AUMdb

Barnes Pettey Financial Advisors, Llc

SEC-registered Wealth Manager · Mid-sized ($1B–$10B) CRD 142944 · SEC file 801-67555 · Clarksdale, MS · WWW.BARNESPETTEY.COM
☆ Save with Pro ADV data as of Apr 02, 2026
Regulatory AUM
$1.3B
Discretionary
$1.2B
Clients
3,303
Avg AUM / client
$397K
Accounts
3,303
Employees
13

AUM over time

$664M $1.3B
Dec 2011 Dec 2025

Annual snapshots from Form ADV filings · as of Apr 02, 2026

Investments (13F portfolio — 156 positions, $229,446,679)

13F period Mar 31, 2026
#IssuerClassValueShares% of 13F% of AUM
1 Capital Group Growth Etf SHS CREATION UNI $33,154,070 824,935 14.4% 2.53%
2 First Tr Exchange Traded Fd RISNG DIVD ACHIV $11,634,384 170,391 5.07% 0.89%
3 Capital Group Dividend Value SHS CREATION UNI $10,127,334 238,067 4.41% 0.77%
4 Amplify Etf Tr CWP ENHANCED DIV $6,721,585 149,871 2.93% 0.51%
5 Dimensional Etf Trust INTERNATNAL VAL $6,533,193 123,781 2.85% 0.5%
6 Walmart Inc COM $5,604,558 45,096 2.44% 0.43%
7 Schwab Strategic Tr US DIVIDEND EQ $5,377,044 175,262 2.34% 0.41%
8 Vanguard Index Fds S&P 500 ETF SHS $4,258,213 7,126 1.86% 0.32%
9 Fidelity Covington Trust BLUE CHIP GRWTH $4,180,960 83,419 1.82% 0.32%
10 Vanguard Index Fds GROWTH ETF $3,932,638 9,003 1.71% 0.3%
11 Fidelity Covington Trust ENHANCED INTL $3,885,368 104,445 1.69% 0.3%
12 J P Morgan Exchange Traded F SMALL & MID CAP $3,790,161 56,765 1.65% 0.29%
13 Capital Group Core Equity Et SHS CREATION UNI $3,717,827 96,768 1.62% 0.28%
14 Nvidia Corporation COM $3,695,187 21,188 1.61% 0.28%
15 Fidelity Covington Trust ENHANCED MID $3,473,660 96,598 1.51% 0.27%
16 Ishares Tr CORE S&P500 ETF $3,413,022 5,225 1.49% 0.26%
17 Raymond James Finl Inc COM $3,243,593 22,402 1.41% 0.25%
18 Fidelity Merrimack Str Tr TOTAL BD ETF $3,182,171 69,754 1.39% 0.24%
19 Berkshire Hathaway Inc Del CL B NEW $3,167,991 6,611 1.38% 0.24%
20 Alps Etf Tr OSHARES US SMLCP $3,077,892 70,368 1.34% 0.23%
21 First Tr Exchange Traded Fd SHS $2,698,299 57,374 1.18% 0.21%
22 Capital Group International SHS $2,656,493 78,548 1.16% 0.2%
23 Vanguard Index Fds VALUE ETF $2,640,825 13,459 1.15% 0.2%
24 Microsoft Corp COM $2,593,932 7,008 1.13% 0.2%
25 Nextera Energy Inc COM $2,534,045 27,283 1.1% 0.19%

Top 25 of 156 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 2,079 $322M 24.5%
High net worth individuals 945 $667M 50.9%
Pension and profit sharing plans 17 $33.3M 2.54%
Charitable organizations 18 $41.5M 3.17%
Corporations and other businesses 53 $31.0M 2.36%
Other 191 $216M 16.5%

Retirement plan clients

Plans that reported this firm as an investment service provider on Form 5500 Schedule C.

Plan Location Plan year
Aeh 403(b)plan Aaron E. Henry Community Health Services Center, Inc. 2024

People (10)

roster as of Jul 20, 2026
NameRole / titleCredentialsWith firm sinceOwnership
Barnes, Dudley, Mcbee Managing Member Jan 2007 (20y) ≈ 37.5% – 75% via Barnes And Associates, Inc.
Holmes Sherard Pettey Managing Member Jan 2007 (20y) ≈ 37.5% – 75% via Holmes Pettey, Inc.
Gerald Arthur Smith Managing Member CFP Feb 2007 (19y) Less than 5%
Burgess, Janea, Alaine Chief Compliance Officer Jan 2020 (7y) Less than 5%
Richard Lee Devoe Registered representative CFP Feb 2007 (19y)
Ryan Haskins Barnes Registered representative Feb 2007 (19y)
Andrew Chi Yan Yee Registered representative CFP Oct 2007 (19y)
Julie Kelley Flowers Registered representative Nov 2007 (19y)
Joseph Friend Registered representative May 2017 (9y)
Daniel Jackson Myrick Registered representative Sep 2023 (3y)

Entity owners (Schedule A/B)

EntityTitle / statusSinceSch.Ownership
Barnes And Associates, Inc. Member Jan 2007 A 50% – 75%
Holmes Pettey, Inc. Member Jan 2007 A 50% – 75%

Estimated effective ownership (look-through of filed bands):

  • Barnes, Dudley, Mcbee: 75% – 100% of Barnes And Associates, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
  • Holmes Sherard Pettey: 75% – 100% of Holmes Pettey, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm

Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.

Retirement plans served (1)

PlanSponsorParticipantsPlan assetsAs of
Aeh 403(b)plan Aaron E. Henry Community Health Services Center, Inc. 156 $2.8M 01/01/2024

From Form 5500 service-provider disclosures.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 04/02/2026 1.07 MB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

No disciplinary events reported on the firm's latest Form ADV filing.

How they charge

  • • Percentage of assets under management
  • • Hourly charges
  • • Fixed fees
  • • Other fees
  • • I.E. PERCENTAGE OF ASSETS IN 401K PLANS/THIRD PARTY ADVISER FEES

Services

  • • Financial planning services
  • • Portfolio management for individuals/small businesses
  • • Pension consulting services
  • • Selection of other advisers

Custody

Reported custodians

Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).

Firm reports having custody of client funds or securities (Item 9.A).

Source

All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 02, 2026.

View current Form ADV (SEC/IAPD) ↗