Hedge Fund Database

BARNES PETTEY FINANCIAL ADVISORS, LLC

Adviser information for BARNES PETTEY FINANCIAL ADVISORS, LLC last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Mississippi, United States

Employees

Total Number of Employees 15
Investment Advisory/Research 10
Registered Broker-Dealer Representatives 10
Registered State Investment Advisers 10
Licensed Agents of an Insurance Company 9
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,426 $1.0B
Non-Discretionary 390 $81.3M
Total 2,816 $1.1B

Clients

Type Number RAUM
Individuals 1,524 $281.9M
HNW Individuals 678 $551.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 18 $29.0M
Charitable organizations 12 $35.5M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 33 $21.1M
Other 115 $169.1M
Type Number
No. of Non-RAUM Clients 103
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed feesI.E. PERCENTAGE OF ASSETS IN 401K PLANS/THIRD PARTY ADVISER FEES

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 198.4M
Both for Same 0
Portfolio Manager to Program Sponsor
AMBASSADOR RAYMOND JAMES & ASSOCIATES, INC.

Identifiers

SEC RIA File Number 801-67555
SEC ERA File Number 801-67555
SEC CIK Numbers 1908288
SEC CRD Numbers 142944
Legal Entity Identifier None

Principal Office

252 SUNFLOWER AVENUE
CLARKSDALE
MS
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 662-627-2225, Fax: 662-627-2088

Websites

www.facebook.com/barnespetteyfinancial/ www.linkedin.com/company/barnes-pettey-financial-advisors-llc www.barnespettey.com

Chief Compliance Officer

JANEA BURGESS
CHIEF COMPLIANCE OFFICER
6060 POPLAR AVE
SUITE 415
MEMPHIS
TN
United States
Tel: 901-969-2000
Fax: 901-681-9024
(Full email address available in API data)

Regulatory Contact

KATHY C. ATKINS
CPA
2153 SOUTH LAMAR BLVD
SUITE 200
OXFORD
MS
United States
Tel: 662-627-2225
Fax: 662-627-2088
(Full email address available in API data)

Industry Affiliates

DEVOE CARR, PLLC Accountant or accounting firm

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
BARNES, DUDLEY, MCBEE Individual – MANAGING MEMBER 01/2007 < 5%
PETTEY, HOLMES, SHERARD Individual – MANAGING MEMBER 01/2007 < 5%
BARNES AND ASSOCIATES, INC. Domestic Entity – MEMBER 01/2007 50-75%
HOLMES PETTEY, INC. Domestic Entity – MEMBER 01/2007 50-75%
BARNES, DUDLEY, MCBEE Individual BARNES AND ASSOCIATES, INC. MANAGING MEMBER 01/2007 > 75%
PETTEY, HOLMES, SHERARD Individual HOLMES PETTEY, INC. MANAGER 01/2007 > 75%
SMITH, GERALD, ARTHUR Individual – MANAGING MEMBER 01/2019 < 5%
BURGESS, JANEA, ALAINE Individual – CHIEF COMPLIANCE OFFICER 01/2020 < 5%

No. Employees, Historic

20100201920202021202220232024202517 on 11/27/201917 on 2/24/202017 on 6/16/202017 on 1/19/202116 on 3/15/202116 on 7/9/202116 on 3/28/202218 on 9/16/202218 on 3/22/202315 on 3/5/2024

RAUM, Historic

2B1B02019202020212022202320242025824055147 on 11/27/2019925482356 on 2/24/2020925482356 on 6/16/2020925482356 on 1/19/20211071744484 on 3/15/20211071744484 on 7/9/20211208129477 on 3/28/20221208129477 on 9/16/2022965199417 on 3/22/20231087865356 on 3/5/2024

No. Clients, Historic

3,0001,500020192020202120222023202420251963 on 11/27/20192002 on 2/24/20202002 on 6/16/20202002 on 1/19/20212116 on 3/15/20212116 on 7/9/20212311 on 3/28/20222311 on 9/16/20222361 on 3/22/20232380 on 3/5/2024

Holdings

From latest 13F, filed July 18th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AFLAC INC COM 506K 6K –
ALLSTATE CORP COM 852K 5K –
ALPHABET INC CAP STK CL A 1M 6K –
ALPS ETF TR OSHARES US SMLCP 3M 63K –
AMAZON COM INC COM 844K 4K –
AMERICAN ELEC PWR COMPANY INC COM 280K 3K –
AMPLIFY ETF TR CWP ENHANCED DIV 3M 86K –
APPLE INC COM 2M 8K –
ARK ETF TR INNOVATION ETF 2M 38K –
ARK ETF TR GENOMIC REV ETF 361K 15K –
AUTOZONE INC COM 661K 223 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K –
CAPITAL GROUP CORE EQUITY ET SHS CREATION UNI 3M 102K –
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 2M 52K –
CAPITAL GROUP GROWTH ETF SHS CREATION UNI 24M 731K –
CAPITAL GROUP INTL FOCUS EQT SHS CREATION UNI 586K 23K –
CATERPILLAR INC COM 217K 650 –
CHEVRON CORP NEW COM 473K 3K –
LEGG MASON ETF INVT CLEARBRIDEG LR 3M 39K –
COSTCO WHSL CORP NEW COM 555K 653 –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 3M 95K –
DISNEY WALT CO COM 417K 4K –
EDWARDS LIFESCIENCES CORP COM 280K 3K –
ELI LILLY & CO COM 478K 528 –
ENTERPRISE PRODUCTS PARTNERS L COM 203K 7K –
EQUINIX INC COM 227K 300 –
EXXON MOBIL CORP COM 740K 6K –
FEDEX CORP COM 430K 1K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 362K 8K –
FIRST HORIZON CORPORATION COM 228K 14K –
FIRST TR EXCHANGE-TRADED FD DORSET WRIGHT 511K 26K –
FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 319K 6K –
FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 225K 3K –
FIRST TR VALUE LINE DIVID IN SHS 6M 144K –
FIRST TRUST EXCHANGE-TRADED FD RISNG DIVD ACHIV 6M 118K –
HANCOCK WHITNEY CORPORATION COM 264K 6K –
HOME DEPOT INC COM 1M 4K –
INTERCONTINENTAL EXCHANGE IN COM 310K 2K –
INVESCO EXCH TRADED FD TR II NATL AMT MUNI 211K 9K –
INVESCO QQQ TR UNIT SER 1 574K 1K –
IQVIA HLDGS INC COM 222K 1K –
ISHARES TR CORE S&P500 ETF 2M 4K –
ISHARES TR RUS 1000 GRW ETF 982K 3K –
ISHARES TR CORE S&P TTL STK 313K 3K –
ISHARES TR RUS 1000 VAL ETF 213K 1K –
JPMORGAN CHASE & CO COM 1M 6K –
J P MORGAN EXCHANGE TRADED F DIV TRN EM EQT 282K 5K –
LOWES COS INC COM 309K 1K –
MCDONALDS CORP COM 240K 940 –
MERCK & CO INC COM 978K 8K –
META PLATFORMS INC CL A 791K 2K –
MICROSOFT CORP COM 3M 7K –
MID-AMER APT CMNTYS INC COM 1M 8K –
NEXTERA ENERGY INC COM 436K 6K –
NORFOLK SOUTHN CORP COM 209K 975 –
NVIDIA CORPORATION COM 2M 20K –
ORACLE CORP COM 450K 3K –
PACER FDS TR US CASH COWS 100 749K 14K –
PRICE T ROWE GROUP INC COM 265K 2K –
PROCTER AND GAMBLE CO COM 994K 6K –
RAYMOND JAMES FINL INC COM 3M 28K –
REGIONS FINANCIAL CORP NEW COM 543K 27K –
RENASANT CORP COM 220K 7K –
RENN FD INC COM 22K 13K –
REPUBLIC SVCS INC COM 1M 6K –
S&P GLOBAL INC COM 311K 698 –
SALESFORCE INC COM 468K 2K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 5M 61K –
SELECT SECTOR SPDR TR SBI HEATHCARE 248K 2K –
SPDR S&P 500 ETF TR TR UNIT 773K 1K –
SPDR SER TR PORTFOLIO S&P600 519K 13K –
SSGA ACTIVE ETF TR MULT ASS RLRTN 308K 11K –
SPDR SER TR PORTFOLIO SHORT 258K 9K –
TJX COS INC NEW COM 333K 3K –
TRUSTMARK CORP COM 267K 9K –
UNION PAC CORP COM 493K 2K –
UNITEDHEALTH GROUP INC COM 374K 735 –
VALERO ENERGY CORP COM 249K 2K –
VANECK ETF TRUST GOLD MINERS ETF 235K 7K –
VANGUARD INDEX FDS S&P 500 ETF SHS 3M 6K –
VANGUARD INDEX FDS MCAP VL IDXVIP 237K 2K –
VANGUARD INDEX FDS GROWTH ETF 2M 5K –
VANGUARD INDEX FDS VALUE ETF 789K 5K –
VANGUARD INDEX FDS SML CP VAL ETF 334K 2K –
VANGUARD INDEX FDS SMALL CP ETF 356K 2K –
VANGUARD INDEX FDS TOTAL STK MKT 217K 812 –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 590K 10K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 235K 3K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 228K 1K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 217K 4K –
VANGUARD WORLD FDS INF TECH ETF 299K 518 –
VICTORY PORTFOLIOS II VCSHS US 500 ENH 302K 5K –
VISA INC COM CL A 445K 2K –
WALMART INC COM 3M 38K –
WELLTOWER INC COM 261K 3K –
ZOETIS INC CL A 428K 2K –