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

Barber Financial Group

Former SEC-registered adviserLenexa, KansasCRD 152043SEC 801-72065IAPD
Latest filing Dec 7, 2023
First filing on the tape Mar 12, 2012 · 43 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
43
17 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.5B as of Feb 13, 2023
Mar 12, 2012$219M then
HNW client RAUM$754M as of Feb 13, 2023
Feb 23, 2018$542M then
State-registered IARs (5.B.3)17 as of Feb 13, 2023
Mar 12, 20120 then
Employees (5.A)43 as of Feb 13, 2023
Feb 27, 201320 then
Private funds: no history
RAUM -16% over the last fiscal year+6.4% a year over threeIARs 19 to 17
Practice profile
derived from the filing of Dec 7, 2023; every figure names its basis
RAUM per advisor
$88.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
138derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$190,163derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
-11%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Financial planning clients
2,500reportedItem 5.H
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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$754M50%
  • Individuals$744M49%
  • Pension and profit-sharing plans$11.4M0.8%
Individual clients
1,948reported
HNW clients
406reported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
7,936reported
Financial planning clients
2,500reported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Dean Frank Barber · Chief Executive Officercontrol
    since 11/1999 · owns less than 5%
  • Sue Kimberly Barber · Secretarycontrol
    since 11/1999 · owns less than 5%
  • Shane Michael Barber · Partnercontrol
    since 01/2018 · owns less than 5%
  • Dean Thomas Clough · President, Chief Compliance Officercontrol
    since 01/2016 · owns less than 5%
  • Taylor Bruce Godke · Partnercontrol
    since 01/2018 · owns less than 5%
  • Dean Frank Barber · Shareholdercontrol
    since 01/2014 · owns 75% or more of Barber Holdings, Inc.
Entity owners
  • Barber Holdings, Inc · Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Bfg Insurance Services, LLC
    real estaten
  • Bfg Legal Services, LLC
    n
  • Bfg Tax Services, LLC
    insurancen
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Lenexa, Ks · principal000
Troy, Mi000
Offices
Schedule D 1.F, the 25 largest
  • Lee'S Summit, MO2 employees
  • Troy, MI2 employees
  • Kansas City, MO1 employees
What changed
consecutive filings, newest first
  • Assets in custody · $60.8M to $0
    Mar 15, 2023 to Dec 7, 2023
  • Custody of client assets · true to false
    Mar 15, 2023 to Dec 7, 2023
  • Accounts · 8,228 to 7,936
    Jan 26, 2023 to Feb 13, 2023
  • Advisory employees · 19 to 17
    Jan 26, 2023 to Feb 13, 2023
  • BD registered reps · 8 to 10
    Jan 26, 2023 to Feb 13, 2023
  • HNW clients · 413 to 406
    Jan 26, 2023 to Feb 13, 2023
  • Individual clients · 2,118 to 1,948
    Jan 26, 2023 to Feb 13, 2023
  • Pension plan clients · unset to 4.0
    Jan 26, 2023 to Feb 13, 2023
  • Assets in custody · $55.0M to $60.8M
    Jan 26, 2023 to Feb 13, 2023
  • Employees · 59 to 43
    Jan 26, 2023 to Feb 13, 2023
  • State-registered IARs · 19 to 17
    Jan 26, 2023 to Feb 13, 2023
  • Discretionary RAUM · $1.7B to $1.4B
    Jan 26, 2023 to Feb 13, 2023
  • HNW RAUM · $930M to $754M
    Jan 26, 2023 to Feb 13, 2023
  • Individual RAUM · $871M to $744M
    Jan 26, 2023 to Feb 13, 2023
  • Non-discretionary RAUM · $61.0M to $82.3M
    Jan 26, 2023 to Feb 13, 2023
  • Pension RAUM · unset to 11356875.0
    Jan 26, 2023 to Feb 13, 2023
  • RAUM · $1.8B to $1.5B
    Jan 26, 2023 to Feb 13, 2023
  • Accounts · 7,864 to 8,228
    Jan 6, 2022 to Mar 2, 2022
  • Advisory employees · 16 to 19
    Jan 6, 2022 to Mar 2, 2022
  • HNW clients · 386 to 413
    Jan 6, 2022 to Mar 2, 2022
  • Individual clients · 1,856 to 2,118
    Jan 6, 2022 to Mar 2, 2022
  • Pension plan clients · 111.0 to unset
    Jan 6, 2022 to Mar 2, 2022
  • Assets in custody · $5.0M to $55.0M
    Jan 6, 2022 to Mar 2, 2022
  • Employees · 46 to 59
    Jan 6, 2022 to Mar 2, 2022
  • State-registered IARs · 16 to 19
    Jan 6, 2022 to Mar 2, 2022
  • Discretionary RAUM · $1.4B to $1.7B
    Jan 6, 2022 to Mar 2, 2022
  • HNW RAUM · $757M to $930M
    Jan 6, 2022 to Mar 2, 2022
  • Individual RAUM · $733M to $871M
    Jan 6, 2022 to Mar 2, 2022
  • Non-discretionary RAUM · $66.1M to $61.0M
    Jan 6, 2022 to Mar 2, 2022
  • Pension RAUM · 14235665.0 to unset
    Jan 6, 2022 to Mar 2, 2022
  • RAUM · $1.5B to $1.8B
    Jan 6, 2022 to Mar 2, 2022
  • Accounts · 7,513 to 7,864
    Jan 7, 2021 to Mar 10, 2021
  • BD registered reps · 11 to 8
    Jan 7, 2021 to Mar 10, 2021
  • HNW clients · 376 to 386
    Jan 7, 2021 to Mar 10, 2021
  • Individual clients · 1,834 to 1,856
    Jan 7, 2021 to Mar 10, 2021
  • Pension plan clients · unset to 111.0
    Jan 7, 2021 to Mar 10, 2021
  • Assets in custody · $35.1M to $5.0M
    Jan 7, 2021 to Mar 10, 2021
  • Employees · 44 to 46
    Jan 7, 2021 to Mar 10, 2021
  • State-registered IARs · 13 to 16
    Jan 7, 2021 to Mar 10, 2021
  • Discretionary RAUM · $1.2B to $1.4B
    Jan 7, 2021 to Mar 10, 2021
Signals
29 dated events
  • Frank Dean Barber left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 19, 2023 · Advisor changed firm · fact
  • Kade Lawrence Messner left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-08-25)
    Dec 7, 2023 · Advisor changed firm · fact
  • Hayden Pudenz left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Logan James Degraeve left Barber Financial Group for National Planning Corporation ("Npc Of America" In Fl & Ny) (registered 2015-12-07)
    Dec 7, 2023 · Advisor changed firm · fact
  • Peter E Wargo left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-08-25)
    Dec 7, 2023 · Advisor changed firm · fact
  • Kenneth Lawrence Osiwala left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-27)
    Dec 7, 2023 · Advisor changed firm · fact
  • Christopher Joseph Rett left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-05-04)
    Dec 7, 2023 · Advisor changed firm · fact
  • Jeffrey Paul Ernest left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Craig James Snedden left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Joshua Kirk Diekmann left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-05-12)
    Dec 7, 2023 · Advisor changed firm · fact
  • Risdan Depaul Kasper left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • William Ray Doty left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Wayne Robinson left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Charles M. Kasper left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Michael Shane Barber left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Kyle Michael Akers left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Bruce Taylor Godke left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Rory Drew Jones left Barber Financial Group for Modern Wealth Management, Llc (registered 2023-04-26)
    Dec 7, 2023 · Advisor changed firm · fact
  • Barber Financial Group's advisors moved to Modern Wealth Management, LLC (Lenexa, KS): 17 of 18 registered, within 12 days
    Dec 7, 2023 · Firm absorbed (people side) · derived
  • John Eric Sheerin (Partner) no longer on Schedule A of Barber Financial Group (listed 2022-03-02, absent 2023-01-26)
    Jan 26, 2023 · Control person left · inference
  • Joann Huber (Partner) no longer on Schedule A of Barber Financial Group (listed 2022-03-02, absent 2023-01-26)
    Jan 26, 2023 · Control person left · inference
  • Jeanette Courtney Roberts (Chief Operating Officer) no longer on Schedule A of Barber Financial Group (listed 2022-03-02, absent 2023-01-26)
    Jan 26, 2023 · Control person left · inference
  • Ryan Joseph Potts left Barber Financial Group for Correct Capital Wealth Management, Llc (registered 2023-01-12)
    Jan 6, 2023 · Advisor changed firm · fact
  • Joann Huber left Barber Financial Group for Avantax Planning Partners, Inc. (registered 2023-04-26)
    Jul 19, 2022 · Advisor changed firm · fact
  • Jason Russell Newcomer left Barber Financial Group for Dogwood Wealth Management, Llc (registered 2022-02-15)
    Feb 15, 2022 · Advisor changed firm · fact
  • Eric John Sheerin left Barber Financial Group for Dogwood Wealth Management, Llc (registered 2022-02-15)
    Feb 15, 2022 · Advisor changed firm · fact
  • 2 advisors left Barber Financial Group (Lenexa, KS) for Dogwood Wealth Management, LLC on the same day
    Feb 15, 2022 · Team lift-out · derived
  • Jeanette Courtney Roberts (Chief Operating Officer) appeared on Schedule A of Barber Financial Group
    Jan 7, 2021 · Control person joined · fact
  • Barber Financial Group reported RAUM $1.2B, up 42% from $811.8M (2017-09-06 to 2018-02-23)
    Feb 23, 2018 · RAUM change · derived
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