Herndon Plant Oakley Ltd
- Regulatory AUM
- $155M
- Discretionary
- $155M
- Clients
- 141
- Avg AUM / client
- $1.1M
- Accounts
- 286
- 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) | 73 | $19.6M | 12.6% |
| High net worth individuals | 56 | $88.9M | 57.2% |
| Charitable organizations | 2 | $1.6M | 1.0% |
| Corporations and other businesses | 10 | $45.3M | 29.2% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Herndon, Russell, Brent | Limited Partner | Jan 1998 (29y) | 25% – 50% | |
| James Theodore Oakley | Limited Partner | CFP CFA | Jan 1998 (29y) | 25% – 50% |
| Phillip Michael Plant | Limited Partner | Jan 1998 (29y) | 25% – 50% | |
| Downey, David James | Finop | Aug 1998 (28y) | Less than 5% | |
| Deubel Ragan, Elizabeth, Ann | Managing Director/Designated Principal Chief Compliance Officer | Jan 1999 (28y) | Less than 5% | |
| Brent Steven Holt | Registered representative | CFP | Dec 2011 (15y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Herndon Plant Oakley, Inc. | General Partner | Jan 1998 | 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 | 1.37 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- RBC $155M (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) ↗