# Herndon Plant Oakley Ltd

> Herndon Plant Oakley Ltd is an SEC-registered investment advisory firm in Corpus Christi, TX, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 21, 2026.

- CRD: 44971
- Filed as: HERNDON PLANT OAKLEY LTD
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Corpus Christi, TX
- Filing period: October 2026
- Form ADV filing dated: August 21, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/44971
- AdvisorCensus page: https://advisorcensus.com/firm/herndon-plant-oakley-ltd-corpus-christi-tx-44971

## Quick answers

**How is Herndon Plant Oakley Ltd compensated?**
On its Form ADV (Item 5.E, October 2026), Herndon Plant Oakley Ltd reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Herndon Plant Oakley Ltd located?**
Herndon Plant Oakley Ltd's principal office is in Corpus Christi, TX, according to its Form ADV.

**Is Herndon Plant Oakley Ltd registered with the SEC or a state?**
Herndon Plant Oakley Ltd is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 44971.

**How much does Herndon Plant Oakley Ltd manage?**
Herndon Plant Oakley Ltd reports $155,401,000 in regulatory assets under management in its Form ADV filing dated August 21, 2026 (100% discretionary).

**What types of clients does Herndon Plant Oakley Ltd serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (73); high net worth individuals (56); corporations or other businesses not listed above (10).

**Which custodians does Herndon Plant Oakley Ltd use?**
Herndon Plant Oakley Ltd's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists RBC Capital Markets, LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Herndon Plant Oakley Ltd report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/44971

**What changed in Herndon Plant Oakley Ltd's recent Form ADV filings?**
In the October 2026 filing data: Moved from state registration to SEC registration.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- RBC Capital Markets, LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $155,401,000
- Discretionary: $155,401,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 73 | $19,596,000 |
| High net worth individuals | 56 | $88,896,000 |
| Charitable organizations | 2 | $1,560,000 |
| Corporations or other businesses not listed above | 10 | $45,349,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2026 (0 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, KS, TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/44971

### Websites listed on Form ADV (Item 1.I)
- hpo.com

## Changes in the filing (last 12 months)

### October 2026
- Moved from state registration to SEC registration.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Herndon Plant Oakley Ltd (CRD 44971): Form ADV filing data as of October 2026.