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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

HOMRICH BERG

HOMRICH & BERG INC, CRD 108189

ATLANTA, GA

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:33d1c845-0eea-4511-2610-aba9ac69f07c

Data as of Sep 21, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 69
Dated events: 8
On other graphs: 2
Observed: Mar 30, 2012 to Sep 21, 2021
65 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Homrich Berg

Private equity manager · shared crd

Real Estate Fundsidentity

Homrich Berg

Real estate fund manager · shared crd

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: $8.9BItem 5.F on the latest filing (2021-09-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.8B
Private client RAUM: $6.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 78%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 125
Advisory employees: 67
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 11,081
Individual clients: 750
High net worth clients: 1,497
Private funds: 16Schedule D 7.B(1)
Private fund GAV: $404Mgross asset value as reported per fund; never fund size
Custody, client assets: $1.7B
SEC number: 801-35646
CRD: 108189
Filings on the tape: 65
First filed: Mar 30, 2012
Latest filed: Sep 21, 2021
Organised: Corporation, Georgia

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H&B HEDGE FUND, LLC	Hedge Fund	$85.0M	Feb 1, 2018	96	Mar 30, 2012	dropped	n/a
H&B GEORGIA TAX EXEMPT BOND FUND, LLC	Hedge Fund	$15.7M	Sep 13, 2013	47	Mar 30, 2012	dropped	021-52925
H&B EQUITY VENTURES FUND II, LLC	Private Equity Fund	$7.4M	Feb 1, 2018	62	Mar 30, 2012	dropped	021-78605
DCA DIVERSIFIED ALTERNATIVES PORTFOLIO LLC	Other Private Fund	$1.9M	Jan 19, 2021	60	Mar 20, 2012	reported	021-99571
H&B EQUITY VENTURES FUND I, LLC	Private Equity Fund	$83,316	Sep 21, 2021	55	Mar 30, 2012	reported	n/a
H&B REAL ESTATE VENTURES IV, LLC	Real Estate Fund	$77,686	Sep 21, 2021	93	Mar 30, 2012	reported	021-87226
H&B REAL ESTATE VENTURES III	Real Estate Fund	$72,558	Jan 9, 2020	90	Mar 30, 2012	dropped	n/a

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
BERG, ANDREW, JOHN	CHIEF EXECUTIVE OFFICER	C	yes	09/2005	Mar 30, 2012	Sep 21, 2021
BUTTERFIELD, FRANKLIN, HOWARD	Principal	A	yes	01/1995	Mar 30, 2012	Sep 21, 2021
CARROLL, THOMAS, MCLEMORE	President	Na	yes	01/2020	Jan 9, 2020	Sep 21, 2021
CASDIA, CHRISTOPHER, VINCENT	CHIEF COMPLIANCE OFFICER	Na	yes	04/2008	Mar 30, 2012	Sep 21, 2021
FULLER, ADAM, LEE	Principal	A	yes	10/2001	Mar 30, 2012	Sep 21, 2021
Glenn, Kyle, D	CHIEF OPERATING OFFICER	Na	yes	02/2020	Mar 30, 2020	Sep 21, 2021
HENNESSY, JAMES, JOSEPH	CHIEF FINANCIAL OFFICER	Na	yes	06/2021	Aug 9, 2021	Sep 21, 2021
KLEPCHICK, ANDREW, RICHARD	Principal	A	yes	03/2008	Mar 30, 2012	Sep 21, 2021
GRANT, SAMUEL, JASON	Principal	A	no	01/2021	Jan 19, 2021	Sep 21, 2021

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
2008 OPPORTUNITY PARTNERS, LLC	n/a	n/a	n/a	Y	yes	n/a
H&B PARTNERS, LLC	n/a	n/a	n/a	Y	yes	n/a
HOMRICH BERG PARTNERS, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	4	no
Alpharetta	Ga	United States	3	no
Atlanta	Ga	United States	2	no
SANDY SPRINGS	Ga	United States	2	no

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
2020	Mar 31, 2021	$8.9B	$7.8B	125	67	4	16	$404M
2019	Mar 30, 2020	$7.0B	$6.4B	110	59	3	12	$275M
2018	Apr 1, 2019	$5.5B	$4.9B	98	59	3	10	$217M
2017	Mar 31, 2018	$5.6B	$4.9B	90	56	3	10	$213M
2016	Mar 30, 2017	$4.5B	$4.1B	79	45	n/a	10	$257M
2015	Mar 30, 2016	$4.1B	$3.7B	71	48	n/a	10	$256M
2014	Mar 31, 2015	$3.9B	$3.5B	71	48	n/a	9	$221M
2013	Mar 31, 2014	$3.4B	$3.0B	65	36	n/a	9	$210M
2012	Apr 2, 2013	$2.6B	$2.1B	55	35	n/a	9	$143M
2011	Mar 30, 2012	$2.3B	$1.8B	n/a	n/a	n/a	9	$155M

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
2020	$8.9B	$7.0B	27.8%	$5.6B	16.9%	125	110	4	3

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SG FINANCIAL ADVISORS, LLC	2	Jan 2, 2021	Jan 25, 2021	ATLANTA, GA	Team lift out	RIA to RIA	100.0%
COMPASS FINANCIAL CONSULTING, LLC	4	Jan 29, 2018	Jan 10, 2018	ATLANTA, GA	Firm absorbed	Other	100.0%

Relationships

Advises (7)

→ H&B REAL ESTATE VENTURES IV, LLCPrivate fundReal Estate Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ H&B EQUITY VENTURES FUND I, LLCPrivate fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ DCA DIVERSIFIED ALTERNATIVES PORTFOLIO LLCPrivate fundOther Private Fund, IA
Mar 20, 2012 to presentfactForm ADV
→ H&B REAL ESTATE VENTURES IIIPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Jan 9, 2020factForm ADV
→ H&B HEDGE FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Feb 1, 2018factForm ADV
→ H&B EQUITY VENTURES FUND II, LLCPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 30, 2012 to Feb 1, 2018factForm ADV
→ H&B GEORGIA TAX EXEMPT BOND FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Sep 13, 2013factForm ADV

Controls (8)

← KLEPCHICK, ANDREW, RICHARDOwnerPRINCIPAL, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← CASDIA, CHRISTOPHER, VINCENTOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BERG, ANDREW, JOHNOwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← BUTTERFIELD, FRANKLIN, HOWARDOwnerPRINCIPAL, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← CARROLL, THOMAS, MCLEMOREOwnerPRESIDENT, ownership code NA, individual
Jan 9, 2020 to presentfactForm ADV
← FULLER, ADAM, LEEOwnerPRINCIPAL, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← HENNESSY, JAMES, JOSEPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Aug 9, 2021 to presentfactForm ADV
← Glenn, Kyle, DOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 30, 2020 to presentfactForm ADV

Owns (1)

← GRANT, SAMUEL, JASONOwnerPRINCIPAL, ownership code A, individual
Jan 19, 2021 to presentfactForm ADV

Registered with (51)

← LEE T VANLEUVANAdvisorregistration: previous registration
Sep 5, 2013 to Nov 21, 2021factForm ADV
← THOMAS JAMES HOULEAdvisorregistration: previous registration
Jul 14, 2016 to Nov 21, 2021factForm ADV
← JAMES EDWARD TRIMBLEAdvisorregistration: previous registration
Nov 8, 2019 to Nov 21, 2021factForm ADV
← KEVIN S KRAUSAdvisorregistration: previous registration
Jan 4, 2018 to Nov 21, 2021factForm ADV
← FRANK THOMAS WATERSONAdvisorregistration: previous registration
Oct 21, 2013 to Nov 21, 2021factForm ADV
← SEAN PATRICK COOKAdvisorregistration: previous registration
Jan 2, 2020 to Nov 21, 2021factForm ADV
← THOMAS MCLEMORE CARROLLAdvisorregistration: previous registration
Jan 16, 2020 to Nov 21, 2021factForm ADV
← MICHAEL ROYCE STANFORDAdvisorregistration: previous registration
Jan 3, 2017 to Nov 21, 2021factForm ADV
← PHILIP HAROLD CLINKSCALESAdvisorregistration: previous registration
Jan 30, 2019 to Nov 21, 2021factForm ADV
← ADAM LEE FULLERAdvisorregistration: previous registration
Dec 3, 2013 to Nov 21, 2021factForm ADV
← WAYNE DANIEL MOSSAdvisorregistration: previous registration
Jul 29, 2009 to Nov 21, 2021factForm ADV
← SAMUEL JASON GRANTAdvisorregistration: previous registration
Jan 4, 2021 to Nov 21, 2021factForm ADV
← RUSSELL EUGENE WOODAdvisorregistration: previous registration
Jan 25, 2021 to Nov 21, 2021factForm ADV
← TANA ACKERLY GILDEAAdvisorregistration: previous registration
Jan 5, 2018 to Nov 21, 2021factForm ADV
← PATRICK JOSEPH MCGONIGLEAdvisorregistration: previous registration
Oct 16, 2014 to Nov 21, 2021factForm ADV
← EVAN PENDER BYERSAdvisorregistration: previous registration
Aug 16, 2019 to Nov 21, 2021factForm ADV
← JEFFREY BLAKE ROSENGARTENAdvisorregistration: previous registration
Jan 22, 2015 to Nov 21, 2021factForm ADV
← TRICIA PISANI MULCAREAdvisorregistration: previous registration
Oct 13, 2010 to Nov 21, 2021factForm ADV
← MICHAEL S JACOBSAdvisorregistration: previous registration
Jul 8, 2020 to Nov 21, 2021factForm ADV
← GREGORY NORMAN HERBERTAdvisorregistration: previous registration
Apr 19, 2017 to Nov 21, 2021factForm ADV
← KATHLEEN MARY GriffisAdvisorregistration: previous registration
Sep 27, 2018 to Nov 21, 2021factForm ADV
← JOHN HUDSON TAYLORAdvisorregistration: previous registration
Sep 6, 2013 to Nov 21, 2021factForm ADV
← JARROD M FREEMANAdvisorregistration: previous registration
Jul 8, 2020 to Nov 21, 2021factForm ADV
← KYLE KVALHEIMAdvisorregistration: previous registration
Dec 11, 2020 to Nov 21, 2021factForm ADV
← MICHAEL DONALD LANDSBERGAdvisorregistration: previous registration
Jan 22, 2015 to Nov 21, 2021factForm ADV
← DAVID JOSEF KOCHAMBAAdvisorregistration: previous registration
Nov 21, 2014 to Nov 21, 2021factForm ADV
← MICHELLE MARIE WOLFFAdvisorregistration: previous registration
Jun 24, 2020 to Nov 21, 2021factForm ADV
← Mary Ashley Rohde TuckerAdvisorregistration: previous registration
Sep 9, 2019 to Nov 21, 2021factForm ADV
← Julian Michael DavisAdvisorregistration: previous registration
Jul 6, 2018 to Nov 21, 2021factForm ADV
← Marvin Eugene BrooksAdvisorregistration: previous registration
Jul 3, 2018 to Nov 21, 2021factForm ADV
and 21 more

Moved with (2)

← SG FINANCIAL ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Jan 2, 2021 to Jan 25, 2021factForm ADV
← COMPASS FINANCIAL CONSULTING, LLCRegistered adviser4 advisors, firm absorbed, same day
Jan 29, 2018 to Jan 10, 2018factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 27, 2021
Control person left
James Anthony Guinta (Director) no longer on Schedule A of Homrich Berg (listed 2021-08-09, absent 2021-08-27)
Form ADVobserved 4 days ago
Occurred
Aug 9, 2021
Control person joined
Joseph James Hennessy (Chief Financial Officer) appeared on Schedule A of Homrich Berg
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Homrich Berg reported RAUM $8.9B, up 28% from $7.0B (2021-01-19 to 2021-03-31)
Form ADVobserved 4 days ago
$1.9B
Occurred
Mar 30, 2020
Regulatory AUM changed
Homrich Berg reported RAUM $7.0B, up 28% from $5.5B (2020-01-09 to 2020-03-30)
Form ADVobserved 4 days ago
$1.5B
Occurred
Mar 30, 2020
Control person left
Paul John Ribes (Chief Operating Officer) no longer on Schedule A of Homrich Berg (listed 2020-01-09, absent 2020-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Control person joined
D Kyle Glenn (Chief Operating Officer) appeared on Schedule A of Homrich Berg
Form ADVobserved 4 days ago
Occurred
Jan 9, 2020
Control person joined
Mclemore Thomas Carroll (President) appeared on Schedule A of Homrich Berg
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Mar 31, 2021
Homrich Berg reported 49 state-registered advisory representatives, up from 36 (2021-01-19 to 2021-03-31)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33d1c845-0eea-4511-2610-aba9ac69f07c
First observed: Mar 30, 2012
Last observed: Sep 21, 2021 60 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.

HOMRICH BERG

HOMRICH & BERG INC, CRD 108189

ATLANTA, GA

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:33d1c845-0eea-4511-2610-aba9ac69f07c

Data as of Sep 21, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:17 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

H&B HEDGE FUND, LLC

Hedge Fund

$85.0M

Feb 1, 2018

Mar 30, 2012

dropped

n/a

H&B GEORGIA TAX EXEMPT BOND FUND, LLC

Hedge Fund

$15.7M

Sep 13, 2013

Mar 30, 2012

dropped

021-52925

H&B EQUITY VENTURES FUND II, LLC

Private Equity Fund

$7.4M

Feb 1, 2018

Mar 30, 2012

dropped

021-78605

DCA DIVERSIFIED ALTERNATIVES PORTFOLIO LLC

Other Private Fund

$1.9M

Jan 19, 2021

Mar 20, 2012

reported

021-99571

H&B EQUITY VENTURES FUND I, LLC

Private Equity Fund

$83,316

Sep 21, 2021

Mar 30, 2012

reported

n/a

H&B REAL ESTATE VENTURES IV, LLC

Real Estate Fund

$77,686

Sep 21, 2021

Mar 30, 2012

reported

021-87226

H&B REAL ESTATE VENTURES III

Real Estate Fund

$72,558

Jan 9, 2020

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERG, ANDREW, JOHN

CHIEF EXECUTIVE OFFICER

yes

09/2005

Mar 30, 2012

Sep 21, 2021

BUTTERFIELD, FRANKLIN, HOWARD

Principal

yes

01/1995

Mar 30, 2012

Sep 21, 2021

CARROLL, THOMAS, MCLEMORE

President

yes

01/2020

Jan 9, 2020

Sep 21, 2021

CASDIA, CHRISTOPHER, VINCENT

CHIEF COMPLIANCE OFFICER

yes

04/2008

Mar 30, 2012

Sep 21, 2021

FULLER, ADAM, LEE

Principal

yes

10/2001

Mar 30, 2012

Sep 21, 2021

Glenn, Kyle, D

CHIEF OPERATING OFFICER

yes

02/2020

Mar 30, 2020

Sep 21, 2021

HENNESSY, JAMES, JOSEPH

CHIEF FINANCIAL OFFICER

yes

06/2021

Aug 9, 2021

Sep 21, 2021

KLEPCHICK, ANDREW, RICHARD

Principal

yes

03/2008

Mar 30, 2012

Sep 21, 2021

GRANT, SAMUEL, JASON

Principal

01/2021

Jan 19, 2021

Sep 21, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

2008 OPPORTUNITY PARTNERS, LLC

n/a

yes

n/a

H&B PARTNERS, LLC

n/a

yes

n/a

HOMRICH BERG PARTNERS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Atlanta

United States

Alpharetta

United States

Atlanta

United States

SANDY SPRINGS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$8.9B

$7.8B

125

$404M

2019

Mar 30, 2020

$7.0B

$6.4B

110

$275M

2018

Apr 1, 2019

$5.5B

$4.9B

$217M

2017

Mar 31, 2018

$5.6B

$4.9B

$213M

2016

Mar 30, 2017

$4.5B

$4.1B

n/a

$257M

2015

Mar 30, 2016

$4.1B

$3.7B

n/a

$256M

2014

Mar 31, 2015

$3.9B

$3.5B

n/a

$221M

2013

Mar 31, 2014

$3.4B

$3.0B

n/a

$210M

2012

Apr 2, 2013

$2.6B

$2.1B

n/a

$143M

2011

Mar 30, 2012

$2.3B

$1.8B

n/a

$155M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$8.9B

$7.0B

27.8%

$5.6B

16.9%

125

110

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SG FINANCIAL ADVISORS, LLC

Jan 2, 2021

Jan 25, 2021

ATLANTA, GA

Team lift out

RIA to RIA

100.0%

COMPASS FINANCIAL CONSULTING, LLC

Jan 29, 2018

Jan 10, 2018

ATLANTA, GA

Firm absorbed

Other

100.0%