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.

Former SEC-registered adviser

Homrich Berg

Former SEC-registered adviserAtlanta, GeorgiaCRD 108189SEC 801-35646IAPD
Legal name Homrich & Berg Inc
Latest filing Sep 21, 2021
First filing on the tape Mar 30, 2012 · 65 filings
RAUM
$8.9B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
78%
$6.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
125
67 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
16
$404M gross assets
History
65 filings and snapshots on the tape
RAUM$8.9B as of Mar 31, 2021
Mar 30, 2012$2.3B then
HNW client RAUM$6.6B as of Mar 31, 2021
Mar 31, 2018$4.2B then
State-registered IARs (5.B.3)49 as of Mar 31, 2021
Apr 2, 20139 then
Employees (5.A)125 as of Mar 31, 2021
Apr 2, 201355 then
Private funds16 as of Mar 31, 2021
Mar 30, 20129 then
RAUM +28% over the last fiscal year+17% a year over threeIARs 36 to 49offices 3 to 4
Practice profile
derived from the filing of Sep 21, 2021; every figure names its basis
RAUM per advisor
$182MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$805,814derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
9.8derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+36%derivedItem 5.B.3 between annual amendments
Client growth, one year
+20%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Financial planning clients
2,500reportedItem 5.H
Custody
$1.7B, 650 clientsreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$6.6B75%
  • Corporations and businesses$673M7.7%
  • Charitable organizations$428M4.9%
  • Pooled investment vehicles$405M4.6%
  • Individuals$376M4.3%
  • Investment companies$210M2.4%
  • Pension and profit-sharing plans$53.9M0.6%
  • State and municipal entities$5.5M0.1%
Individual clients
750reported
HNW clients
1,497reported
Pension plan clients
23reported
Charitable clients
62reported
Accounts
11,081reported
Financial planning clients
2,500reported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 650 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    7 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    H&B Hedge Fund, LLCno longer reportedHedge Fund$85.0M96Mar 30, 2012
    H&B Georgia Tax Exempt Bond Fund, LLCno longer reportedHedge Fund$15.7M47Mar 30, 2012
    H&B Equity Ventures Fund II, LLCno longer reportedPrivate Equity Fund$7.4M62Mar 30, 2012
    Dca Diversified Alternatives Portfolio LLCOther Private Fund$1.9M60Mar 20, 2012
    H&B Equity Ventures Fund I, LLCPrivate Equity Fund$83,31655Mar 30, 2012
    H&B Real Estate Ventures IV, LLCReal Estate Fund$77,68693Mar 30, 2012
    H&B Real Estate Ventures IIIno longer reportedReal Estate Fund$72,55890Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • John Andrew Berg · Chief Executive Officercontrol
      since 09/2005 · owns 25% to 50%
    • Howard Franklin Butterfield · Principalcontrol
      since 01/1995 · owns 5% to 10%
    • Mclemore Thomas Carroll · Presidentcontrol
      since 01/2020 · owns less than 5%
    • Vincent Christopher Casdia · Chief Compliance Officercontrol
      since 04/2008 · owns less than 5%
    • Lee Adam Fuller · Principalcontrol
      since 10/2001 · owns 5% to 10%
    • D Kyle Glenn · Chief Operating Officercontrol
      since 02/2020 · owns less than 5%
    • Joseph James Hennessy · Chief Financial Officercontrol
      since 06/2021 · owns less than 5%
    • Richard Andrew Klepchick · Principalcontrol
      since 03/2008 · owns 5% to 10%
    • Jason Samuel Grant · Principal
      since 01/2021 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • 2008 Opportunity Partners, LLC
      pooled vehicle sponsory
    • H&B Partners, LLC
      pooled vehicle sponsory
    • Homrich Berg Partners, LLC
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    • Atlanta, GA4 employees
    • Alpharetta, GA3 employees
    • Atlanta, GA2 employees
    • Sandy Springs, GA2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 8,762 to 11,081
      Jan 19, 2021 to Mar 31, 2021
    • Advisory employees · 59 to 67
      Jan 19, 2021 to Mar 31, 2021
    • Advisory activities · 5 to 6
      Jan 19, 2021 to Mar 31, 2021
    • Corporate clients · 66 to 64
      Jan 19, 2021 to Mar 31, 2021
    • HNW clients · 1,249 to 1,497
      Jan 19, 2021 to Mar 31, 2021
    • Individual clients · 624 to 750
      Jan 19, 2021 to Mar 31, 2021
    • Pension plan clients · 24 to 23
      Jan 19, 2021 to Mar 31, 2021
    • Pooled vehicle clients · 11 to 16
      Jan 19, 2021 to Mar 31, 2021
    • Assets in custody · $1.2B to $1.7B
      Jan 19, 2021 to Mar 31, 2021
    • Employees · 110 to 125
      Jan 19, 2021 to Mar 31, 2021
    • State-registered IARs · 36 to 49
      Jan 19, 2021 to Mar 31, 2021
    • Other offices · 3 to 4
      Jan 19, 2021 to Mar 31, 2021
    • Private funds · 13 to 16
      Jan 19, 2021 to Mar 31, 2021
    • Discretionary RAUM · $6.4B to $7.8B
      Jan 19, 2021 to Mar 31, 2021
    • HNW RAUM · $5.3B to $6.6B
      Jan 19, 2021 to Mar 31, 2021
    • Individual RAUM · $324M to $376M
      Jan 19, 2021 to Mar 31, 2021
    • Non-discretionary RAUM · $544M to $1.1B
      Jan 19, 2021 to Mar 31, 2021
    • Pension RAUM · $51.4M to $53.9M
      Jan 19, 2021 to Mar 31, 2021
    • Pooled vehicle RAUM · $258M to $405M
      Jan 19, 2021 to Mar 31, 2021
    • RAUM · $7.0B to $8.9B
      Jan 19, 2021 to Mar 31, 2021
    • Private funds · 12 to 13
      Mar 30, 2020 to Apr 30, 2020
    • Accounts · 8,190 to 8,762
      Jan 9, 2020 to Mar 30, 2020
    • Charity clients · 55 to 62
      Jan 9, 2020 to Mar 30, 2020
    • Corporate clients · 64 to 66
      Jan 9, 2020 to Mar 30, 2020
    • HNW clients · 1,166 to 1,249
      Jan 9, 2020 to Mar 30, 2020
    • Individual clients · 715 to 624
      Jan 9, 2020 to Mar 30, 2020
    • Pension plan clients · 21 to 24
      Jan 9, 2020 to Mar 30, 2020
    • Pooled vehicle clients · 10 to 11
      Jan 9, 2020 to Mar 30, 2020
    • Assets in custody · $1.3B to $1.2B
      Jan 9, 2020 to Mar 30, 2020
    • Employees · 98 to 110
      Jan 9, 2020 to Mar 30, 2020
    • Private funds · 10 to 12
      Jan 9, 2020 to Mar 30, 2020
    • Discretionary RAUM · $4.9B to $6.4B
      Jan 9, 2020 to Mar 30, 2020
    • HNW RAUM · $4.1B to $5.3B
      Jan 9, 2020 to Mar 30, 2020
    • Individual RAUM · $336M to $324M
      Jan 9, 2020 to Mar 30, 2020
    • Non-discretionary RAUM · $536M to $544M
      Jan 9, 2020 to Mar 30, 2020
    • Pension RAUM · $34.6M to $51.4M
      Jan 9, 2020 to Mar 30, 2020
    • Pooled vehicle RAUM · $212M to $258M
      Jan 9, 2020 to Mar 30, 2020
    • RAUM · $5.5B to $7.0B
      Jan 9, 2020 to Mar 30, 2020
    • Other offices · 2 to 3
      Dec 13, 2019 to Jan 2, 2020
    • Other offices · 3 to 2
      Dec 5, 2019 to Dec 13, 2019
    Signals
    8 dated events
    • James Anthony Guinta (Director) no longer on Schedule A of Homrich Berg (listed 2021-08-09, absent 2021-08-27)
      Aug 27, 2021 · Control person left · inference
    • Joseph James Hennessy (Chief Financial Officer) appeared on Schedule A of Homrich Berg
      Aug 9, 2021 · Control person joined · fact
    • Homrich Berg reported 49 state-registered advisory representatives, up from 36 (2021-01-19 to 2021-03-31)
      Mar 31, 2021 · Advisor headcount change · derived
    • Homrich Berg reported RAUM $8.9B, up 28% from $7.0B (2021-01-19 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • Homrich Berg reported RAUM $7.0B, up 28% from $5.5B (2020-01-09 to 2020-03-30)
      Mar 30, 2020 · RAUM change · derived
    • Paul John Ribes (Chief Operating Officer) no longer on Schedule A of Homrich Berg (listed 2020-01-09, absent 2020-03-30)
      Mar 30, 2020 · Control person left · inference
    • D Kyle Glenn (Chief Operating Officer) appeared on Schedule A of Homrich Berg
      Mar 30, 2020 · Control person joined · fact
    • Mclemore Thomas Carroll (President) appeared on Schedule A of Homrich Berg
      Jan 9, 2020 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026
    Across the graphs

    Homrich Berg is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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