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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

BARTLETT & CO. LLC

CRD 159973

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9855deea-a8b3-0c3a-d24d-19d6e415957b

Data as of Apr 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 1
On other graphs: 0
Observed: Jan 13, 2012 to Apr 12, 2018
18 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.1BItem 5.F on the latest filing (2018-04-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.1B
Private client RAUM: $3.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 47
Advisory employees: 19
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,197
High net worth clients: 1,103
SEC number: 801-73057
CRD: 159973
Filings on the tape: 18
First filed: Jan 13, 2012
Latest filed: Apr 12, 2018
Organised: Limited Liability Company, Ohio

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DOWNING, KELLEY, JEANNETTE	PRESIDENT/CEO	B	yes	12/2011	Jan 13, 2012	Apr 12, 2018
HAGERTY, JAMES, BRIAN	Director	B	yes	12/2011	Jan 13, 2012	Apr 12, 2018
KELLY, TERRENCE, TURNER	Director	B	yes	12/2011	Jan 13, 2012	Apr 12, 2018
STEELE, THOMAS, ALLEN	SECRETARY, TREASURER AND CHIEF COMPLIANCE OFFICER	A	yes	12/2011	Jan 13, 2012	Apr 12, 2018
FRANCIS (JR), DAVID PHILIP	Member	A	no	12/2011	Jan 13, 2012	Apr 12, 2018
HUMPHREY, LAURA, LEE	Member	A	no	12/2011	Jan 13, 2012	Apr 12, 2018
MILLER, JAMES, ALLEN	Member	B	no	12/2011	Jan 13, 2012	Apr 12, 2018
SCHLACHTER, KENNETH, LAWRENCE	Member	A	no	12/2011	Jan 13, 2012	Apr 12, 2018
SNIDER, TROY, RAY	Member	A	no	12/2011	Jan 13, 2012	Apr 12, 2018
UIBLE, WOODROW, HUNTER	Member	B	no	12/2011	Jan 13, 2012	Apr 12, 2018

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 2, 2018	$4.1B	$4.1B	47	19	0	n/a	n/a
2016	Mar 10, 2017	$3.6B	$3.5B	46	19	n/a	n/a	n/a
2015	Mar 7, 2016	$3.4B	$3.3B	47	16	n/a	n/a	n/a
2014	Mar 30, 2015	$3.4B	$3.4B	47	17	n/a	n/a	n/a
2013	Feb 21, 2014	$3.3B	$3.2B	47	17	n/a	n/a	n/a
2012	Mar 25, 2013	$2.9B	$2.9B	45	15	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$4.1B	$3.6B	15.5%	$3.4B	6.4%	47	46	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BARTLETT & CO. WEALTH MANAGEMENT LLC	12	Apr 12, 2018	Apr 30, 2018	CINCINNATI, OH	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (4)

← DOWNING, KELLEY, JEANNETTEOwnerPRESIDENT/CEO, ownership code B, individual
Jan 13, 2012 to presentfactForm ADV
← KELLY, TERRENCE, TURNEROwnerDIRECTOR, ownership code B, individual
Jan 13, 2012 to presentfactForm ADV
← STEELE, THOMAS, ALLENOwnerSECRETARY, TREASURER AND CHIEF COMPLIANCE OFFICER, ownership code A, individual
Jan 13, 2012 to presentfactForm ADV
← HAGERTY, JAMES, BRIANOwnerDIRECTOR, ownership code B, individual
Jan 13, 2012 to presentfactForm ADV

Owns (6)

← UIBLE, WOODROW, HUNTEROwnerMEMBER, ownership code B, individual
Jan 13, 2012 to presentfactForm ADV
← SCHLACHTER, KENNETH, LAWRENCEOwnerMEMBER, ownership code A, individual
Jan 13, 2012 to presentfactForm ADV
← SNIDER, TROY, RAYOwnerMEMBER, ownership code A, individual
Jan 13, 2012 to presentfactForm ADV
← HUMPHREY, LAURA, LEEOwnerMEMBER, ownership code A, individual
Jan 13, 2012 to presentfactForm ADV
← MILLER, JAMES, ALLENOwnerMEMBER, ownership code B, individual
Jan 13, 2012 to presentfactForm ADV
← FRANCIS (JR), DAVID PHILIPOwnerMEMBER, ownership code A, individual
Jan 13, 2012 to presentfactForm ADV

Moved with (1)

→ BARTLETT & CO. WEALTH MANAGEMENT LLCRegistered adviser12 advisors, firm absorbed, same day
Apr 12, 2018 to Apr 30, 2018factForm ADV

Registered with (12)

← WOODROW HUNTER UIBLEAdvisorregistration: previous registration
Mar 8, 2012 to Apr 12, 2018factForm ADV
← KENNETH LAWRENCE SCHLACHTERAdvisorregistration: previous registration
Mar 9, 2012 to Apr 12, 2018factForm ADV
← DAVID PHILIP FRANCISAdvisorregistration: previous registration
Mar 25, 2013 to Apr 12, 2018factForm ADV
← JAMES BRIAN HAGERTYAdvisorregistration: previous registration
Mar 8, 2012 to Apr 12, 2018factForm ADV
← MICHAEL SAYERS CAMBRONAdvisorregistration: previous registration
Mar 7, 2012 to Apr 12, 2018factForm ADV
← CRAIG M SAREMBOCKAdvisorregistration: previous registration
Mar 25, 2013 to Apr 12, 2018factForm ADV
← KYLE WILLIAM POHLMANAdvisorregistration: previous registration
Feb 13, 2015 to Apr 12, 2018factForm ADV
← BRIAN FRANCIS ANTENUCCIAdvisorregistration: previous registration
Mar 23, 2018 to Apr 12, 2018factForm ADV
← JASON MARTIN KATZAdvisorregistration: previous registration
Apr 23, 2017 to Apr 12, 2018factForm ADV
← CHRISTOPHER DOUGLAS ROBBINSAdvisorregistration: previous registration
Mar 23, 2018 to Apr 12, 2018factForm ADV
← HOLLY HIRT MAZZOCCAAdvisorregistration: previous registration
May 26, 2016 to Apr 12, 2018factForm ADV
← LORI BETH POOLEAdvisorregistration: previous registration
May 26, 2016 to Apr 12, 2018factForm ADV

Dated events

Occurred
Mar 2, 2012
Succession filed (Item 4)
Bartlett & Co. Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9855deea-a8b3-0c3a-d24d-19d6e415957b
First observed: Jan 13, 2012
Last observed: Apr 12, 2018 102 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BARTLETT & CO. LLC

CRD 159973

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9855deea-a8b3-0c3a-d24d-19d6e415957b

Data as of Apr 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:23 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOWNING, KELLEY, JEANNETTE

PRESIDENT/CEO

yes

12/2011

Jan 13, 2012

Apr 12, 2018

HAGERTY, JAMES, BRIAN

Director

yes

12/2011

Jan 13, 2012

Apr 12, 2018

KELLY, TERRENCE, TURNER

Director

yes

12/2011

Jan 13, 2012

Apr 12, 2018

STEELE, THOMAS, ALLEN

SECRETARY, TREASURER AND CHIEF COMPLIANCE OFFICER

yes

12/2011

Jan 13, 2012

Apr 12, 2018

FRANCIS (JR), DAVID PHILIP

Member

12/2011

Jan 13, 2012

Apr 12, 2018

HUMPHREY, LAURA, LEE

Member

12/2011

Jan 13, 2012

Apr 12, 2018

MILLER, JAMES, ALLEN

Member

12/2011

Jan 13, 2012

Apr 12, 2018

SCHLACHTER, KENNETH, LAWRENCE

Member

12/2011

Jan 13, 2012

Apr 12, 2018

SNIDER, TROY, RAY

Member

12/2011

Jan 13, 2012

Apr 12, 2018

UIBLE, WOODROW, HUNTER

Member

12/2011

Jan 13, 2012

Apr 12, 2018

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 2, 2018

$4.1B

n/a

2016

Mar 10, 2017

$3.6B

$3.5B

n/a

2015

Mar 7, 2016

$3.4B

$3.3B

n/a

2014

Mar 30, 2015

$3.4B

n/a

2013

Feb 21, 2014

$3.3B

$3.2B

n/a

2012

Mar 25, 2013

$2.9B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$4.1B

$3.6B

15.5%

$3.4B

6.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BARTLETT & CO. WEALTH MANAGEMENT LLC

Apr 12, 2018

Apr 30, 2018

CINCINNATI, OH

Firm absorbed

RIA to RIA

100.0%