Springwater Advisors, Llc
- Regulatory AUM
- $75.5M
- Discretionary
- $75.5M
- Clients
- 30
- Avg AUM / client
- $2.5M
- Accounts
- 38
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Jul 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4 | $865K | 1.15% |
| High net worth individuals | 21 | $42.2M | 56.0% |
| Corporations and other businesses | 1 | $173K | 0.23% |
| Other | 4 | $32.2M | 42.6% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Herndon, Russell, Brent | Member | Jan 1998 (29y) | 25% – 50% | |
| James Theodore Oakley | Member | CFP CFA | Jan 1998 (29y) | 25% – 50% |
| Phillip Michael Plant | Managing Member | Jan 1998 (29y) | 25% – 50% | |
| Deubel Ragan, Elizabeth, Ann | Chief Compliance Officer | Mar 2009 (17y) | Less than 5% | |
| Brent Steven Holt | Registered representative | CFP | Oct 2021 (5y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Herndon Plant Oakley I, Inc. | Member | Mar 2009 | A | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/02/2026 | 1.05 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • PORTFOLIO CONSULTING SERVICES
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- RBC $75.5M (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 02, 2026.
View current Form ADV (SEC/IAPD) ↗