Mooberry Financial Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
45
29% high-net worth
Total advisors
1
of 6 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
45
Average account size
$0
About
Mooberry Financial Management serves individuals, small businesses, estates and trusts, delivering comprehensive financial planning that covers estate planning, tax planning, insurance review, and related non‑securities advice. The firm provides ongoing investment guidance as part of that planning but places greater emphasis on broader financial planning than on discretionary portfolio management.
Investment recommendations are provided on a non‑discretionary basis and, when implemented, are executed through a broker‑dealer relationship where the owner acts as a registered representative; the brochure notes the firm devotes roughly half of its time to non‑securities planning and only a small portion to securities advice. The firm uses both fundamental and technical analysis, conducts detailed reviews of mutual fund managers, and commonly recommends load mutual funds and variable annuities available through its broker‑dealer.
Notable distinctions disclosed in the brochure include the owner’s independent law practice and tax practice (each consuming about a quarter of her time), a license to sell insurance, and the receipt of commissions and ongoing 12b‑1 fees in her broker‑dealer capacity — arrangements the firm identifies as potential conflicts of interest. The brochure also states MFM does not accept custody or discretionary authority and does not carry professional liability insurance, which differentiates its operating model from many advisory firms.
Client services
Expertise
Occupation focus
Fee options
Commissions received from sale of mutual funds and variable annuities, including ongoing 12b-1 fees, mutual fund sales loads, surrender charges, and variable annuity fees.
Some additional services offered at hourly rates; specific rates not stated.
Fee-only: Initial financial planning fees typically range from $600 to $4,500, billed annually in arrears; fees are negotiable and based on complexity; some additional services charged hourly.
Main office location
Mooberry Financial Management, LLC
901 Kentucky, Suite 202
Lawrence KS 66044, United States
Number of offices
1
Most active in
Kansas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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