DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Barker Financial Group, Inc.
Latest filing Mar 13, 2024
First filing on the tape Feb 14, 2012 · 28 filings
SEC status approved since Apr 1, 2014
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$204M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$209M as of Mar 13, 2024
Mar 15, 2012$76.0M then
HNW client RAUM$166M as of Mar 13, 2024
Mar 10, 2018$86.1M then
State-registered IARs (5.B.3)3 as of Mar 13, 2024
Mar 30, 20153 then
Employees (5.A)3 as of Mar 13, 2024
Mar 30, 20154 then
Private funds: no history
RAUM +12% over the last fiscal year+2.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
- RAUM per advisor
- $69.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $351,914derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M79%
- Individuals$37.9M18%
- Pension and profit-sharing plans$4.7M2.3%
- Corporations and businesses$304,3120.1%
- Individual clients
- 152reported
- HNW clients
- 87reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 595reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Mary Ellen Deroche to Apella WealthMar 27, 2025 · RIA to RIA
- Douglas Steven Huddleston to Apella WealthMar 27, 2025 · RIA to RIA
- James Theodore Barker to Apella WealthMar 27, 2025 · RIA to RIA
- Christopher George Sadkowski to Christopher Investment AdvisorsJun 17, 2011 · Other
- Hideyoshi Decarvalho Watanabe to Choate Investment AdvisorsOct 8, 2010 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Apella WealthMar 27, 2025 · Topsfield, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Theodore James Barker · President/Chief Compliance Officercontrolsince 01/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bradenton, Fl | 0 | 0 | 0 | ||
| Topsfield, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Corporate clients · unset to 1.0Mar 23, 2023 to Mar 13, 2024
- HNW clients · 91 to 87Mar 23, 2023 to Mar 13, 2024
- Individual clients · 145 to 152Mar 23, 2023 to Mar 13, 2024
- Pension plan clients · unset to 4.0Mar 23, 2023 to Mar 13, 2024
- Discretionary RAUM · $188M to $209MMar 23, 2023 to Mar 13, 2024
- HNW RAUM · $149M to $166MMar 23, 2023 to Mar 13, 2024
- Individual RAUM · $34.7M to $37.9MMar 23, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $214,297 to $0Mar 23, 2023 to Mar 13, 2024
- Pension RAUM · $3.6M to $4.7MMar 23, 2023 to Mar 13, 2024
- RAUM · $188M to $209MMar 23, 2023 to Mar 13, 2024
- Accounts · 618 to 595Mar 7, 2022 to Mar 23, 2023
- Charity clients · 1.0 to unsetMar 7, 2022 to Mar 23, 2023
- Corporate clients · 2.0 to unsetMar 7, 2022 to Mar 23, 2023
- HNW clients · 87 to 91Mar 7, 2022 to Mar 23, 2023
- Individual clients · 153 to 145Mar 7, 2022 to Mar 23, 2023
- Pension plan clients · 5.0 to unsetMar 7, 2022 to Mar 23, 2023
- Employees · 4 to 3Mar 7, 2022 to Mar 23, 2023
- Financial planning clients · 11-25 to 26-50Mar 7, 2022 to Mar 23, 2023
- HQ city · BEVERLY to TOPSFIELDMar 7, 2022 to Mar 23, 2023
- State-registered IARs · 4 to 3Mar 7, 2022 to Mar 23, 2023
- Discretionary RAUM · $225M to $188MMar 7, 2022 to Mar 23, 2023
- HNW RAUM · $177M to $149MMar 7, 2022 to Mar 23, 2023
- Individual RAUM · $44.0M to $34.7MMar 7, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $1.3M to $214,297Mar 7, 2022 to Mar 23, 2023
- Pension RAUM · $4.2M to $3.6MMar 7, 2022 to Mar 23, 2023
- RAUM · $227M to $188MMar 7, 2022 to Mar 23, 2023
- Accounts · 560 to 618Mar 1, 2021 to Mar 7, 2022
- Advisory employees · 4 to 3Mar 1, 2021 to Mar 7, 2022
- Employees · 5 to 4Mar 1, 2021 to Mar 7, 2022
- State-registered IARs · 5 to 4Mar 1, 2021 to Mar 7, 2022
- Discretionary RAUM · $195M to $225MMar 1, 2021 to Mar 7, 2022
- HNW RAUM · $151M to $177MMar 1, 2021 to Mar 7, 2022
- Individual RAUM · $37.2M to $44.0MMar 1, 2021 to Mar 7, 2022
- Non-discretionary RAUM · $1.2M to $1.3MMar 1, 2021 to Mar 7, 2022
- Pension RAUM · $5.9M to $4.2MMar 1, 2021 to Mar 7, 2022
- RAUM · $196M to $227MMar 1, 2021 to Mar 7, 2022
- Accounts · 539 to 560Jun 12, 2020 to Mar 1, 2021
- Advisory employees · 3 to 4Jun 12, 2020 to Mar 1, 2021
- Corporate clients · 1 to 2Jun 12, 2020 to Mar 1, 2021
- HNW clients · 1 to 87Jun 12, 2020 to Mar 1, 2021
Signals
6 dated events
- Barker Financial Group, Inc. no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $209.4M)May 2, 2025 · Left the SEC roster · derived
- James Theodore Barker left Barker Financial Group, Inc. for Apella Wealth (registered 2025-01-10)Mar 27, 2025 · Advisor changed firm · fact
- Mary Ellen Deroche left Barker Financial Group, Inc. for Apella Wealth (registered 2025-01-17)Mar 27, 2025 · Advisor changed firm · fact
- Douglas Steven Huddleston left Barker Financial Group, Inc. for Apella Wealth (registered 2025-01-16)Mar 27, 2025 · Advisor changed firm · fact
- 2 advisors left Barker Financial Group, Inc. (Topsfield, MA) for Apella Wealth on the same dayMar 27, 2025 · Team lift-out · derived
- Barker Financial Group, Inc. filed its initial SEC registration (Form ADV)Mar 17, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026