0001172661-12-001168.txt : 20121114 0001172661-12-001168.hdr.sgml : 20121114 20121114120210 ACCESSION NUMBER: 0001172661-12-001168 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Homrich & Berg CENTRAL INDEX KEY: 0001504744 IRS NUMBER: 581862413 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14008 FILM NUMBER: 121202309 BUSINESS ADDRESS: STREET 1: 3060 PEACHTREE ROAD STREET 2: SUITE 830 CITY: ATLANTA STATE: GA ZIP: 30305 BUSINESS PHONE: 404-264-1400 MAIL ADDRESS: STREET 1: 3060 PEACHTREE ROAD STREET 2: SUITE 830 CITY: ATLANTA STATE: GA ZIP: 30305 13F-HR/A 1 homrichberg1q12a1.txt FORM 13F AMENDMENT FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2012 Check here if Amendment [ X]; Amendment Number: 1 This Amendment (Check only one.): [ X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Homrich Berg Address: 3060 Peachtree Road Suite 830 Atlanta, Georgia 30305 13F File Number: 028-14008 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Christopher Casdia Title: Compliance & Operations Manager Phone: (404) 264-1400 Signature, Place, and Date of Signing: /s/ Christopher Casdia Atlanta, GA/USA November 14, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 113 Form 13F Information Table Value Total: $379,317 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 241 2706 SH SOLE 0 0 2706 ABBOTT LABS COM 002824100 366 5977 SH SOLE 0 0 5977 AMERICAN ELEC PWR INC COM 025537101 363 9415 SH SOLE 0 0 9415 AMERICAN EXPRESS CO COM 025816109 204 3522 SH SOLE 0 0 3522 AMERICAN TOWER CORP NEW COM 03027X100 260 4121 SH SOLE 0 0 4121 AMERICAN WTR WKS CO INC NEW COM 030420103 216 6360 SH SOLE 0 0 6360 APPLE INC COM 037833100 1498 2498 SH SOLE 0 0 2498 AT&T INC COM 00206R102 8358 267643 SH SOLE 0 0 267643 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1173 14450 SH SOLE 0 0 14450 BLACKROCK INCOME TR INC COM 09247F100 541 72946 SH SOLE 0 0 72946 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 243 9191 SH SOLE 0 0 9191 BORGWARNER INC COM 099724106 792 9391 SH SOLE 0 0 9391 BP PLC SPONSORED ADR 055622104 271 6021 SH SOLE 0 0 6021 BRISTOL MYERS SQUIBB CO COM 110122108 408 12081 SH SOLE 0 0 12081 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 829 13553 SH SOLE 0 0 13553 CENTENE CORP DEL COM 15135B101 447 9128 SH SOLE 0 0 9128 CENTERPOINT ENERGY INC COM 15189T107 435 22053 SH SOLE 0 0 22053 CHEVRON CORP NEW COM 166764100 1271 11854 SH SOLE 0 0 11854 CISCO SYS INC COM 17275R102 279 13198 SH SOLE 0 0 13198 CLAYMORE EXCHANGE TRD FD TR GUGG BRIC ETF 18383M100 236 5989 SH SOLE 0 0 5989 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 344 29179 SH SOLE 0 0 29179 CMS ENERGY CORP COM 125896100 724 32889 SH SOLE 0 0 32889 COCA COLA CO COM 191216100 5132 68841 SH SOLE 0 0 68841 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 399 9564 SH SOLE 0 0 9564 CONAGRA FOODS INC COM 205887102 740 28181 SH SOLE 0 0 28181 CONOCOPHILLIPS COM 20825C104 393 5176 SH SOLE 0 0 5176 DU PONT E I DE NEMOURS & CO COM 263534109 616 11650 SH SOLE 0 0 11650 EDGEWATER TECHNOLOGY INC COM 280358102 322 82142 SH SOLE 0 0 82142 ENDURO RTY TR TR UNIT 29269K100 1493 68893 SH SOLE 0 0 68893 ENTERPRISE PRODS PARTNERS L COM 293792107 1259 24946 SH SOLE 0 0 24946 EQUIFAX INC COM 294429105 988 22326 SH SOLE 0 0 22326 EXXON MOBIL CORP COM 30231G102 1685 19434 SH SOLE 0 0 19434 FLY LEASING LTD SPONSORED ADR 34407D109 175 14300 SH SOLE 0 0 14300 GARMIN LTD SHS H2906T109 392 8342 SH SOLE 0 0 8342 GENERAL ELECTRIC CO COM 369604103 1161 57395 SH SOLE 0 0 57395 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 627 13725 SH SOLE 0 0 13725 GOLUB CAP BDC INC COM 38173M102 292 19128 SH SOLE 0 0 19128 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 1113 82642 SH SOLE 0 0 82642 HERCULES TECH GROWTH CAP INC COM 427096508 424 38245 SH SOLE 0 0 38245 HOME DEPOT INC COM 437076102 3337 66332 SH SOLE 0 0 66332 HONEYWELL INTL INC COM 438516106 227 3725 SH SOLE 0 0 3725 INERGY L P UNIT LTD PTNR 456615103 204 12445 SH SOLE 0 0 12445 INTEL CORP COM 458140100 475 16903 SH SOLE 0 0 16903 INTERNATIONAL BUSINESS MACHS COM 459200101 1308 6269 SH SOLE 0 0 6269 ISHARES GOLD TRUST ISHARES 464285105 911 55981 SH SOLE 0 0 55981 ISHARES INC MSCI EMU INDEX 464286608 248 7845 SH SOLE 0 0 7845 ISHARES TR DJ SEL DIV INX 464287168 246 4393 SH SOLE 0 0 4393 ISHARES TR IBOXX INV CPBD 464287242 800 6918 SH SOLE 0 0 6918 ISHARES TR S&P500 GRW 464287309 30884 409762 SH SOLE 0 0 409762 ISHARES TR S&P NA NAT RES 464287374 2318 58795 SH SOLE 0 0 58795 ISHARES TR S&P 500 VALUE 464287408 2480 38192 SH SOLE 0 0 38192 ISHARES TR S&P EURO PLUS 464287861 239 6402 SH SOLE 0 0 6402 ISHARES TR HGH DIV EQT FD 46429B663 65913 1153342 SH SOLE 0 0 1153342 JOHNSON & JOHNSON COM 478160104 1013 15363 SH SOLE 0 0 15363 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 641 16373 SH SOLE 0 0 16373 KIMBERLY CLARK CORP COM 494368103 457 6123 SH SOLE 0 0 6123 KRAFT FOODS INC CL A 50075N104 554 14477 SH SOLE 0 0 14477 LILLY ELI & CO COM 532457108 518 12855 SH SOLE 0 0 12855 LOCKHEED MARTIN CORP COM 539830109 449 5001 SH SOLE 0 0 5001 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1487 20550 SH SOLE 0 0 20550 MAIN STREET CAPITAL CORP COM 56035L104 1092 44079 SH SOLE 0 0 44079 MCDONALDS CORP COM 580135101 359 3656 SH SOLE 0 0 3656 MERCK & CO INC NEW COM 58933Y105 477 12289 SH SOLE 0 0 12289 MICROSOFT CORP COM 594918104 664 20591 SH SOLE 0 0 20591 NEXTERA ENERGY INC COM 65339F101 496 8125 SH CALL SOLE 0 0 8125 NORFOLK SOUTHERN CORP COM 655844108 358 5442 SH SOLE 0 0 5442 NUVEEN MTG OPPORTUNITY TERM COM 670735109 366 15558 SH SOLE 0 0 15558 OCCIDENTAL PETE CORP DEL COM 674599105 322 3362 SH SOLE 0 0 3362 PENNANTPARK INVT CORP COM 708062104 743 69646 SH SOLE 0 0 69646 PEPSICO INC COM 713448108 592 8929 SH SOLE 0 0 8929 PFIZER INC COM 717081103 1221 53915 SH SOLE 0 0 53915 PHILIP MORRIS INTL INC COM 718172109 1414 15823 SH SOLE 0 0 15823 PIMCO CORPORATE & INCOME OPP COM 72201B101 527 28154 SH SOLE 0 0 28154 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 261 3323 SH SOLE 0 0 3323 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 2734 146817 SH SOLE 0 0 146817 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 361 12876 SH SOLE 0 0 12876 PPL CORP COM 69351T106 573 20017 SH SOLE 0 0 20017 PROCTER & GAMBLE CO COM 742718109 1949 28994 SH SOLE 0 0 28994 PROGRESS ENERGY INC COM 743263105 254 4786 SH SOLE 0 0 4786 RAYONIER INC COM 754907103 347 7878 SH SOLE 0 0 7878 REGIONS FINANCIAL CORP NEW COM 7591EP100 650 98539 SH SOLE 0 0 98539 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 36743 1317431 SH SOLE 0 0 1317431 SHUFFLE MASTER INC COM 825549108 239 13589 SH SOLE 0 0 13589 SOUTHERN CO COM 842587107 855 19019 SH SOLE 0 0 19019 SOUTHWEST AIRLS CO COM 844741108 100 12089 SH SOLE 0 0 12089 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 279 4778 SH SOLE 0 0 4778 SPDR SERIES TRUST S&P DIVID ETF 78464A763 664 11728 SH SOLE 0 0 11728 SYSCO CORP COM 871829107 423 14175 SH SOLE 0 0 14175 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 803 19369 SH SOLE 0 0 19369 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 389 9930 SH SOLE 0 0 9930 TRIANGLE CAP CORP COM 895848109 419 21228 SH SOLE 0 0 21228 U M H PROPERTIES INC COM 903002103 146 13319 SH SOLE 0 0 13319 UBS AG JERSEY BRH ALERIAN INFRST 902641646 22768 680049 SH SOLE 0 0 680049 UNITED PARCEL SERVICE INC CL B 911312106 278 3438 SH SOLE 0 0 3438 US BANCORP DEL COM NEW 902973304 364 11415 SH SOLE 0 0 11415 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 892 11023 SH SOLE 0 0 11023 VANGUARD INDEX FDS MID CAP ETF 922908629 288 3529 SH SOLE 0 0 3529 VANGUARD INDEX FDS GROWTH ETF 922908736 370 5217 SH SOLE 0 0 5217 VANGUARD INDEX FDS VALUE ETF 922908744 314 5450 SH SOLE 0 0 5450 VANGUARD INDEX FDS TOTAL STK MKT 922908769 49223 681187 SH SOLE 0 0 681187 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 11433 258538 SH SOLE 0 0 258538 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 321 7382 SH SOLE 0 0 7382 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 703 8366 SH SOLE 0 0 8366 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 70518 1204409 SH SOLE 0 0 1204409 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 2850 83751 SH SOLE 0 0 83751 VANGUARD WORLD FDS ENERGY ETF 92204A306 6982 66380 SH SOLE 0 0 66380 VERIZON COMMUNICATIONS INC COM 92343V104 982 25685 SH SOLE 0 0 25685 WAL MART STORES INC COM 931142103 503 8179 SH SOLE 0 0 8179 WASTE MGMT INC DEL COM 94106L109 413 11807 SH SOLE 0 0 11807 WESTERN ASSET MTG DEF OPPTY COM 95790B109 434 19987 SH SOLE 0 0 19987 WISDOMTREE TR EM LCL DEBT FD 97717X867 536 10320 SH SOLE 0 0 10320 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 521 9047 SH SOLE 0 0 9047 WISDOMTREE TRUST JP TOTAL DIVID 97717W851 385 10420 SH SOLE 0 0 10420