DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
H•••••• P•••• O••••• L••
Latest filing Aug 21, 2026
First filing on the tape Dec 23, 2011 · 25 filings
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$108M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$59.1M as of Mar 23, 2017
Mar 30, 2012$888M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 23, 2017
Mar 27, 201310 then
Employees (5.A)10 as of Mar 23, 2017
Mar 27, 201314 then
Private funds: no history
RAUM +178% over the last fiscal year+85% a year over threeIARs 6 to 2
Practice profile
derived from the filing of Aug 21, 2026; every figure names its basis
- RAUM per advisor
- $77.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $543,360derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$88.9M57%
- Corporations and businesses$45.3M29%
- Individuals$19.6M13%
- Charitable organizations$1.6M1.0%
- Individual clients
- 73reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 286reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K••••• J• M••••••••• to O•••• A•••••••• L••Apr 23, 2015 · Other
- T••••• M••••• C•••• to O•••• A•••••••• L••Apr 23, 2015 · Other
- A•••••••• W•••••• P••••• to O•••• A•••••••• L••Apr 23, 2015 · Other
- H•••••• G••••• B••• to W•••• F•••• A•••••••Mar 9, 2007 · Other
Joined, latest
- K••••• J• M••••••••• from G•••••• C•••••• M••••••••• I••Jan 18, 2012 · Other
- A•••••••• W•••••• P••••• from R•••• H• J••••••• • C••• I•••May 4, 2010 · Other
- H•••••• G••••• B••• from K• C•••••• M••••••••• L•••Sep 27, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for O•••• A•••••••• L••Apr 23, 2015 · Corpus Christi, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• E•••••••• A•• · Managing Director/Designated Principal Chief Compliance Officercontrolsince 01/1999 · owns less than 5%
- D•••••• D•••• J•••• · Finopcontrolsince 08/1998 · owns less than 5%
- H••••••• R•••••• B•••• · Limited Partnercontrolsince 01/1998 · owns 25% to 50%
- O•••••• J•••• T••••••• · Limited Partnercontrolsince 01/1998 · owns 25% to 50%
- P••••• P•••••• M•••••• · Limited Partnercontrolsince 01/1998 · owns 25% to 50%
Entity owners
- H•••••• P•••• O•••••• I••• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H•••••• P•••• O••••• I•••••••• A•••••real estatey
- O•••• A•••••••• L••investment adviseryRAUM $2.5B
- S••••••••• A•••••••• L••investment advisery
Advisers that list H•••••• P•••• O••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Corpus Christi, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Corpus Christi, TX
What changed
consecutive filings, newest first
- Accounts · 119 to 286Aug 15, 2017 to Aug 21, 2026
- BD registered reps · 10 to 3Aug 15, 2017 to Aug 21, 2026
- Charity clients · unset to 2.0Aug 15, 2017 to Aug 21, 2026
- Corporate clients · unset to 10.0Aug 15, 2017 to Aug 21, 2026
- HNW clients · unset to 56.0Aug 15, 2017 to Aug 21, 2026
- Individual clients · unset to 73.0Aug 15, 2017 to Aug 21, 2026
- Employees · 10 to 3Aug 15, 2017 to Aug 21, 2026
- Insurance-licensed employees · 3 to 2Aug 15, 2017 to Aug 21, 2026
- State-registered IARs · 3 to 2Aug 15, 2017 to Aug 21, 2026
- Other offices · unset to 0.0Aug 15, 2017 to Aug 21, 2026
- Organization form · Partnership to Other (specify)Aug 15, 2017 to Aug 21, 2026
- Discretionary RAUM · $59.1M to $155MAug 15, 2017 to Aug 21, 2026
- HNW RAUM · unset to 88896000.0Aug 15, 2017 to Aug 21, 2026
- Individual RAUM · unset to 19596000.0Aug 15, 2017 to Aug 21, 2026
- RAUM · $59.1M to $155MAug 15, 2017 to Aug 21, 2026
- Succession · false to unsetAug 15, 2017 to Aug 21, 2026
- Assets in custody · 59069548.0 to unsetApr 18, 2017 to May 8, 2017
- Custody of client assets · true to falseApr 18, 2017 to May 8, 2017
- Accounts · 109 to 119Nov 29, 2016 to Mar 23, 2017
- BD registered reps · 8 to 10Nov 29, 2016 to Mar 23, 2017
- Assets in custody · $58.2M to $59.1MNov 29, 2016 to Mar 23, 2017
- Employees · 13 to 10Nov 29, 2016 to Mar 23, 2017
- State-registered IARs · 5 to 3Nov 29, 2016 to Mar 23, 2017
- Discretionary RAUM · $51.6M to $59.1MNov 29, 2016 to Mar 23, 2017
- RAUM · $51.6M to $59.1MNov 29, 2016 to Mar 23, 2017
- Advisory employees · 7 to 2Mar 30, 2016 to Sep 8, 2016
- BD registered reps · 7 to 8Mar 30, 2016 to Sep 8, 2016
- Commission compensation · true to falseMar 30, 2016 to Sep 8, 2016
- Assets in custody · unset to 58181547.0Mar 30, 2016 to Sep 8, 2016
- Custody of client assets · false to trueMar 30, 2016 to Sep 8, 2016
- Employees · 7 to 13Mar 30, 2016 to Sep 8, 2016
- Insurance-licensed employees · 6 to 3Mar 30, 2016 to Sep 8, 2016
- State-registered IARs · 6 to 5Mar 30, 2016 to Sep 8, 2016
- Discretionary RAUM · $55.9M to $51.6MMar 30, 2016 to Sep 8, 2016
- RAUM · $55.9M to $51.6MMar 30, 2016 to Sep 8, 2016
- Accounts · 93 to 109May 5, 2015 to Mar 30, 2016
- Advisory employees · 3 to 7May 5, 2015 to Mar 30, 2016
- BD registered reps · 12 to 7May 5, 2015 to Mar 30, 2016
- Employees · 13 to 7May 5, 2015 to Mar 30, 2016
- State-registered IARs · 10 to 6May 5, 2015 to Mar 30, 2016
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Herndon Plant Oakley, Ltd. · Independent Sponsorsshared crd · intermediary
- H•••••• P•••• O••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- HPO.COMreportedpublic record, Form ADV, Sep 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $77.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026