{"url":"https://nivawealth.com/firms/merryfield-barnes-159862","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159862","regulatoryAum":124187713,"crd":"159862","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4920725","suffix":null,"lastName":"BARNES","firstName":"CHARLES","middleName":"WHITNEY"},{"crd":"3277072","suffix":null,"lastName":"MERRYFIELD","firstName":"DENNIS","middleName":"GEORGE"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-29","regulatoryAum":92095603,"clients":183,"employees":3,"offices":1},{"filedOn":"2022-04-05","regulatoryAum":105159327,"clients":193,"employees":4,"offices":1},{"filedOn":"2023-04-05","regulatoryAum":93358378,"clients":196,"employees":4,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":102618190,"clients":205,"employees":4,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":112873322,"clients":202,"employees":4,"offices":1},{"filedOn":"2026-03-20","regulatoryAum":124187713,"clients":200,"employees":4,"offices":1}],"secFileNumber":"801-72949","legalName":"Merryfield Barnes, LLC","displayName":"Merryfield Barnes","slug":"merryfield-barnes-159862","website":"https://merryfieldbarnes.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"202 East State Street, Suite 301","city":"Ithaca","state":"NY","stateName":"New York","country":"United States","postalCode":"14850"},"tradeNames":[],"registration":{"secApproved":"13 December 2011","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":591619.87,"staff":{"employees":4,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":124187713,"discretionary":123166746,"discretionaryAccounts":475,"nonDiscretionary":1020967,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":160,"regulatoryAum":26853860},{"label":"High-net-worth individuals","clients":40,"regulatoryAum":91470114},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":4437855},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1250835},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":175049}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and consulting is a negotiable fixed fee generally from $1,500 to $30,000, or $500 to $1,000 an hour, with half due on signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022999","versionId":1022999,"submittedOn":"2026-03-20","documentName":"MERRYFIELD BARNES 2026 ANNUAL REVISED PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:26:21.660449+00:00","documents":[{"name":"MERRYFIELD BARNES 2026 ANNUAL REVISED PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022999","versionId":1022999,"submittedOn":"2026-03-20"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":124187713}],"custodyNote":"Merryfield Barnes has custody of $13.3M for 21 clients.","otherCustodians":[],"leadership":[{"name":"Charles Barnes","title":"Senior Vice President","crd":"4920725"},{"name":"Dennis Merryfield","title":"Managing Member / President","crd":"3277072"},{"name":"Charles Barnes","title":"Chief Compliance Officer","crd":"4920725"}],"ownership":[{"label":"Dennis Merryfield","detail":"Managing member / president in the 75% or more ownership band and a control person, since November 2011."},{"label":"Charles Barnes","detail":"Senior vice president in the 25% to 50% ownership band and a control person, since November 2011. Also chief compliance officer in the 25% to 50% ownership band and a control person, since November 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"202 East State Street, Suite 301","city":"Ithaca","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"607-882-9988","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":72},{"label":"U.S. government/agency bonds","percent":15},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":12}],"privateFunds":0},"sources":{"adv1FilingDate":"20 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159862/PDF/159862.pdf","brochureDate":"20 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022999","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Merryfield Barnes have?","answer":"Merryfield Barnes has 200 clients and manages $124 million for them, as of March 2026. They include 160 individual clients and 40 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Merryfield Barnes offer?","answer":"Merryfield Barnes provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Merryfield Barnes use?","answer":"Merryfield Barnes’ separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $124M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Merryfield Barnes have?","answer":"Merryfield Barnes has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Merryfield Barnes invest in?","answer":"At the end of its last fiscal year, Merryfield Barnes’ separately managed accounts held 72% exchange-traded equities, 15% U.S. government and agency bonds, 12% cash and equivalents and 1% registered funds (mutual funds, ETFs, BDCs).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Merryfield Barnes?","answer":"Merryfield Barnes’ direct owners are Dennis Merryfield (75% or more) and Charles Barnes (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Merryfield Barnes get paid?","answer":"Merryfield Barnes is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Merryfield Barnes?","answer":"Merryfield Barnes’ main office is at 202 East State Street, Suite 301, Ithaca, NY 14850. Its phone number is 607-882-9988. Its website is merryfieldbarnes.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}