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Phillip Plant

Springwater Advisors, LLC
53 Years of Experience
Corpus Christi, TX
1 DisclosureBroker
View SEC Summary
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Phillip Plant is a registered investment advisor at Springwater Advisors, LLC, based in Corpus Christi, TX, with 53 years of industry experience. Phillip is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 5 more. Their firm serves 30 clients with $75M in assets under management.

Springwater Advisors, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
30 clients
Average Client Portfolio
$2.5M average
Assets Under Management
$75.5M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M1.00%
$5.0M - $15.0M0.75%
$15.0M - $50.0M0.50%
$50M+0.50%

Rates shown are for Equity & Balanced strategy. Fixed Income strategies have lower rates starting at 0.25% or 0.75%. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

800 North Shoreline Blvd., Suite 2200 South, Corpus Christi, TX, 78401

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History

Regulatory History (1)
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Financial
December 2016
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Phillip is involved in numerous investment-related activities, including roles as board member, co-trustee, managing partner, general partner, president, manager, and agent/solicitor for various entities. He spends minimal time on Wild Basin Investments and East Highpoint Investment Partners II LLC.

Employment History
Current Registrations
Springwater Advisors, LLC
April 2009 - Present · 17 yrs 6 mos
Herndon Plant Oakley, LTD.Broker
August 1998 - Present · 28 yrs 2 mos
Herndon Plant Oakley LTD
July 1998 - Present · 28 yrs 3 mos
Previous Registrations
Dain Rauscher IncorporatedBroker
March 1998 - October 1998 · 7 mos
Dain Rauscher IncorporatedBroker
January 1998 - March 1998 · 2 mos
Rauscher Pierce Refsnes, INC.Broker
October 1985 - January 1998 · 12 yrs 3 mos
Rotan Mosle INC.Broker
October 1972 - October 1985 · 13 yrs
State Registrations27 states
ALARAZCACOFLGAHIILKSLAMDNCNJNMNVNYOHOKORSCTNTXUTVAVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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