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.
SEC-registered adviser
Barnes Pettey Financial Advisors, LLC
Latest filing Aug 20, 2026
First filing on the tape Feb 29, 2012 · 36 filings
SEC status approved since Jan 3, 2007
RAUM
$1.3B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
75%
$988M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.3B as of Aug 20, 2026
Feb 29, 2012$664M then
HNW client RAUM$667M as of Aug 20, 2026
Mar 28, 2018$425M then
State-registered IARs (5.B.3)8 as of Aug 20, 2026
Feb 28, 20138 then
Employees (5.A)13 as of Aug 20, 2026
Feb 28, 201313 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 378derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $705,503derivedHNW RAUM over HNW clients
- Average account
- $396,753derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +41%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $38.2M, 186 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$667M61%
- Individuals$322M29%
- Charitable organizations$41.5M3.8%
- Pension and profit-sharing plans$33.3M3.0%
- Corporations and businesses$31.0M2.8%
- Individual clients
- 2,079reported
- HNW clients
- 945reported
- Pension plan clients
- 17reported
- Charitable clients
- 18reported
- Accounts
- 3,303reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.2M for 186 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gerald Arthur SmithCertified Financial Planner | Grenada, Ms | Feb 7, 2007 | 30 y | 1 |
| Holmes Sherard Pettey | Clarksdale, Ms | Feb 7, 2007 | 43 y | 1 |
| Richard Lee DevoeCertified Financial Planner | Clarksdale, Ms | Feb 15, 2007 | 27 y | 1 |
| Ryan Haskins Barnes | Madison, Ms | Feb 15, 2007 | 23 y | 1 |
| Andrew Chi-Yan YeeCertified Financial Planner | Clarksdale, Ms | Oct 1, 2007 | 20 y | 0 |
| Julie Kelley Flowers | Clarksdale, Ms | Nov 1, 2007 | 20 y | 0 |
| Joseph Friend | Clarksdale, Ms | May 15, 2017 | 15 y | 3 |
| Daniel Jackson Myrick | Clarksdale, Ms | Sep 6, 2023 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Joseph Allen Simpson to Eversource Wealth Advisors, LLCOct 18, 2023 · RIA to RIA
Joined, latest
- Joseph Friend from Raymond James Financial Services Advisors, IncMay 15, 2017 · Other
- Joseph Allen Simpson from Raymond James Financial Services Advisors, IncFeb 14, 2017 · Other
- Ryan Haskins Barnes from Barnes Pettey Financial AdvisorsFeb 15, 2007 · Other
- Richard Lee Devoe from Barnes Pettey Financial AdvisorsFeb 15, 2007 · Other
- Gerald Arthur Smith from Barnes Pettey Financial AdvisorsFeb 7, 2007 · Other
- Holmes Sherard Pettey from Barnes Pettey Financial AdvisorsFeb 7, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mcbee Dudley Barnes · Managing Membercontrolsince 01/2007 · owns less than 5%
- Alaine Janea Burgess · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- Sherard Holmes Pettey · Managing Membercontrolsince 01/2007 · owns less than 5%
- Arthur Gerald Smith · Managing Membercontrolsince 01/2019 · owns less than 5%
- Mcbee Dudley Barnes · Managing Membercontrolsince 01/2007 · owns 75% or more of Barnes And Associates, Inc.
- Sherard Holmes Pettey · Managercontrolsince 01/2007 · owns 75% or more of Holmes Pettey, Inc.
- M Susan Brodnick · Chief Compliance Officersince 08/2026 · owns less than 5%
Entity owners
- Andrew C Yee, LLC · Memberdirect · owns 5% to 10%
- Barnes And Associates, Inc. · Memberdirect · owns 50% to 75%
- Barnes Pettey Financial Advisors Of · Memberdirect · owns 5% to 10%
- Barnes Wealth Management, LLC · Memberdirect · owns 5% to 10%
- Capital Management Of Oxford, LLC · Memberdirect · owns 5% to 10%
- Friend Financial Consulting LLC · Memberdirect · owns 5% to 10%
- Holmes Pettey, Inc. · Memberdirect · owns 50% to 75%
- Julie Flowers, LLC · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Devoe Carr, Pllcinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clarksdale, Ms · principal | 8 | 0 | 0 | ||
| Oxford, Ms | 2 | 0 | 0 | ||
| Jackson, Ms | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Grenada, MS1 employees
- Memphis, TN1 employees
- Oxford, MS1 employees
- Oxford, MS1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 20, 2026BARNES, DUDLEY, MCBEE (MANAGING MEMBER) left Schedule A between the filings of 2020-02-24 and 2026-08-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 20, 2026BURGESS, JANEA, ALAINE (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2020-02-24 and 2026-08-20peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 2,720 to 3,303Jul 28, 2025 to Mar 19, 2026
- Charity clients · 11 to 18Jul 28, 2025 to Mar 19, 2026
- Corporate clients · 34 to 53Jul 28, 2025 to Mar 19, 2026
- HNW clients · 642 to 945Jul 28, 2025 to Mar 19, 2026
- Individual clients · 1,502 to 2,079Jul 28, 2025 to Mar 19, 2026
- Employees · 15 to 13Jul 28, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.0B to $1.2BJul 28, 2025 to Mar 19, 2026
- HNW RAUM · $570M to $667MJul 28, 2025 to Mar 19, 2026
- Individual RAUM · $289M to $322MJul 28, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $79.0M to $71.2MJul 28, 2025 to Mar 19, 2026
- Pension RAUM · $30.0M to $33.3MJul 28, 2025 to Mar 19, 2026
- RAUM · $1.1B to $1.3BJul 28, 2025 to Mar 19, 2026
- Wrap assets (manager) · 0.0 to unsetJul 28, 2025 to Mar 19, 2026
- Wrap assets (sponsor) · 0.0 to unsetJul 28, 2025 to Mar 19, 2026
- BD registered reps · 8 to 0Apr 4, 2025 to Jul 28, 2025
- Employees · 14 to 15Apr 4, 2025 to Jul 28, 2025
- Financial planning clients · 26-50 to 26-50Apr 4, 2025 to Jul 28, 2025
- Wrap assets (manager) · $355M to $0Apr 4, 2025 to Jul 28, 2025
- Accounts · 2,816 to 2,720Nov 18, 2024 to Apr 4, 2025
- Advisory employees · 10 to 8Nov 18, 2024 to Apr 4, 2025
- BD registered reps · 10 to 8Nov 18, 2024 to Apr 4, 2025
- Charity clients · 12 to 11Nov 18, 2024 to Apr 4, 2025
- Corporate clients · 33 to 34Nov 18, 2024 to Apr 4, 2025
- HNW clients · 678 to 642Nov 18, 2024 to Apr 4, 2025
- Individual clients · 1,524 to 1,502Nov 18, 2024 to Apr 4, 2025
- Pension plan clients · 18 to 17Nov 18, 2024 to Apr 4, 2025
- Assets in custody · $76.7M to $38.2MNov 18, 2024 to Apr 4, 2025
- Employees · 15 to 14Nov 18, 2024 to Apr 4, 2025
- State-registered IARs · 10 to 8Nov 18, 2024 to Apr 4, 2025
- Other offices · 6 to 5Nov 18, 2024 to Apr 4, 2025
- Discretionary RAUM · $1.0B to $1.0BNov 18, 2024 to Apr 4, 2025
- HNW RAUM · $551M to $570MNov 18, 2024 to Apr 4, 2025
- Individual RAUM · $282M to $289MNov 18, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $81.3M to $79.0MNov 18, 2024 to Apr 4, 2025
- Pension RAUM · $29.0M to $30.0MNov 18, 2024 to Apr 4, 2025
- RAUM · $1.1B to $1.1BNov 18, 2024 to Apr 4, 2025
- Wrap assets (manager) · $198M to $355MNov 18, 2024 to Apr 4, 2025
- Accounts · 2,796 to 2,816Mar 22, 2023 to Mar 5, 2024
- Corporate clients · 32 to 33Mar 22, 2023 to Mar 5, 2024
- HNW clients · 675 to 678Mar 22, 2023 to Mar 5, 2024
Signals
4 dated events
- Joseph Allen Simpson left Barnes Pettey Financial Advisors, Llc for Eversource Wealth Advisors, Llc (registered 2026-01-23)Oct 18, 2023 · Advisor changed firm · fact
- Alaine Janea Burgess (Chief Compliance Officer) appeared on Schedule A of Barnes Pettey Financial Advisors, LlcFeb 24, 2020 · Control person joined · fact
- Kelley Julie Flowers (Chief Compliance Officer) no longer on Schedule A of Barnes Pettey Financial Advisors, Llc (listed 2019-01-08, absent 2019-03-23)Mar 23, 2019 · Control person left · inference
- Arthur Gerald Smith (Managing Member) appeared on Schedule A of Barnes Pettey Financial Advisors, LlcMar 23, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 601-981-4479reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 662-229-0919reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 662-229-9939reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/BARNES-PETTEY-FINANCIAL-ADVISORS-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- BARNESPETTEY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 662-627-2225reportedpublic record, Form ADV, Aug 20, 2026
- Contact form
- BARNESPETTEY.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026