Nathan Richardson Allen Iii

LPL FINANCIAL LLC

TOWSON, MD · CRD#

WILLIAMS ASSET MANAGEMENT

COLUMBIA, MD · CRD#

WILLIAMS ASSET MANAGEMENT

COLUMBIA, MD · CRD#

THE MARSHALL FINANCIAL GROUP LLC

HUNT VALLEY, MD · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

30 years registered in the securities industry

Current & Past Employments

Current

HB WEALTHCurrent·CRD# 316731

RIA

1 West Pennsylvania Avenue Suite 800, Towson, MD 21204

January 29, 2025 - Present

WMS PARTNERS, LLCCurrent·CRD# 109971

RIA

1 W Pennsylvania Avenue Suite 800, Towson, MD 21204

August 4, 2025 - Present

Past

WMS PARTNERS, LLCPast·CRD# 109971

RIA

Towson, MD

November 13, 2018 - June 27, 2025

WARISAN CAPITAL MANAGEMENTPast·CRD# 287790

RIA

Stamford, CT

June 6, 2017 - July 16, 2018

A.L. STUART INVESTMENTS, LLCPast·CRD# 158974

RIA

Stamford, CT

August 10, 2012 - June 8, 2017

DEUTSCHE BANK SECURITIES INC.Past·CRD# 2525

RIA

Greenwich, CT

August 31, 2006 - August 21, 2012

DEUTSCHE BANK SECURITIES INC.Past·CRD# 2525

BD

Greenwich, CT

August 31, 2006 - August 21, 2012

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

RIA

Stamford, CT

January 29, 2003 - September 12, 2006

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

BD

Stamford, CT

November 21, 2001 - September 12, 2006

J.P. MORGAN SECURITIES INC.Past·CRD# 18718

BD

New York, NY

June 12, 1996 - June 29, 2001

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Customer Relationship Summary (CRS / SEC)Latest Form ADV

Current Firm

HB WEALTH

CRD#: 316731 / SEC#: 801-122595

RIA

Registered Investment Advisory firm - SEC (11/5/2021 Approved)

Contact Information

Main Address

3550 Lenox Rd Ne Suite 2700, Atlanta, GA 30326

Phone Number

(404) 264-1400

# of Employees

325

SEC notice filing (50 States and Territories)

Registered to provide investment advisory services in 50 US states and territories.

Documents

Part 2 Brochures

HOMRICH BERG BROCHURE (9/3/2026)

Regulatory Assets Under Management

Total Number of Accounts

26,148

AUM (Assets Under Management)

$30,158,401,942

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2026	Cover Page	Report
12/18/2025	Cover Page	Report
11/25/2024	Cover Page	Report
10/23/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

WMS Partners, LLC: Serving as Committee Chair overseeing legacy private funds as they are wound down. Investment related; approximately 5 hours a month during business hours. Marilyn Yablon Trust; Trustee; Investment related; Approximately 1-5 hours per month during business and/or non-business hours. Howard Hillman Trust; Trustee; Investment related; 1-5 hours per month during business and/or non-business hours. Dora Hillman Trust; Trustee; Investment related; 1-5 hours per month during business and/or non-business hours.

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THE MARSHALL FINANCIAL GROUP LLC

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HB WEALTH

CRD#: 316731 / SEC#: 801-122595

RIA

Registered Investment Advisory firm - SEC (11/5/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

IAR

Maryland
(1/29/2025)

IAR

Texas
(1/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Client Relationship Summary) - RIA

HB WEALTH — Registered Investment Advisory firm

Version Date: Tue, Mar 01, 2022

HB Wealth Management, LLC (“Homrich Berg” or “HB”) is registered as an Investment Adviser with the U.S. Securities & Exchange Commission (“SEC”). Brokerage and investment advisory services and fees differ and it is important for you, the retail investor to understand the differences. Free and simple tools are available to research firms and financial professionals at investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

We offer investment advisory services, which include both financial planning and investment management, to retail investors.

Financial Planning: Financial planning services are available to each client; the level of planning is determined by each client’s specific goals, needs and circumstances. Financial planning services include, but are not limited to, wealth forecasting, tax planning, estate planning, insurance planning and risk management, charitable giving, and targeted planning for specific life events (retirement, college, etc.) We monitor financial plans over time and update according to agreed-upon schedules.

Investment Management: Client portfolios are managed based on asset allocation models created and maintained by our investment research team, and are customized as needed to fit specific client needs and goals. Client portfolios typically consist of Exchange Traded Funds (“ETFs”), mutual funds, and individual securities. Based on individual client needs, we may also recommend investments in alternatives which can include private equity, private real estate, hedge funds, and other private investment vehicles. As part of our standard service offering, we monitor client portfolios on a continuous basis and rebalance portfolios as needed.

We primarily manage client portfolios on a discretionary basis; with discretionary portfolios, we buy and sell securities without discussing with you first. In some limited instances, we manage client portfolios on a non-discretionary basis; with non-discretionary portfolios, we discuss which securities to buy or sell with you first, but you (our client) make the ultimate decision regarding the purchase or sale of securities.

Additional Information: For more information about our services, please review our ADV Part 2A sections 4, 5, 7, and 10, https://homrichberg.com/resources/form-adv/.

Questions to ask your Professional:

Given my financial situation, should I choose an investment advisory service? Why or why not?
How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

We typically charge asset-based fees based on the amount of investment capital we manage or advise on. Our fee schedule ranges from 1.25% to 0.50%, depending on the type of services provided and the amount of investment capital managed or advised on. While we do not have a minimum relationship size to become a client, we generally impose a minimum fee of $12,500, which can increase if more complex financial planning services are required. Asset-based fees are payable quarterly and in advance. The more assets there are in your advisory account, the more you will pay in fees; thus, HB has an incentive to encourage you to increase the assets in your account.

For a small number of clients, we charge a fixed fee instead of an asset-based fee. Fixed fees are payable quarterly and in advance.

We do not charge commissions, performance-based fees, or hourly fees.

Other fees and costs: Some investments like mutual funds, ETFs, or private funds include additional fund level management fees; you may also incur fees from your custodian for things like wire transfers, transaction fees, or other custody fees.

Additional Information: You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. For more information regarding our fees and costs, please review our Form ADV Part 2A Item 5, https://homrichberg.com/resources/form-adv/.

Questions to ask your Professional:

Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means.

.We typically make money based on the amount of investment capital under our management; we have a financial incentive to recommend that you place more investment capital under our management.
We are the sponsor and manager of a number of investment funds. We do not charge any additional management fees to our clients who invest in these funds and we have no financial incentive to recommend them to clients. However, since we created these funds, we do have a bias to recommend them to clients.

Additional Information: Please review Form ADV Part 2A, Item 10, 12, and 14 for additional conflicts of interest, https://homrichberg.com/resources/form-adv/

Questions to ask your Professional:

How might your conflicts of interest affect me and how will you address them?

HB financial professionals (“FPs”) are primarily compensated through a base salary, plus a bonus based on individual and firm performance. An additional bonus is provided when an FP refers a new client to HB or when a current client places additional investment capital under our management. FPs have a financial incentive to recommend that qualified individuals become clients of HB, and to recommend that current clients place more investment capital under our management. FPs do not receive any compensation for specific transactions or recommending specific investments to clients.

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