409015
KINDER MORGAN MGMT LLC SHS COM 49455u100 21915 249460 SH Sole 249460
KONINKLIJKE PHILIPS ELECTRS N COM 500472303 828 28035 SH Sole 28035
LEGGETT & PLATT INC COM 524660107 832 24623 SH Sole 24623
LIBERTY ALL STAR EQUITY FUND COM 530158104 79 15307 SH Sole 15307
LOEWS CORPORATION COM 540424108 3433 77896 SH Sole 77896
LSI CORPORATION COM 502161102 3752 553444 SH Sole 553444
MERCK & CO INC NEW COM 58933y105 4544 102814 SH Sole 102814
MGIC INVESTMENT CORP-WISC COM 552848103 223 45000 SH Sole 45000
MICRON TECHNOLOGY INC COM 595112103 2276 228220 SH Sole 228220
MICROSOFT CORP COM 594918104 5187 181319 SH Sole 181319
NEW AMERICA HIGH INCOME FUND I COM 641876800 612 58021 SH Sole 58021
NICHOLAS-APPLEGATE CONVERTIBLE COM 65370g109 286 33062 SH Sole 33062
NOKIA CORPORATION SPONSORED AD COM 654902204 2936 895201 SH Sole 895201
NUCOR CORP COM 670346105 352 7623 SH Sole 7623
NUSTAR ENERGY L P COM UNITS RE COM 67058h102 351 6588 SH Sole 6588
NUVEEN BUILD AMERICA BOND OPPT COM 67074q102 894 40406 SH Sole 40406
NUVEEN INSURED MUNICIPAL OPPOR COM 670984103 307 20427 SH Sole 20427
NUVEEN INSURED PREMIUM INCOME COM 6706d8104 190 13425 SH Sole 13425
NUVEEN MULTI-STRATEGY INCOME A COM 67073d102 4068 389251 SH Sole 389251
NUVEEN MULTI-STRATEGY INCOME A COM 67073b106 419 40760 SH Sole 40760
NUVEEN PREMIER MUNICIPAL INCOM COM 670988104 219 14841 SH Sole 14841
NUVEEN PREMIUM INCOME MUNICIPA COM 67062t100 188 12843 SH Sole 12843
NUVEEN QUALITY INCOME MUNICIPA COM 670977107 232 15225 SH Sole 15225
NUVEEN REAL ESTATE INCOME FD COM 67071B108 1283 102550 SH Sole 102550
OFFICE DEPOT INC COM 676220106 81 20550 SH Sole 20550
OLIN CORP NEW COM 680665205 468 18547 SH Sole 18547
OMEGA HEALTHCARE REIT INVESTOR COM 681936100 2737 90160 SH Sole 90160
ONEOK PARTNERS L P UNIT LTD PA COM 68268n103 2189 38136 SH Sole 38136
PENN WEST PETROLEUM LTD COM NE COM 707887105 7919 735998 SH Sole 735998
PENNANTPARK INVESTMENT CORP COM 708062104 8318 736394 SH Sole 736394
PEPSICO INC COM 713448108 456 5760 SH Sole 5760
PEYTO EXPLORATION & DEVELOPMEN COM 717046106 715 26965 SH Sole 26965
PFIZER INC COM 717081103 1388 48089 SH Sole 48089
PHILIP MORRIS INTERNATIONAL IN COM 718172109 523 5642 SH Sole 5642
PHILLIPS 66 COM 718546104 550 7854 SH Sole 7854
PLAINS ALL AMERICAN PIPELINE L COM 726503105 5235 92691 SH Sole 92691
POWERSHARES FD TR II ETF CEF I COM 73936q843 1158 44245 SH Sole 44245
POWERSHARES GLOBAL EXCHANGE TR COM 73936t565 523 35116 SH Sole 35116
POWERSHARES QQQ TRUST SERIES 1 COM 73935a104 1774 25715 SH Sole 25715
PROCTER & GAMBLE CO COM 742718109 439 5697 SH Sole 5697
PROSHARES SHORT S&P 500 NON-TR COM 74347r503 9642 314180 SH Sole 314180
PROSHARES TRUST ETF ULTRA 20+ COM 74347r172 263 4010 SH Sole 4010
PROSHARES TRUST ULTRASHORT DOW COM 74348a590 826 21765 SH Sole 21765
PROSHARES ULTRASHORT ETF EURO COM 74347w882 334 16700 SH Sole 16700
PROSPERITY BANCSHS INC COM 743606105 349 7369 SH Sole 7369
REGIONS FINANCIAL CORP NEW COM 7591ep100 86 10452 SH Sole 10452
ROUNDYS INC COM COM 779268101 164 25000 SH Sole 25000
ROYAL DUTCH SHELL PLC SPONSORE COM 780259206 248 3809 SH Sole 3809
RPM INTERNATIONAL INC COM 749685103 285 9015 SH Sole 9015
RUSH ENTERPRISES INC CL A COM 781846209 281 11650 SH Sole 11650
SAN JUAN BASIN ROYALTY TR-UBI COM 798241105 5844 386273 SH Sole 386273
SEADRILL LTD COM G7945E105 2456 65994 SH Sole 65994
SOUTHWEST AIRLINES CO COM 844741108 2954 219144 SH Sole 219144
SPDR BARCLAYS CAP ETF HIGH YIE COM 78464a417 200 4875 SH Sole 4875
SPDR DOW JONES INDL ETF AVERAG COM 78467x109 621 4271 SH Sole 4271
SPDR S&P 500 ETF TR UNIT SER I COM 78462f103 1070 6830 SH Sole 6830
SPDR S&P INTERNATNL ETF DIVIDE COM 78463x772 303 6225 SH Sole 6225
STAPLES INC COM 855030102 727 54200 SH Sole 54200
STEALTHGAS INC COM y81669106 189 15795 SH Sole 15795
SUSSER PETROLEUM PARTNERS LP-U COM 869239103 356 10950 SH Sole 10950
SYMMETRICOM INC COM 871543104 163 36000 SH Sole 36000
TARGA RESOURCES PARTNERS LP UN COM 87611x105 760 16505 SH Sole 16505
TC PIPELINES LP UNIT COM LTD P COM 87233q108 611 12600 SH Sole 12600
TEEKAY LNG PARTNERS LP COM y8564m105 13397 323376 SH Sole 323376
TELLABS INC COM 879664100 26 12600 SH Sole 12600
TELSTRA CORPORATION LIMITED SP COM 87969n204 11677 495435 SH Sole 495435
TEVA PHARMACEUTICAL ADR COM 881624209 1508 37995 SH Sole 37995
TEXAS CAPITAL BANCSHARES COM 88224q107 890 22000 SH Sole 22000
THE ST JOE COMPANY COM 790148100 1082 50900 SH Sole 50900
TOOTIE PIE COMPANY INC COM 890515109 3 17300 SH Sole 17300
TOWERSTREAM CORP COM 892000100 41 18200 SH Sole 18200
UNION PACIFIC CORP COM 907818108 228 1600 SH Sole 1600
VALERO ENERGY CORP NEW COM 91913y100 284 6250 SH Sole 6250
VANGUARD INDEX FUND VANGUARD S COM 922908751 497 5450 SH Sole 5450
VANGUARD INDEX FUNDS VANGUARD COM 922908629 353 3800 SH Sole 3800
VANGUARD INDEX FUNDS VANGUARD COM 922908769 636 7860 SH Sole 7860
VANGUARD WORLD FD MEGA CAP 300 COM 921910816 312 5200 SH Sole 5200
VENTAS INC COM 92276f100 3036 41478 SH Sole 41478
VERIFONE HOLDINGS INC COM 92342y109 844 40825 SH Sole 40825
VERINT SYSTEMS INC COM 92343x100 238 6515 SH Sole 6515
VERIZON COMMUNICATIONS COM 92343v104 1260 25639 SH Sole 25639
VODAFONE GROUP PLC SPONSORED A COM 92857w209 12045 424133 SH Sole 424133
WAL-MART STORES INC COM 931142103 4318 57700 SH Sole 57700
WELLS FARGO & CO COM 949746101 704 19043 SH Sole 19043
WESTERN ASSET HIGH INCOME OPPO COM 95766k109 727 114058 SH Sole 114058
WESTERN UNION CO COM 959802109 1500 99725 SH Sole 99725
WESTPAC BANKING LTD SPONS ADR COM 961214301 5982 37144 SH Sole 37144
WEYERHAEUSER CO COM 962166104 3951 125897 SH Sole 125897
WISDOMTREE EMERGING MARKETS EQ COM 97717w315 389 7063 SH Sole 7063
XL GROUP PLC SHS COM g98290102 5986 197550 SH Sole 197550
YUM BRANDS INC COM 988498101 223 3106 SH Sole 3106
ZIX CORPORATION COM 98974p100 238 66375 SH Sole 66375
BANK OF AMERICA NON-CUM PERP P 060505765 1222 47956 SH Sole 47956
GOODYEAR TIRE CONVERTIBLE PFD 382550309 10662 245036 SH Sole 245036
HARTFORD GROUP PFD 7.250% MAND 416515708 549 23110 SH Sole 23110
BANK OF AMERICA CORP WTS EXP 060505146 197 34535 SH Sole 34535
HARTFORD FINANCL WTS SRVCS GRP 416515120 322 18825 SH Sole 18825
KINDER MORGAN WTS W/I INC DELA 49456b119 12240 2381331 SH Sole 2381331