{"url":"https://nivawealth.com/firms/huber-weakland-and-associates-120745","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120745","regulatoryAum":295313734,"crd":"120745","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6492641","suffix":null,"lastName":"GELD","firstName":"JOSEPH","middleName":"R"},{"crd":"2998076","suffix":"JR","lastName":"HUBER","firstName":"PHILIP","middleName":"E"},{"crd":"6265851","suffix":null,"lastName":"PEREIRA","firstName":"DANIEL","middleName":"SPENCER"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-25","regulatoryAum":188999935,"clients":121,"employees":3,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":222710159,"clients":127,"employees":3,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":185803528,"clients":138,"employees":3,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":218673282,"clients":151,"employees":4,"offices":1},{"filedOn":"2025-04-16","regulatoryAum":255895939,"clients":171,"employees":4,"offices":1},{"filedOn":"2026-03-23","regulatoryAum":295313734,"clients":174,"employees":4,"offices":1}],"secFileNumber":"801-113612","legalName":"Huber, Weakland & Associates, Inc.","displayName":"Huber, Weakland & Associates","slug":"huber-weakland-and-associates-120745","website":"https://hwafinancialgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/29120715/admin/","founded":null,"organization":"Maryland corporation","fiscalYearEnd":"December","headquarters":{"street":"3448 Ellicott Center Drive, Suite 101","city":"Ellicott City","state":"MD","stateName":"Maryland","country":"United States","postalCode":"21043"},"tradeNames":[],"registration":{"secApproved":"20 July 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1597269.9580838324,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":295313734,"discretionary":267113334,"discretionaryAccounts":568,"nonDiscretionary":28200400,"nonDiscretionaryAccounts":9,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":7},"clientTypes":[{"label":"Individuals (other than HNW)","clients":105,"regulatoryAum":37550887},{"label":"High-net-worth individuals","clients":62,"regulatoryAum":229193196},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":490285},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":26560168},{"label":"Corporations and other businesses","clients":4,"fewerThan5":true,"regulatoryAum":1519198}],"feePrograms":[{"role":"main","program":"HWA Wealth Investment Advisory Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":3000000,"pct":0.7,"from":1000000},{"to":5000000,"pct":0.5,"from":3000000},{"to":null,"pct":0.3,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022626","versionId":1022626,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-20","documentName":"2026 03 20 ADV PART 2A & 2B","fee_rate_low":0.3,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Investment consulting","summary":"Investment consulting is charged an agreed fee that typically ranges from $10,000 to $70,000, depending on the accounts and assets reviewed.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022626","versionId":1022626,"submittedOn":"2026-03-20","documentName":"2026 03 20 ADV PART 2A & 2B"},{"role":"other","program":"Retirement plan services","summary":"Negotiable plan fees generally range from 0.20% to 0.75% of plan assets under advisement, depending on the scope of services.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022626","versionId":1022626,"submittedOn":"2026-03-20","documentName":"2026 03 20 ADV PART 2A & 2B"},{"role":"other","program":"Stand-alone financial planning","summary":"Financial planning is negotiable, generally $150 to $250 an hour, depending on the scope of the work and the professional performing it.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022626","versionId":1022626,"submittedOn":"2026-03-20","documentName":"2026 03 20 ADV PART 2A & 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:45:59.234103+00:00","documents":[{"name":"2026 03 20 ADV PART 2A & 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022626","versionId":1022626,"submittedOn":"2026-03-20"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":284578717}],"custodyNote":"Huber, Weakland & Associates does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Philip Huber","title":"President, Chief Executive Officer, Chief Compliance Officer","crd":"2998076"},{"name":"Joseph Geld","title":"Financial Advisor","crd":"6492641"}],"ownership":[{"label":"Philip Huber","detail":"President, chief executive officer, chief compliance officer in the 75% or more ownership band and a control person, since January 2010."},{"label":"Joseph Geld","detail":"Financial advisor in the 10% to 25% ownership band, since January 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Maryland","offices":1,"addresses":[{"street":"3448 Ellicott Center Drive, Suite 101","city":"Ellicott City","headquarters":true}]}],"brochureServices":["estate planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"410-696-4025","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":35},{"label":"U.S. government/agency bonds","percent":1},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":59},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/120745/PDF/120745.pdf","brochureDate":"20 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022626","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Huber, Weakland & Associates have?","answer":"Huber, Weakland & Associates has 174 clients and manages $295 million for them, as of March 2026. They include 105 individual clients, 62 high-net-worth individuals, and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Huber, Weakland & Associates offer?","answer":"Huber, Weakland & Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, estate planning, and insurance.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Huber, Weakland & Associates charge?","answer":"Huber, Weakland & Associates charges 0.30%–1.00% a year for its HWA Wealth Investment Advisory Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"2026 03 20 ADV PART 2A & 2B, filed 20 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Huber, Weakland & Associates use?","answer":"Huber, Weakland & Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $285M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Huber, Weakland & Associates have?","answer":"Huber, Weakland & Associates has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Huber, Weakland & Associates invest in?","answer":"At the end of its last fiscal year, Huber, Weakland & Associates’ separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 35% exchange-traded equities, 4% cash and equivalents, 1% U.S. government and agency bonds and 1% high-yield corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Huber, Weakland & Associates?","answer":"Huber, Weakland & Associates’ direct owners are Philip Huber (75% or more) and Joseph Geld (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Huber, Weakland & Associates get paid?","answer":"Huber, Weakland & Associates is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Huber, Weakland & Associates?","answer":"Huber, Weakland & Associates’ main office is at 3448 Ellicott Center Drive, Suite 101, Ellicott City, MD 21043. Its phone number is 410-696-4025. Its website is hwafinancialgroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}