Broker-dealer firm · Corpus Christi, TX
Herndon Plant Oakley LTD
SEC-registered investment adviser · CRD 44971 · SEC 801-137003
At a glance
Herndon Plant Oakley LTD is an SEC-registered investment adviser based in Corpus Christi, Texas, with $155 million in regulatory assets under management as of its Form ADV filed August 21, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 129 individual clients. By Form ADV it is a broker-dealer firm, ranked 302nd of 391 broker-dealer firms and 13,508th of 17,210 SEC-registered advisers by assets.
Main office 361-888-7611hpo.comAs filed on Form ADV
- Regulatory AUM
- $155M
- Rank among broker-dealer firms
- #302 of 391
- Rank among all SEC RIAs
- #13,508 of 17,210
- Rank in Texas
- #906 of 1,081
- Individual clients
- 129
- High-net-worth clients
- 56
- Accounts
- 286
- Discretionary
- 100% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Phillip Michael PlantGeneral Partner
- James Theodore OakleyGeneral Partner
- Elizabeth Blanchard RaganManaging Director/designated Principal Chief Compliance Officer
- Sydney CoronadoFinop
Custody and brokerage
Broker-dealer
Hybrid RIA
Herndon Plant Oakley LTD is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 56 | $89M | 57% |
| Corporations or other businesses | 10 | $45M | 29% |
| Individuals | 73 | $20M | 13% |
| Charitable organizations | 2 | $2M | 1% |
Disciplinary disclosures
Herndon Plant Oakley LTD answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗hpo.com ↗
AtlasMembers
The full record on Herndon Plant Oakley LTD
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 129 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Herndon Plant Oakley LTD manage?
Herndon Plant Oakley LTD reports $155 million in regulatory assets under management across 286 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 21, 2026.
What kind of firm is Herndon Plant Oakley LTD?
Herndon Plant Oakley LTD is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Herndon Plant Oakley LTD’s clients?
By assets, its largest client types are high-net-worth individuals ($89 million, 56 clients); corporations or other businesses ($45 million, 10 clients); individuals ($20 million, 73 clients).
Does Herndon Plant Oakley LTD have any disciplinary history?
Herndon Plant Oakley LTD answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Herndon Plant Oakley LTD’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-21), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →