Reported activities and affiliations: Form ADV, filing 2026-08-21, snapshot 2026-10. Item 6.A(1) includes registered or unregistered broker-dealer activity; Item 6.A(2) describes representative activity; Item 7.A(1) describes related broker-dealers. None alone establishes dual registration or independence.
Business model has not been classified from reviewed evidence.
Business models can overlap with registration categories. This adviser directory does not cover all broker-dealers or family offices. Qualifying single-family offices may be excluded from adviser registration; serving wealthy clients does not establish a family-office classification.
CRD 44971 · Principal office: Texas
SEC snapshot · October 2026 · Latest ADV filing: 2026-08-21
$155.40M
3
2
$155.40M
Arrows compare with the prior December where comparable data is available. Growth compares reported regulatory AUM snapshots. It does not measure investment returns; YTD is not annualized.
In the October 2026 SEC snapshot, HERNDON PLANT OAKLEY LTD reported $155,401,000.00 in regulatory assets under management, 3 employees, and 2 employees performing advisory functions.
A comparable year-to-date AUM change is unavailable for October 2026.
Our monthly archive first records the firm in June 2006. Incomplete comparable year-end values prevent a five-year growth comparison.
Reported AUM changes are not investment returns or organic growth. YTD is not annualized.
Reported client categories include high-net-worth individuals (56 clients), corporations or other businesses (10 clients), and individuals other than high-net-worth individuals (73 clients). Client counts are approximate. Additional categories appear in the filing details.
Its reported services include financial planning, portfolio management for individuals and/or small businesses, portfolio management for other businesses and institutional clients, and selection of other advisers. The firm reports charging asset-based fees and fixed fees.
Reported discretionary regulatory AUM is $155,401,000.00; non-discretionary regulatory AUM is unknown (source placeholder).
3 notice-filing jurisdictions
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Notice filed
Reported effective dateSeptember 11, 2026
0 of 1 listed offices mapped. Larger dots identify the principal office; offices at the same location may overlap. Locations are approximate Census address matches.
Office filing: . The firm reported 0 additional offices as of its last fiscal year end. The SEC schedule may list only the largest 25 additional offices. Listed records and reported totals can differ. Unmatched addresses and locations outside this U.S. map have no dot. Private-residence addresses are withheld.
Notice filings are reports to jurisdictions, not office locations or proof of current registration. This map uses the profile’s source month; the history slider does not change it.
Points show actual reported monthly snapshots. Curves between points are visual guides. The month slider includes the full archive.
Lines stop at missing months, unavailable values and definition changes. Earlier AUM and regulatory AUM use different reporting definitions. Growth calculations use comparable regulatory AUM. Changes do not measure investment returns, flows or organic growth. Absence from a snapshot does not establish a closure.
These are observation dates, not the effective dates of name changes or evidence of a merger.
Compared with other firms in the same starting AUM band. Each period uses the same source months for every firm. A firm remains in that period’s group even if its AUM later moves outside the band.
December 2024 → December 2025
Comparable AUM values are unavailable for this firm.
December 2025 → October 2026
Comparable AUM values are unavailable for this firm.
Size groups may differ in services and client mix. AUM growth reflects snapshot changes and can include acquisitions and market movements; it does not measure investment returns or financial strength.
Regulatory assets under management do not measure investment performance. Client categories are reported counts, not a recommendation or service guarantee.
Filing dates: Jul 2, 2026 → Aug 21, 2026
PLANT, PHILLIP MICHAEL · Other reported title → PLANT, PHILLIP MICHAEL · General Partner
Filing dates: Jul 2, 2026 → Aug 21, 2026
OAKLEY, JAMES THEODORE · Other reported title → OAKLEY, JAMES THEODORE · General Partner
Source months: Mar 2017 → Apr 2017
$51,592,593.00 → $59,069,548.00+14.5%
Source months: Mar 2017 → Apr 2017
13 → 10−23.1%
Source months: Sep 2016 → Oct 2016
7 → 2−71.4%
Selected filing: Aug 21, 2026 · filing ID 2127469. SEC full-filing archive · 2026-08. History begins with the first retained filing on Jul 2, 2026; it is not a complete ownership history.
Schedule D 5.K.(3) lists custodians holding at least 10% of separately managed account regulatory AUM; it is not an exhaustive custodian list. Schedule D 7.B.(1), question 25 identifies private-fund custodians. Fund gross assets are not firm regulatory AUM, and fund values are not summed because master/feeder structures can overlap. Minimum commitments are fund-specific, not adviser account minimums. Funds reported by another adviser under 7.B.(2) may not appear here.
Schedules A/B disclose direct owners, executive officers and indirect owners. Bands are reported ranges, not exact ownership percentages. Indirect bands refer to the named intermediary; no effective adviser stake is calculated. “Control person” is the filing flag. Schedule A NA means less than 5%; code F has no assigned percentage. This view does not cover all control persons under Item 10.A. Private identifiers and trust-related entries are withheld; incomplete snapshots do not generate removal claims.
0 ownership entries withheld from this projection. Source rows passed the selected projection checks.
Original sources, calculation methods and filing evidence for this profile.
Snapshot arrows compare exact reported values with the preceding December; unchanged values use a neutral arrow and unavailable comparisons have no arrow. Discretionary share is discretionary regulatory AUM divided by reconciled total regulatory AUM. Asset composition shows reported AUM by client category, not securities or asset classes; percentages require category amounts to reconcile with the total.
Annual growth = (December AUM ÷ prior December AUM − 1) × 100. The benchmark is the arithmetic mean of the five years before 2025. The difference is in percentage points (pp). YTD compares the latest source month with the preceding December. Source months are not valuation dates.
Only exact months with comparable reported regulatory AUM qualify. A missing or flagged value, a definition change, or zero starting AUM makes that comparison unavailable.
Email us the reported field, what needs checking and a supporting public source. Include CRD 44971 and source month 2026-10 if writing your own message. Do not include account numbers or other sensitive information.
This opens your email app with the firm and source details filled in. You can also copy the address into your email service. Reports are reviewed manually; sending an email does not change the published data or the underlying SEC filing.
Business-matched comparisons are unavailable without complete service responses and reconciled client-asset figures from the common source month. The size-only comparison above remains separate.
Source months: Sep 2016 → Oct 2016
$55,946,342.00 → $51,592,593.00−7.8%
Source months: Sep 2016 → Oct 2016
7 → 13+85.7%
Source months: Mar 2016 → Apr 2016
3 → 7+133.3%
Source months: Mar 2016 → Apr 2016
$51,028,935.00 → $55,946,342.00+9.6%
Source months: Mar 2016 → Apr 2016
13 → 7−46.2%
Source months: Mar 2015 → Apr 2015
$24,712,379.00 → $51,028,935.00+106.5%
Source months: Mar 2014 → Apr 2014
6 → 3−50.0%
Source months: Mar 2014 → Apr 2014
$23,847,506.00 → $24,712,379.00+3.6%
Source months: Mar 2014 → Apr 2014
14 → 13−7.1%
Source months: Mar 2013 → Apr 2013
$25,945,100.00 → $23,847,506.00−8.1%
Source months: Jul 2012 → Aug 2012
$888,453,000.00 → $25,945,100.00−97.1%
Source months: Mar 2012 → Apr 2012
$646,592,496.00 → $888,453,000.00+37.4%
115 adjacent monthly snapshot pairs reviewed; archive through Oct 2026. 2 comparable leadership filing pairs through Aug 21, 2026.
Changes reflect reported values and selected leadership records. Snapshot months are not event or valuation dates. Missing months and incomparable values are excluded. AUM changes are not investment returns or organic growth; filing differences do not establish hires, departures, acquisitions or their effective dates.
These are exact December source-month observations, with the latest partial-year month shown separately. They are not annual averages or annualized values. Missing months are not replaced with nearby filings. Bars start at zero; labels are abbreviated and exact values appear below. Source months are not valuation dates. Employee ranges and flagged values are not plotted as exact counts.
| Source month | Regulatory AUM | Employees |
|---|---|---|
| December 2021 | Not available | Not available |
| December 2022 | Not available | Not available |
| December 2023 | Not available | Not available |
| December 2024 | Not available | Not available |
| December 2025 | Not available | Not available |
| October 2026 (partial year) | $155,401,000.00 | 3 |
The monthly-history evidence below identifies source files, rows and fields.
Current ratios use the profile’s October 2026 reported regulatory AUM divided by its employee count or advisory-function employee count. Exact source values appear in the reported business fields below. Dollar ratios are rounded to cents; ratio changes use unrounded amounts and counts.
Annualized AUM change = ((ending regulatory AUM ÷ starting regulatory AUM)^(1 ÷ years) − 1) × 100. Three- and five-year periods end in the last complete calendar year. Every December observation in a period must contain comparable regulatory AUM, and each starting value must be positive. Values are rounded to one decimal. This compound rate differs from the arithmetic five-year average shown in Growth and history. YTD staffing changes are not annualized.
These derived comparisons use the 17,432 firms in the selected public directory nationwide. This is the currently published population, not every firm that existed during the historical period; firms absent from today’s directory are not included.
Each firm is assigned to the band containing its positive reported regulatory AUM at the start of that comparison. Bands include their lower boundary and exclude their upper boundary. Only exact source-month endpoints with reported regulatory AUM qualify. Missing, flagged, incompatible-definition and zero-starting values are excluded. No nearest-month substitution or partial-period annualization is used.
Growth = (ending AUM ÷ starting AUM − 1) × 100. The subject firm is excluded from all peer counts and statistics. At least 20 other firms must qualify. The median is the middle peer growth rate, or the mean of the two middle rates. Percentile = 100 × (peers with lower growth + half of peers with equal growth) ÷ qualified peers, rounded down to a whole number. Comparisons use exact values before display rounding.
The 75th-percentile peer growth rate uses the nearest-rank method: sort the qualified peers by growth and select position ceil(0.75 × peer count), counting from one. This rate is a reference point, not a guarantee of a top-quartile rank; ties use the midpoint ranking above. Bar lengths use the displayed rates rounded to one decimal. Each period has its own zero-based scale.
Top quartile: percentiles 75–100; second: 50–74; third: 25–49; fourth: 0–24. These are separate growth comparisons, not a combined score, financial-health rating or endorsement. Similar AUM does not establish similar businesses, and acquisition effects are not removed.
Values are reported in the linked SEC files. “Not in source” means the field is absent from that extract. Flagged values are retained for review and excluded from the chart. Snapshot months are not filing or valuation dates. Repeated values may reflect the same filing.
The SEC’s revised AUM methodology became effective September 19, 2011; existing SEC-registered advisers were required to file the revised Form ADV by March 30, 2012. We identify each observation’s definition from its source form version and qualified source format, rather than applying one cutoff date to every firm. Earlier reported AUM and regulatory AUM are plotted as separate series on the same axes, without connecting across definition changes. Unconfirmed definitions are not plotted. Growth rates and peer comparisons use only comparable regulatory AUM. SEC AUM methodology and transition (pages 19–29 and 93–94).
| Source month | Name observed | Reported AUM | AUM definition | Employees | Advisory employees | SEC evidence |
|---|---|---|---|---|---|---|
| Oct 2026 | HERNDON PLANT OAKLEY LTD | $155,401,000.00 | Regulatory AUM | 3 | 2 | ia09012026.csvrecord 272 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2026 | No usable firm observation; this does not establish a closure | |||||
| Aug 2026 | No usable firm observation; this does not establish a closure | |||||
| Jul 2026 | No usable firm observation; this does not establish a closure | |||||
| Jun 2026 | No usable firm observation; this does not establish a closure | |||||
| May 2026 | No usable firm observation; this does not establish a closure | |||||
| Apr 2026 | No usable firm observation; this does not establish a closure | |||||
| Mar 2026 | No usable firm observation; this does not establish a closure | |||||
| Feb 2026 | No usable firm observation; this does not establish a closure | |||||
| Jan 2026 | No usable firm observation; this does not establish a closure | |||||
| Dec 2025 | No usable firm observation; this does not establish a closure | |||||
| Nov 2025 | Source availability notice | |||||
| Oct 2025 | Source availability notice | |||||
| Sep 2025 | No usable firm observation; this does not establish a closure | |||||
| Aug 2025 | No usable firm observation; this does not establish a closure | |||||
| Jul 2025 | No usable firm observation; this does not establish a closure | |||||
| Jun 2025 | No usable firm observation; this does not establish a closure | |||||
| May 2025 | No usable firm observation; this does not establish a closure | |||||
| Apr 2025 | No usable firm observation; this does not establish a closure | |||||
| Mar 2025 | No usable firm observation; this does not establish a closure | |||||
| Feb 2025 | No usable firm observation; this does not establish a closure | |||||
| Jan 2025 | No usable firm observation; this does not establish a closure | |||||
| Dec 2024 | No usable firm observation; this does not establish a closure | |||||
| Nov 2024 | No usable firm observation; this does not establish a closure | |||||
| Oct 2024 | No usable firm observation; this does not establish a closure | |||||
| Sep 2024 | No usable firm observation; this does not establish a closure | |||||
| Aug 2024 | No usable firm observation; this does not establish a closure | |||||
| Jul 2024 | No usable firm observation; this does not establish a closure | |||||
| Jun 2024 | No usable firm observation; this does not establish a closure | |||||
| May 2024 | No usable firm observation; this does not establish a closure | |||||
| Apr 2024 | No usable firm observation; this does not establish a closure | |||||
| Mar 2024 | No usable firm observation; this does not establish a closure | |||||
| Feb 2024 | No usable firm observation; this does not establish a closure | |||||
| Jan 2024 | No usable firm observation; this does not establish a closure | |||||
| Dec 2023 | No usable firm observation; this does not establish a closure | |||||
| Nov 2023 | No usable firm observation; this does not establish a closure | |||||
| Oct 2023 | No usable firm observation; this does not establish a closure | |||||
| Sep 2023 | No usable firm observation; this does not establish a closure | |||||
| Aug 2023 | No usable firm observation; this does not establish a closure | |||||
| Jul 2023 | No usable firm observation; this does not establish a closure | |||||
| Jun 2023 | No usable firm observation; this does not establish a closure | |||||
| May 2023 | No usable firm observation; this does not establish a closure | |||||
| Apr 2023 | No usable firm observation; this does not establish a closure | |||||
| Mar 2023 | No usable firm observation; this does not establish a closure | |||||
| Feb 2023 | No usable firm observation; this does not establish a closure | |||||
| Jan 2023 | No usable firm observation; this does not establish a closure | |||||
| Dec 2022 | No usable firm observation; this does not establish a closure | |||||
| Nov 2022 | No usable firm observation; this does not establish a closure | |||||
| Oct 2022 | No usable firm observation; this does not establish a closure | |||||
| Sep 2022 | No usable firm observation; this does not establish a closure | |||||
| Aug 2022 | No usable firm observation; this does not establish a closure | |||||
| Jul 2022 | No usable firm observation; this does not establish a closure | |||||
| Jun 2022 | No usable firm observation; this does not establish a closure | |||||
| May 2022 | No usable firm observation; this does not establish a closure | |||||
| Apr 2022 | No usable firm observation; this does not establish a closure | |||||
| Mar 2022 | No usable firm observation; this does not establish a closure | |||||
| Feb 2022 | No usable firm observation; this does not establish a closure | |||||
| Jan 2022 | No usable firm observation; this does not establish a closure | |||||
| Dec 2021 | No usable firm observation; this does not establish a closure | |||||
| Nov 2021 | No usable firm observation; this does not establish a closure | |||||
| Oct 2021 | No usable firm observation; this does not establish a closure | |||||
| Sep 2021 | No usable firm observation; this does not establish a closure | |||||
| Aug 2021 | No usable firm observation; this does not establish a closure | |||||
| Jul 2021 | No usable firm observation; this does not establish a closure | |||||
| Jun 2021 | No usable firm observation; this does not establish a closure | |||||
| May 2021 | No usable firm observation; this does not establish a closure | |||||
| Apr 2021 | No usable firm observation; this does not establish a closure | |||||
| Mar 2021 | No usable firm observation; this does not establish a closure | |||||
| Feb 2021 | No usable firm observation; this does not establish a closure | |||||
| Jan 2021 | No usable firm observation; this does not establish a closure | |||||
| Dec 2020 | No usable firm observation; this does not establish a closure | |||||
| Nov 2020 | No usable firm observation; this does not establish a closure | |||||
| Oct 2020 | No usable firm observation; this does not establish a closure | |||||
| Sep 2020 | No usable firm observation; this does not establish a closure | |||||
| Aug 2020 | No usable firm observation; this does not establish a closure | |||||
| Jul 2020 | No usable firm observation; this does not establish a closure | |||||
| Jun 2020 | No usable firm observation; this does not establish a closure | |||||
| May 2020 | No usable firm observation; this does not establish a closure | |||||
| Apr 2020 | No usable firm observation; this does not establish a closure | |||||
| Mar 2020 | No usable firm observation; this does not establish a closure | |||||
| Feb 2020 | No usable firm observation; this does not establish a closure | |||||
| Jan 2020 | No usable firm observation; this does not establish a closure | |||||
| Dec 2019 | No usable firm observation; this does not establish a closure | |||||
| Nov 2019 | No usable firm observation; this does not establish a closure | |||||
| Oct 2019 | No usable firm observation; this does not establish a closure | |||||
| Sep 2019 | No usable firm observation; this does not establish a closure | |||||
| Aug 2019 | No usable firm observation; this does not establish a closure | |||||
| Jul 2019 | No usable firm observation; this does not establish a closure | |||||
| Jun 2019 | No usable firm observation; this does not establish a closure | |||||
| May 2019 | No usable firm observation; this does not establish a closure | |||||
| Apr 2019 | No usable firm observation; this does not establish a closure | |||||
| Mar 2019 | No usable firm observation; this does not establish a closure | |||||
| Feb 2019 | No usable firm observation; this does not establish a closure | |||||
| Jan 2019 | Source availability notice | |||||
| Dec 2018 | No usable firm observation; this does not establish a closure | |||||
| Nov 2018 | No usable firm observation; this does not establish a closure | |||||
| Oct 2018 | No usable firm observation; this does not establish a closure | |||||
| Sep 2018 | No usable firm observation; this does not establish a closure | |||||
| Aug 2018 | No usable firm observation; this does not establish a closure | |||||
| Jul 2018 | No usable firm observation; this does not establish a closure | |||||
| Jun 2018 | No usable firm observation; this does not establish a closure | |||||
| May 2018 | No usable firm observation; this does not establish a closure | |||||
| Apr 2018 | No usable firm observation; this does not establish a closure | |||||
| Mar 2018 | No usable firm observation; this does not establish a closure | |||||
| Feb 2018 | No usable firm observation; this does not establish a closure | |||||
| Jan 2018 | No usable firm observation; this does not establish a closure | |||||
| Dec 2017 | No usable firm observation; this does not establish a closure | |||||
| Nov 2017 | No usable firm observation; this does not establish a closure | |||||
| Oct 2017 | HERNDON PLANT OAKLEY LTD | $59,069,548.00 | Regulatory AUM | 10 | 2 | SEC Registered Investment Adviser Report 2017-10-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2983 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2017 | HERNDON PLANT OAKLEY LTD | $59,069,548.00 | Regulatory AUM | 10 | 2 | SEC Registered Investment Adviser Report 2017-9-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 3706 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Aug 2017 | HERNDON PLANT OAKLEY LTD | $59,069,548.00 | Regulatory AUM | 10 | 2 | SEC Registered Investment Adviser Report 2017-8-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 3689 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jul 2017 | HERNDON PLANT OAKLEY LTD | $59,069,548.00 | Regulatory AUM | 10 | 2 | ia063017.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 3656 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jun 2017 | HERNDON PLANT OAKLEY LTD | $59,069,548.00 | Regulatory AUM | 10 | 2 | ia060117.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2901 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| May 2017 | HERNDON PLANT OAKLEY LTD | $59,069,548.00 | Regulatory AUM | 10 | 2 | ia050117.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2875 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Apr 2017 | HERNDON PLANT OAKLEY LTD | $59,069,548.00 | Regulatory AUM | 10 | 2 | ia040117.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2832 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Mar 2017 | HERNDON PLANT OAKLEY LTD | $51,592,593.00 | Regulatory AUM | 13 | 2 | ia030117.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2902 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Feb 2017 | HERNDON PLANT OAKLEY LTD | $51,592,593.00 | Regulatory AUM | 13 | 2 | ia020117.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2891 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jan 2017 | HERNDON PLANT OAKLEY LTD | $51,592,593.00 | Regulatory AUM | 13 | 2 | SEC Registered Investment Adviser Report 2017-1-3.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2875 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Dec 2016 | HERNDON PLANT OAKLEY LTD | $51,592,593.00 | Regulatory AUM | 13 | 2 | ia120116.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2901 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Nov 2016 | HERNDON PLANT OAKLEY LTD | $51,592,593.00 | Regulatory AUM | 13 | 2 | SEC Registered Investment Adviser Report 2016-11-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2888 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Oct 2016 | HERNDON PLANT OAKLEY LTD | $51,592,593.00 | Regulatory AUM | 13 | 2 | SEC Registered Investment Adviser Report 2016-10-3.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 363 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2016 | HERNDON PLANT OAKLEY LTD | $55,946,342.00 | Regulatory AUM | 7 | 7 | ia090116.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2859 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Aug 2016 | HERNDON PLANT OAKLEY LTD | $55,946,342.00 | Regulatory AUM | 7 | 7 | ia080116.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 365 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jul 2016 | HERNDON PLANT OAKLEY LTD | $55,946,342.00 | Regulatory AUM | 7 | 7 | SEC Registered Investment Adviser Report 2016-7-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 366 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jun 2016 | HERNDON PLANT OAKLEY LTD | $55,946,342.00 | Regulatory AUM | 7 | 7 | SEC Registered Investment Adviser Report 2016-6-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 366 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| May 2016 | HERNDON PLANT OAKLEY LTD | $55,946,342.00 | Regulatory AUM | 7 | 7 | SEC Registered Investment Adviser Report 2016-5-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2494 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Apr 2016 | HERNDON PLANT OAKLEY LTD | $55,946,342.00 | Regulatory AUM | 7 | 7 | SEC Registered Investment Adviser Report 2016-4-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 7127 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Mar 2016 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2016-3-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2699 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Feb 2016 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2016-2-1.xlsxSEC Registered Investment Advis, record 2711 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jan 2016 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2016-1-4.xlsxSEC Registered Investment Advis, record 370 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Dec 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-12-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2860 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Nov 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-11-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 373 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Oct 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | AUM · definition unconfirmed | 13 | 3 | SEC Registered Investment Adviser Report 2015-10-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 375 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-9-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 374 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Aug 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-08-03.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2709 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jul 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-7-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 374 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jun 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-06-01.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2672 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| May 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-5-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 375 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Apr 2015 | HERNDON PLANT OAKLEY LTD | $51,028,935.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-4-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 372 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Mar 2015 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-3-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 376 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Feb 2015 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-2-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 375 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jan 2015 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2015-1-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 373 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Dec 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | ia120114.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 373 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Nov 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-11-3.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 374 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Oct 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-10-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 377 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-9-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 377 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Aug 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-8-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 377 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jul 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-7-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 379 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jun 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-6-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 377 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| May 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-5-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 376 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Apr 2014 | HERNDON PLANT OAKLEY LTD | $24,712,379.00 | Regulatory AUM | 13 | 3 | SEC Registered Investment Adviser Report 2014-4-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 378 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Mar 2014 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2014-3-4.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 380 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Feb 2014 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2014-2-3.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 381 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jan 2014 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2014-1-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 380 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Dec 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-12-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 387 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Nov 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-11-1.xlsxIA_SEC_-_FIRM_DOWNLOAD_-_125352, record 387 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Oct 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-10-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 389 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | ia090313.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 389 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Aug 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-8-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2554 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jul 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-7-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 386 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jun 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-6-3.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 385 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| May 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-5-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 386 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Apr 2013 | HERNDON PLANT OAKLEY LTD | $23,847,506.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-4-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 383 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Mar 2013 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-3-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 384 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Feb 2013 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-2-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 387 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jan 2013 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2013-1-2.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 391 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Dec 2012 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2012-12-3.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 393 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Nov 2012 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2012-11-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 393 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Oct 2012 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | SEC Registered Investment Adviser Report 2012-10-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 397 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2012 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | ia090112.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 397 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Aug 2012 | HERNDON PLANT OAKLEY LTD | $25,945,100.00 | Regulatory AUM | 14 | 6 | SEC Registered Advisers Report 8-1-2012.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 403 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jul 2012 | HERNDON PLANT OAKLEY LTD | $888,453,000.00 | Regulatory AUM | 14 | 6 | SEC Registered Adviser Report 7-2-2012.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 414 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Jun 2012 | HERNDON PLANT OAKLEY LTD | $888,453,000.00 | Regulatory AUM | 14 | 6 | SEC Registered Adviser Report 6-1-2012.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2433 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| May 2012 | HERNDON PLANT OAKLEY LTD | $888,453,000.00 | Regulatory AUM | Not in source | Not in source | SEC Registered Adviser Report 5-1-2012.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 12165 AUM: 5F(2)(c); employees: absent; advisory: absent |
| Apr 2012 | HERNDON PLANT OAKLEY LTD | $888,453,000.00 | Regulatory AUM | Not in source | Not in source | 2012-4-2 Registered Adviser Public Report.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 634 AUM: 5F(2)(c); employees: absent; advisory: absent |
| Mar 2012 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Regulatory AUM | Not in source | Not in source | 2012-3-1 Registered Adviser Public Report.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2526 AUM: 5F(2)(c); employees: absent; advisory: absent |
| Feb 2012 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Regulatory AUM | Not in source | Not in source | 2012-2-1 Registered Adviser Public Report.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 446 AUM: 5F(2)(c); employees: absent; advisory: absent |
| Jan 2012 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Regulatory AUM | Not in source | Not in source | Adviser Public Download 2012-1-3.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 2563 AUM: 5F(2)(c); employees: absent; advisory: absent |
| Dec 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | Not in source | Not in source | Adviser Public Download 12-2011.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 408 AUM: 5F(2)(c); employees: absent; advisory: absent |
| Nov 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | AUM · definition unconfirmed | 11–50 | 11–50 | IA FOIA Download 2011-11-1.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 1297 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Oct 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 10-2011.xlsxIA_SEC_-_FIRM_ROSTER_FOIA_DOWNL, record 3889 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Sep 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA download 8-26-2011.csvrecord 3848 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Aug 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | Source value flagged | Source value flagged | IA FOIA Download 2011-8-1.csvrecord 3839 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Jul 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | Source value flagged | Source value flagged | ia070111.CSVrecord 1289 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Jun 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | Source value flagged | Source value flagged | IA FOIA Download 6-2011.CSVrecord 5309 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| May 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | Source value flagged | Source value flagged | IA FOIA Download 5-1-2011.CSVrecord 1766 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Apr 2011 | HERNDON PLANT OAKLEY LTD | $646,592,496.00 | Earlier reported AUM | Source value flagged | Source value flagged | ia040111.CSVrecord 7305 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Mar 2011 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | Source value flagged | Source value flagged | IA FOIA Download 2011-3-1.CSVrecord 6530 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Feb 2011 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 2011-2-1.CSVrecord 10354 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Jan 2011 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | Source value flagged | Source value flagged | IA FOIA Download 2011-1.CSVrecord 10544 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Dec 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | Source value flagged | Source value flagged | IA FOIA Download 12-2010.CSVrecord 10950 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Nov 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 2010-11-1.CSVrecord 11519 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Oct 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 10-1-2010.CSVrecord 3083 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Sep 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | Source value flagged | Source value flagged | IA FOIA Download 09-01-10.CSVrecord 3221 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Aug 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 7-30-10.CSVrecord 2770 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Jul 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | FOIA IA Download 7-1-2010.CSVrecord 2585 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Jun 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | FOIA Download 6-1-10.CSVrecord 2358 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| May 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 5-3-10.CSVrecord 2313 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Apr 2010 | HERNDON PLANT OAKLEY LTD | $515,407,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 4-1-2010.CSVrecord 8060 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Mar 2010 | HERNDON PLANT OAKLEY LTD | $394,465,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 3-1-10.CSVrecord 3186 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Feb 2010 | HERNDON PLANT OAKLEY LTD | $394,465,000.00 | Earlier reported AUM | 11–50 | 11–50 | IA FOIA Download 2-1-10.CSVrecord 3374 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Jan 2010 | HERNDON PLANT OAKLEY LTD | $394,465,000.00 | Earlier reported AUM | 11–50 | 11–50 | 2010-1-4 IA FOIA Download.CSVrecord 3626 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Dec 2009 | HERNDON PLANT OAKLEY LTD | $394,465,000.00 | Earlier reported AUM | 11–50 | 11–50 | 2009-12-1 IA FOIA Download.CSVrecord 3797 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Nov 2009 | HERNDON PLANT OAKLEY LTD | $394,465,000.00 | Earlier reported AUM | 11–50 | 11–50 | FOIA IA Download 11-2-09.CSVrecord 4005 AUM: 5F(2)(c); employees: 5A; 5A-If more than 1,000, how many; advisory: 5B(1); 5B(1)-If more than 1,000, how many |
| Oct 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | FOIA IA Download 10-1-2009.csvrecord 4411 AUM: absent; employees: absent; advisory: absent |
| Sep 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 2009-9-1 FOIA Report.csvrecord 4389 AUM: absent; employees: absent; advisory: absent |
| Aug 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | FOIA Download 8-1-09.csvrecord 4378 AUM: absent; employees: absent; advisory: absent |
| Jul 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | IA FOIA Download 7-1-09.csvrecord 4347 AUM: absent; employees: absent; advisory: absent |
| Jun 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | IA FOIA Download 6-1-09.csvrecord 4341 AUM: absent; employees: absent; advisory: absent |
| May 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | FOIA download.csvrecord 4331 AUM: absent; employees: absent; advisory: absent |
| Apr 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 2009-4-1 FOIA IA Download.csvrecord 4312 AUM: absent; employees: absent; advisory: absent |
| Mar 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | FOIA Download 2009-3-2.csvrecord 4327 AUM: absent; employees: absent; advisory: absent |
| Feb 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | FOIA report 2009-2-2.csvrecord 4320 AUM: absent; employees: absent; advisory: absent |
| Jan 2009 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | ia010509.csvrecord 4325 AUM: absent; employees: absent; advisory: absent |
| Dec 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 5394982_10044_00050000_00050000.csvrecord 4360 AUM: absent; employees: absent; advisory: absent |
| Nov 2008 | Month not listed in SEC archive | |||||
| Oct 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 5123851_10044_00050000_00050000.txtrecord 4422 AUM: absent; employees: absent; advisory: absent |
| Sep 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 5010912_10044_00050000_00050000.txtrecord 4409 AUM: absent; employees: absent; advisory: absent |
| Aug 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4900533_10044_00050000_00050000.txtrecord 4402 AUM: absent; employees: absent; advisory: absent |
| Jul 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4761516_10044_00050000_00050000.txtrecord 4367 AUM: absent; employees: absent; advisory: absent |
| Jun 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4654254_10044_00050000_00050000.txtrecord 4341 AUM: absent; employees: absent; advisory: absent |
| May 2008 | Month not listed in SEC archive | |||||
| Apr 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4438816_10044_00050000_00050000.txtrecord 4281 AUM: absent; employees: absent; advisory: absent |
| Mar 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4336204_10044_00050000_00050000.txtrecord 4268 AUM: absent; employees: absent; advisory: absent |
| Feb 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4228370_10044_00050000_00050000.txtrecord 4248 AUM: absent; employees: absent; advisory: absent |
| Jan 2008 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4136951_10044_00050000_00050000.txtrecord 4228 AUM: absent; employees: absent; advisory: absent |
| Dec 2007 | Month not listed in SEC archive | |||||
| Nov 2007 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 4006782_10044_00050000_00050000.txtrecord 4222 AUM: absent; employees: absent; advisory: absent |
| Oct 2007 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 3886417_10044_00050000_00050000.txtrecord 4205 AUM: absent; employees: absent; advisory: absent |
| Sep 2007 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 3723205_10044_00050000_00050000.txtrecord 4174 AUM: absent; employees: absent; advisory: absent |
| Aug 2007 | Month not listed in SEC archive | |||||
| Jul 2007 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 3563054_10044_00050000_00050000.txtrecord 2363 AUM: absent; employees: absent; advisory: absent |
| Jun 2007 | Month not listed in SEC archive | |||||
| May 2007 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 3269464_10044_00050000_00050000.txtrecord 2299 AUM: absent; employees: absent; advisory: absent |
| Apr 2007 | Month not listed in SEC archive | |||||
| Mar 2007 | Month not listed in SEC archive | |||||
| Feb 2007 | Month not listed in SEC archive | |||||
| Jan 2007 | Month not listed in SEC archive | |||||
| Dec 2006 | Month not listed in SEC archive | |||||
| Nov 2006 | Month not listed in SEC archive | |||||
| Oct 2006 | Month not listed in SEC archive | |||||
| Sep 2006 | Month not listed in SEC archive | |||||
| Aug 2006 | Month not listed in SEC archive | |||||
| Jul 2006 | Month not listed in SEC archive | |||||
| Jun 2006 | HERNDON PLANT OAKLEY LTD | Not in source | AUM not in source | Not in source | Not in source | 2199190_10044_00050000_00050000.txtrecord 2256 AUM: absent; employees: absent; advisory: absent |
Form 13F holdings: No unambiguous filing-manager match was established in the reviewed archive. This does not mean zero holdings or no filing obligation. Coverage and qualification method.
Derived comparison · Jul 2, 2026 to Aug 21, 2026
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In its Aug 21, 2026 filing, the firm reported the following recognized leadership and management titles in Schedule A:
This is a selected view of Schedule A individuals, not a complete staff or ownership list. Titles are standardized; ambiguous or incomplete records are excluded. Title observation dates show the earliest retained filing with the listed title or titles, not employment or appointment dates.
3 retained filings through Aug 21, 2026; 2 comparable filing pairs.
Jul 2, 2026 filing → Aug 21, 2026 filing
Filing differences do not establish hiring or departure dates, or the significance of a change. A reported status-acquired date can refer to an earlier qualifying role. Invalid or future dates are not treated as usable dates. Coverage is limited to retained filings from January 2025 onward.
SEC Item 4 succession disclosures · May 2023–Sep 2026. A succession can reflect an acquisition or reorganization; these records do not establish a complete merger, divestment or spin-out history.
No succession disclosure found for HERNDON PLANT OAKLEY LTD in the reviewed monthly files. This does not establish that no business changes occurred.
Program-specific brochure fees and account minimums have not yet been verified for this profile. Reported compensation methods are not a fee schedule.
HERNDON PLANT OAKLEY LTD reports providing financial planning, portfolio management for individuals and/or small businesses, portfolio management for other businesses and institutional clients, and selection of other advisers. ADV Items 5.G · October 2026
HERNDON PLANT OAKLEY LTD reports compensation through asset-based fees and fixed fees. These categories do not specify a fee schedule or establish fee-only status. ADV Items 5.E · October 2026
HERNDON PLANT OAKLEY LTD’s reported client categories include high-net-worth individuals (56 clients; regulatory AUM $88,896,000.00), corporations or other businesses (10 clients; regulatory AUM $45,349,000.00), and individuals other than high-net-worth individuals (73 clients; regulatory AUM $19,596,000.00). Additional categories appear in the source details below. Client counts are approximate and are not account counts. Client-asset percentages are unavailable because the source values could not be reconciled with the published total. ADV Items 5.D · October 2026
HERNDON PLANT OAKLEY LTD reports $155,401,000.00 in discretionary regulatory AUM and unknown (source placeholder) in non-discretionary regulatory AUM. Discretionary management generally permits investment decisions without prior approval for each trade. Reported accounts: 286 discretionary and 0 non-discretionary. Accounts are not distinct clients. The components could not be fully reconciled with the published totals, so no percentage is calculated. ADV Items 5.F · October 2026
HERNDON PLANT OAKLEY LTD also reports business activities as a broker-dealer and insurance broker or agent. Its reported related-person categories include other investment advisers and insurance companies or agencies. These disclosures do not establish ownership percentages or complete corporate structure. ADV Items 6.A; 7.A · October 2026
SEC source: ia09012026.csv · row 272. Reported names: Items 1.A/1.B; services: 5.G; compensation: 5.E; client categories: 5.D; regulatory AUM and accounts: 5.F; other business activities: 6.A; related persons: 7.A.
Percentages, when available, are calculated as reported category or discretionary regulatory AUM ÷ reported total regulatory AUM × 100, rounded to one decimal. Unknown source placeholders and missing amounts are not presented as zero. Counts marked “fewer than five” are preserved. Client counts are approximate and may use different household-counting practices across firms. The table does not infer a total number of clients.
| Client category | Reported clients | Reported regulatory AUM |
|---|---|---|
| individuals other than high-net-worth individuals | 73 | $19,596,000.00 |
| high-net-worth individuals | 56 | $88,896,000.00 |
| banking or thrift institutions | Not reported | not reported |
| investment companies | Not reported | not reported |
| business development companies | Not reported | not reported |
| pooled investment vehicles | Not reported | not reported |
| pension and profit-sharing plans | Not reported | not reported |
| charitable organizations | Fewer than five | $1,560,000.00 |
| state or municipal government entities | Not reported | not reported |
| other investment advisers | Not reported | not reported |
| insurance companies | Not reported | not reported |
| sovereign wealth funds and foreign official institutions | Not reported | not reported |
| corporations or other businesses | 10 | $45,349,000.00 |
| other client types | Not reported | not reported |
Discretionary accounts: 286; non-discretionary accounts: 0; total accounts: 286. This is an account count, not a client count.
Open the official firm record and Part 2 brochures for program-specific fees, minimums and investment approach. The current official record may be newer than this snapshot.
Source months identify the snapshot, not the valuation date or current registration status.
Principal-office table: IA_ADV_Base_A_20260801_20260831.csv. Additional-office table: IA_Schedule_D_1F_20260801_20260831.csv. Form ADV filing 2127469.
800 N. SHORELINE BLVD, SUITE 2200 SOUTH, CORPUS CHRISTI, TX, United States, 78401
Not mapped · no verified coordinate matchSEC source · October 2026Field: Jurisdiction Notice Filed-Effective Date · Row 272
Map boundaries: U.S. Census via us-atlas (ISC license).
View current official adviser record →
This directory uses monthly snapshots. The current official record may contain newer filings or registration information.
