DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

BARKER FINANCIAL GROUP, INC.

CRD 116817

TOPSFIELD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3aa38431-3c47-fa3c-7bb0-c22b605259c2

Data as of Mar 13, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 6
On other graphs: 0
Observed: Feb 14, 2012 to Mar 13, 2024
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $209MItem 5.F on the latest filing (2024-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $209M
Private client RAUM: $204MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 595
Individual clients: 152
High net worth clients: 87
SEC number: 801-79411
CRD: 116817
Filings on the tape: 28
First filed: Feb 14, 2012
Latest filed: Mar 13, 2024
Organised: Corporation, Massachusetts
Website: barkerfinancialgroup.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BARKER, JAMES, THEODORE	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	01/1998	Feb 14, 2012	Mar 13, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 13, 2024	$209M	$209M	3	3	1	n/a	n/a
2022	Mar 23, 2023	$188M	$188M	3	3	1	n/a	n/a
2021	Mar 7, 2022	$227M	$225M	4	3	1	n/a	n/a
2020	Mar 1, 2021	$196M	$195M	5	4	1	n/a	n/a
2019	Mar 9, 2020	$166M	$166M	5	3	1	n/a	n/a
2018	Mar 6, 2019	$138M	$138M	4	3	1	n/a	n/a
2017	Mar 10, 2018	$147M	$147M	4	2	2	n/a	n/a
2016	Mar 13, 2017	$126M	$126M	4	3	n/a	n/a	n/a
2015	Mar 12, 2016	$110M	$110M	4	3	n/a	n/a	n/a
2014	Mar 30, 2015	$111M	$111M	4	3	n/a	n/a	n/a
2011	Mar 15, 2012	$76.0M	$76.0M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$209M	$188M	11.5%	$196M	2.2%	3	3	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
APELLA WEALTH	2	Mar 27, 2025	Jan 17, 2025	TOPSFIELD, MA	Team lift out	RIA to RIA	66.7%

Relationships

Controls (1)

← BARKER, JAMES, THEODOREOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV

Registered with (5)

← JAMES THEODORE BARKERAdvisorregistration: previous registration
Jan 4, 1998 to Mar 27, 2025factForm ADV
← MARY ELLEN DEROCHEAdvisorregistration: previous registration
Feb 11, 2019 to Mar 27, 2025factForm ADV
← DOUGLAS STEVEN HUDDLESTONAdvisorregistration: previous registration
Nov 2, 2009 to Mar 27, 2025factForm ADV
← CHRISTOPHER GEORGE SADKOWSKIAdvisorregistration: previous registration
Dec 11, 2006 to Jun 17, 2011factForm ADV
← HIDEYOSHI DECARVALHO WATANABEAdvisorregistration: previous registration
Oct 1, 2010 to Oct 8, 2010factForm ADV

Moved with (1)

→ APELLA WEALTHRegistered adviser2 advisors, team lift out, same day
Mar 27, 2025 to Jan 17, 2025factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Barker Financial Group, Inc. no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $209.4M)
Form ADVobserved 4 days ago
$209M
Occurred
Mar 27, 2025
Team lift-out
2 advisors left Barker Financial Group, Inc. (Topsfield, MA) for Apella Wealth on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Mar 27, 2025
Advisor changed firm
James Theodore Barker left Barker Financial Group, Inc. for Apella Wealth (registered 2025-01-10)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2025
Advisor changed firm
Mary Ellen Deroche left Barker Financial Group, Inc. for Apella Wealth (registered 2025-01-17)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2025
Advisor changed firm
Douglas Steven Huddleston left Barker Financial Group, Inc. for Apella Wealth (registered 2025-01-16)
Form ADVobserved 4 days ago
Occurred
Mar 17, 2014
First Form ADV filing
Barker Financial Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3aa38431-3c47-fa3c-7bb0-c22b605259c2
First observed: Feb 14, 2012
Last observed: Mar 13, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BARKER FINANCIAL GROUP, INC.

CRD 116817

TOPSFIELD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3aa38431-3c47-fa3c-7bb0-c22b605259c2

Data as of Mar 13, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:13 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARKER, JAMES, THEODORE

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

01/1998

Feb 14, 2012

Mar 13, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 13, 2024

$209M

n/a

2022

Mar 23, 2023

$188M

n/a

2021

Mar 7, 2022

$227M

$225M

n/a

2020

Mar 1, 2021

$196M

$195M

n/a

2019

Mar 9, 2020

$166M

n/a

2018

Mar 6, 2019

$138M

n/a

2017

Mar 10, 2018

$147M

n/a

2016

Mar 13, 2017

$126M

n/a

2015

Mar 12, 2016

$110M

n/a

2014

Mar 30, 2015

$111M

n/a

2011

Mar 15, 2012

$76.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$209M

$188M

11.5%

$196M

2.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

APELLA WEALTH

Mar 27, 2025

Jan 17, 2025

TOPSFIELD, MA

Team lift out

RIA to RIA

66.7%