0001172661-12-001169.txt : 20121114 0001172661-12-001169.hdr.sgml : 20121114 20121114120418 ACCESSION NUMBER: 0001172661-12-001169 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-14008 FILM NUMBER: 121202328 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 1 homrich3q12.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] 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: 127 Form 13F Information Table Value Total: $408,974 (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 267 2892 SH SOLE 0 0 2892 ABBOTT LABS COM 002824100 428 6247 SH SOLE 0 0 6247 ALTRIA GROUP INC COM 02209S103 476 14241 SH SOLE 0 0 14241 AMERICAN ELEC PWR INC COM 025537101 442 10066 SH SOLE 0 0 10066 AMERICAN EXPRESS CO COM 025816109 205 3602 SH SOLE 0 0 3602 AMERICAN TOWER CORP NEW COM 03027X100 295 4134 SH SOLE 0 0 4134 AMERICAN WTR WKS CO INC NEW COM 030420103 225 6061 SH SOLE 0 0 6061 APPLE INC COM 037833100 1884 2824 SH PUT SOLE 0 0 2824 ARES CAP CORP COM 04010L103 488 28472 SH SOLE 0 0 28472 AT&T INC COM 00206R102 10487 278174 SH SOLE 0 0 278174 BEMIS INC COM 081437105 787 25012 SH SOLE 0 0 25012 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1577 17881 SH SOLE 0 0 17881 BLACKROCK INCOME TR INC COM 09247F100 715 93159 SH SOLE 0 0 93159 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 788 28245 SH SOLE 0 0 28245 BORGWARNER INC COM 099724106 661 9561 SH SOLE 0 0 9561 BP PLC SPONSORED ADR 055622104 304 7169 SH SOLE 0 0 7169 BRISTOL MYERS SQUIBB CO COM 110122108 462 13676 SH SOLE 0 0 13676 CENTENE CORP DEL COM 15135B101 474 12683 SH SOLE 0 0 12683 CENTERPOINT ENERGY INC COM 15189T107 514 24123 SH SOLE 0 0 24123 CHEVRON CORP NEW COM 166764100 1419 12172 SH SOLE 0 0 12172 CISCO SYS INC COM 17275R102 291 15223 SH SOLE 0 0 15223 CLAYMORE EXCHANGE TRD FD TR GUGG BRIC ETF 18383M100 212 5989 SH SOLE 0 0 5989 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 341 29179 SH SOLE 0 0 29179 CMS ENERGY CORP COM 125896100 936 39734 SH SOLE 0 0 39734 COCA COLA CO COM 191216100 5271 138965 SH SOLE 0 0 138965 COMCAST CORP NEW CL A SPL 20030N200 209 6000 SH SOLE 0 0 6000 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 481 12574 SH SOLE 0 0 12574 CONAGRA FOODS INC COM 205887102 937 33978 SH SOLE 0 0 33978 CONOCOPHILLIPS COM 20825C104 416 7267 SH SOLE 0 0 7267 COPANO ENERGY L L C COM UNITS 217202100 473 14355 SH SOLE 0 0 14355 CVR PARTNERS LP COM 126633106 628 23902 SH SOLE 0 0 23902 DU PONT E I DE NEMOURS & CO COM 263534109 616 12258 SH SOLE 0 0 12258 DUKE ENERGY CORP NEW COM NEW 26441C204 277 4271 SH SOLE 0 0 4271 EDGEWATER TECHNOLOGY INC COM 280358102 173 43642 SH SOLE 0 0 43642 ENDURO RTY TR TR UNIT 29269K100 2258 122592 SH SOLE 0 0 122592 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 294 6895 SH SOLE 0 0 6895 ENTERPRISE PRODS PARTNERS L COM 293792107 1560 29099 SH SOLE 0 0 29099 EQUIFAX INC COM 294429105 700 15019 SH SOLE 0 0 15019 EXXON MOBIL CORP COM 30231G102 2003 21906 SH SOLE 0 0 21906 GARMIN LTD SHS H2906T109 497 11917 SH SOLE 0 0 11917 GENERAL ELECTRIC CO COM 369604103 1263 55624 SH SOLE 0 0 55624 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 777 16798 SH SOLE 0 0 16798 GOLUB CAP BDC INC COM 38173M102 634 39868 SH SOLE 0 0 39868 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 1492 104985 SH SOLE 0 0 104985 HERCULES TECH GROWTH CAP INC COM 427096508 439 39880 SH SOLE 0 0 39880 HOME DEPOT INC COM 437076102 3897 64552 SH SOLE 0 0 64552 HONEYWELL INTL INC COM 438516106 214 3586 SH SOLE 0 0 3586 INERGY L P UNIT LTD PTNR 456615103 237 12445 SH SOLE 0 0 12445 INTEL CORP COM 458140100 432 19082 SH SOLE 0 0 19082 INTERNATIONAL BUSINESS MACHS COM 459200101 1280 6169 SH SOLE 0 0 6169 ISHARES GOLD TRUST ISHARES 464285105 1001 57973 SH SOLE 0 0 57973 ISHARES INC MSCI EMU INDEX 464286608 236 7845 SH SOLE 0 0 7845 ISHARES TR DJ SEL DIV INX 464287168 458 7943 SH SOLE 0 0 7943 ISHARES TR BARCLYS TIPS BD 464287176 838 6881 SH SOLE 0 0 6881 ISHARES TR BARCLY USAGG B 464287226 204 1810 SH SOLE 0 0 1810 ISHARES TR IBOXX INV CPBD 464287242 866 7113 SH SOLE 0 0 7113 ISHARES TR S&P500 GRW 464287309 30948 397546 SH SOLE 0 0 397546 ISHARES TR S&P NA NAT RES 464287374 2352 59541 SH SOLE 0 0 59541 ISHARES TR S&P 500 VALUE 464287408 1855 28195 SH SOLE 0 0 28195 ISHARES TR MSCI EAFE INDEX 464287465 1232 23248 SH SOLE 0 0 23248 ISHARES TR S&P MC 400 GRW 464287606 647 5779 SH SOLE 0 0 5779 ISHARES TR RUSSELL1000GRW 464287614 1585 23769 SH SOLE 0 0 23769 ISHARES TR BARCLYS MBS BD 464288588 927 8491 SH SOLE 0 0 8491 ISHARES TR HGH DIV EQT FD 46429B663 60305 989732 SH SOLE 0 0 989732 JOHNSON & JOHNSON COM 478160104 1125 16331 SH SOLE 0 0 16331 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1240 30658 SH SOLE 0 0 30658 KIMBERLY CLARK CORP COM 494368103 576 6712 SH SOLE 0 0 6712 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 233 2829 SH SOLE 0 0 2829 LILLY ELI & CO COM 532457108 607 12808 SH SOLE 0 0 12808 LOCKHEED MARTIN CORP COM 539830109 479 5129 SH SOLE 0 0 5129 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 2245 25669 SH SOLE 0 0 25669 MAIN STREET CAPITAL CORP COM 56035L104 1427 48341 SH SOLE 0 0 48341 MCDONALDS CORP COM 580135101 326 3549 SH SOLE 0 0 3549 MERCK & CO INC NEW COM 58933Y105 534 11842 SH SOLE 0 0 11842 MICROSOFT CORP COM 594918104 629 21141 SH SOLE 0 0 21141 NEXTERA ENERGY INC COM 65339F101 564 8014 SH SOLE 0 0 8014 NORFOLK SOUTHERN CORP COM 655844108 366 5756 SH SOLE 0 0 5756 NUVEEN MTG OPPORTUNITY TERM COM 670735109 553 19762 SH SOLE 0 0 19762 OCCIDENTAL PETE CORP DEL COM 674599105 280 3256 SH SOLE 0 0 3256 OLIN CORP COM PAR $1 680665205 376 17316 SH SOLE 0 0 17316 PENNANTPARK INVT CORP COM 708062104 914 86115 SH SOLE 0 0 86115 PEPSICO INC COM 713448108 661 9333 SH SOLE 0 0 9333 PFIZER INC COM 717081103 1473 59263 SH SOLE 0 0 59263 PHILIP MORRIS INTL INC COM 718172109 2408 26774 SH SOLE 0 0 26774 PIMCO CORPORATE & INCOME OPP COM 72201B101 588 29257 SH SOLE 0 0 29257 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1270 14401 SH SOLE 0 0 14401 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 514 20619 SH SOLE 0 0 20619 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 3059 160471 SH SOLE 0 0 160471 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 532 17326 SH SOLE 0 0 17326 PPL CORP COM 69351T106 686 23600 SH SOLE 0 0 23600 PROCTER & GAMBLE CO COM 742718109 1866 26901 SH SOLE 0 0 26901 RAYONIER INC COM 754907103 496 10124 SH SOLE 0 0 10124 REGIONS FINANCIAL CORP NEW COM 7591EP100 676 93982 SH SOLE 0 0 93982 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 31981 1112396 SH SOLE 0 0 1112396 SEAGATE TECHNOLOGY PLC SHS G7945M107 275 8885 SH SOLE 0 0 8885 SOUTHERN CO COM 842587107 954 20706 SH SOLE 0 0 20706 SOUTHERN COPPER CORP COM 84265V105 214 6222 SH SOLE 0 0 6222 SOUTHWEST AIRLS CO COM 844741108 106 12089 SH SOLE 0 0 12089 SPDR GOLD TRUST GOLD SHS 78463V107 554 3223 SH SOLE 0 0 3223 SPDR S&P 500 ETF TR TR UNIT 78462F103 1592 11059 SH SOLE 0 0 11059 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 290 4778 SH SOLE 0 0 4778 SPDR SERIES TRUST S&P DIVID ETF 78464A763 681 11728 SH SOLE 0 0 11728 STARWOOD PPTY TR INC COM 85571B105 526 22615 SH SOLE 0 0 22615 SYSCO CORP COM 871829107 440 14066 SH SOLE 0 0 14066 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 622 14501 SH SOLE 0 0 14501 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 374 9930 SH SOLE 0 0 9930 TRIANGLE CAP CORP COM 895848109 581 22645 SH SOLE 0 0 22645 UBS AG JERSEY BRH ALERIAN INFRST 902641646 39244 1152980 SH SOLE 0 0 1152980 UNITED PARCEL SERVICE INC CL B 911312106 230 3210 SH SOLE 0 0 3210 US BANCORP DEL COM NEW 902973304 392 11415 SH SOLE 0 0 11415 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1143 14031 SH SOLE 0 0 14031 VANGUARD INDEX FDS GROWTH ETF 922908736 378 5217 SH SOLE 0 0 5217 VANGUARD INDEX FDS TOTAL STK MKT 922908769 50286 682797 SH SOLE 0 0 682797 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 10287 239449 SH SOLE 0 0 239449 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 275 6592 SH SOLE 0 0 6592 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1179 13449 SH SOLE 0 0 13449 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 70009 1173097 SH SOLE 0 0 1173097 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 2313 70355 SH SOLE 0 0 70355 VANGUARD WORLD FDS ENERGY ETF 92204A306 7252 67788 SH SOLE 0 0 67788 VERIZON COMMUNICATIONS INC COM 92343V104 1261 27677 SH SOLE 0 0 27677 VISA INC COM CL A 92826C839 243 1811 SH SOLE 0 0 1811 WAL-MART STORES INC COM 931142103 586 7946 SH SOLE 0 0 7946 WASTE MGMT INC DEL COM 94106L109 409 12748 SH SOLE 0 0 12748 WESTERN ASSET MTG DEF OPPTY COM 95790B109 480 19215 SH SOLE 0 0 19215 WINTHROP RLTY TR SH BEN INT NEW 976391300 177 16453 SH SOLE 0 0 16453 WISDOMTREE TR EM LCL DEBT FD 97717X867 979 18720 SH SOLE 0 0 18720 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 368 6864 SH SOLE 0 0 6864