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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SPRINGWATER ADVISORS, LLC

CRD 150034

CORPUS CHRISTI, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e646bd54-ef23-fbb9-bbe6-7efd1d0f7c26

Data as of Oct 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Oct 3, 2012
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2012-10-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 2
Accounts: 0
SEC number: 801-70064
CRD: 150034
Filings on the tape: 5
First filed: Mar 30, 2012
Latest filed: Oct 3, 2012
Organised: Limited Liability Company, Texas

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PHILLIP MICHAEL PLANT	n/a	CORPUS CHRISTI, TX	28	34	n/a	yes
BRENT STEVEN HOLT	Certified Financial Planner	CORPUS CHRISTI, TX	14	18	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DEUBEL-RAGAN, ELIZABETH, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2009	Mar 30, 2012	Oct 3, 2012
HERNDON, RUSSELL, BRENT	Member	C	yes	03/2009	Mar 30, 2012	Oct 3, 2012
HERNDON, RUSSELL, BRENT	VICE PRESIDENT	C	yes	01/1998	Mar 30, 2012	Oct 3, 2012
OAKLEY, JAMES, THEODORE	President	C	yes	01/1998	Mar 30, 2012	Oct 3, 2012
OAKLEY, JAMES, THEODORE	Member	C	yes	03/2009	Mar 30, 2012	Oct 3, 2012
PLANT, PHILLIP, MICHAEL	MANAGING MEMBER	C	yes	03/2009	Mar 30, 2012	Oct 3, 2012
PLANT, PHILLIP, MICHAEL	Secretary	C	yes	01/1998	Mar 30, 2012	Oct 3, 2012
HERNDON PLANT OAKLEY I, INC.	Member	Na	no	03/2009	Mar 30, 2012	Oct 3, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
OXBOW ADVISORS, LLC	n/a	Independent wealth	$2.5B	N	yes	n/a
HERNDON PLANT OAKLEY LTD	n/a	Former SEC adviser	$155M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$0	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$0	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

← HERNDON PLANT OAKLEY LTDRegistered adviserother investment adviser, control, common control
factForm ADV
→ OXBOW ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ HERNDON PLANT OAKLEY LTDRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Registered with (2)

← BRENT STEVEN HOLTAdvisorregistration: current employment
Oct 4, 2021 to presentfactForm ADV
← PHILLIP MICHAEL PLANTAdvisorregistration: current employment
Apr 23, 2009 to presentfactForm ADV

Controls (4)

← DEUBEL-RAGAN, ELIZABETH, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HERNDON, RUSSELL, BRENTOwnerVICE PRESIDENT, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← PLANT, PHILLIP, MICHAELOwnerSECRETARY, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← OAKLEY, JAMES, THEODOREOwnerPRESIDENT, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← HERNDON PLANT OAKLEY I, INC.OwnerMEMBER, ownership code NA, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e646bd54-ef23-fbb9-bbe6-7efd1d0f7c26
First observed: Mar 30, 2012
Last observed: Oct 3, 2012 170 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SPRINGWATER ADVISORS, LLC

CRD 150034

CORPUS CHRISTI, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e646bd54-ef23-fbb9-bbe6-7efd1d0f7c26

Data as of Oct 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PHILLIP MICHAEL PLANT

n/a

CORPUS CHRISTI, TX

n/a

yes

BRENT STEVEN HOLT

Certified Financial Planner

CORPUS CHRISTI, TX

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEUBEL-RAGAN, ELIZABETH, ANN

CHIEF COMPLIANCE OFFICER

yes

03/2009

Mar 30, 2012

Oct 3, 2012

HERNDON, RUSSELL, BRENT

Member

yes

03/2009

Mar 30, 2012

Oct 3, 2012

HERNDON, RUSSELL, BRENT

VICE PRESIDENT

yes

01/1998

Mar 30, 2012

Oct 3, 2012

OAKLEY, JAMES, THEODORE

President

yes

01/1998

Mar 30, 2012

Oct 3, 2012

OAKLEY, JAMES, THEODORE

Member

yes

03/2009

Mar 30, 2012

Oct 3, 2012

PLANT, PHILLIP, MICHAEL

MANAGING MEMBER

yes

03/2009

Mar 30, 2012

Oct 3, 2012

PLANT, PHILLIP, MICHAEL

Secretary

yes

01/1998

Mar 30, 2012

Oct 3, 2012

HERNDON PLANT OAKLEY I, INC.

Member

03/2009

Mar 30, 2012

Oct 3, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OXBOW ADVISORS, LLC

n/a

Independent wealth

$2.5B

yes

n/a

HERNDON PLANT OAKLEY LTD

n/a

Former SEC adviser

$155M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

n/a