HWA FINANCIAL GROUP
HUBER, WEAKLAND & ASSOCIATES, INC. Legal Name
Adviser information for HWA FINANCIAL GROUP last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 492 | $218.7M |
| Non-Discretionary | 0 | $0 |
| Total | 492 | $218.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 101 | $32.4M |
| HNW Individuals | 45 | $164.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $19.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-113612 |
|---|---|
| SEC ERA File Number | 801-113612 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120745 |
| Legal Entity Identifier | None |
Principal Office
3448 ELLICOTT CENTER DRIVE, SUITE 101ELLICOTT CITY
MD
United States
Monday - Friday, 9:00 TO 5:00
Tel: 410.696.4025, Fax: 410.696.4031
Chief Compliance Officer
PHILIP HUBER, JR.
PRESIDENT AND CHIEF EXECUTIVE OFFICER
3448 ELLICOTT CENTER DRIVE
SUITE 101
ELLICOTT CITY
MD
United States
Tel:
410.696.4025
Fax:
410.696.4031
P*****@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HUBER, PHILIP, E | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 01/2010 | > 75% |
| GELD, JOSEPH, R | Individual | – | FINANCIAL ADVISOR | 01/2022 | 10-25% |