DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Bartlett & Co. LLC
Latest filing Apr 12, 2018
First filing on the tape Jan 13, 2012 · 18 filings
RAUM
$4.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
79%
$3.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
47
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.1B as of Mar 2, 2018
Mar 25, 2013$2.9B then
HNW client RAUM: $3.3B
State-registered IARs (5.B.3)17 as of Mar 2, 2018
Mar 25, 201313 then
Employees (5.A)47 as of Mar 2, 2018
Mar 25, 201345 then
Private funds: no history
RAUM +15% over the last fiscal year+6.4% a year over threeIARs 17 to 17
Practice profile
derived from the filing of Apr 12, 2018; every figure names its basis
- RAUM per advisor
- $243MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 17.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.3B79%
- Corporations and businesses$421M10%
- Charitable organizations$269M6.5%
- Pension and profit-sharing plans$147M3.6%
- State and municipal entities$31.5M0.8%
- Individual clients
- n/areported
- HNW clients
- 1,103reported
- Pension plan clients
- 23reported
- Charitable clients
- 32reported
- Accounts
- 1,197reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $1.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Michael Sayers Cambron to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Craig M Sarembock to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Kyle William Pohlman to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Brian Francis Antenucci to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Jason Martin Katz to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- James Brian Hagerty to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Holly Hirt Mazzocca to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Lori Beth Poole to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Woodrow Hunter Uible to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Kenneth Lawrence Schlachter to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- David Philip Francis to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
- Christopher Douglas Robbins to Bartlett & Co. Wealth Management LLCApr 12, 2018 · RIA to RIA
Joined, latest
- Brian Francis Antenucci from LPL Financial LLCMar 23, 2018 · Other
- Christopher Douglas Robbins from Waddell & ReedMar 23, 2018 · Other
- Jason Martin Katz from Deloitte Investment Advisors LLCApr 23, 2017 · Other
- Craig M Sarembock from Ladenburg Thalmann Asset Management IncMar 25, 2013 · Other
- Kenneth Lawrence Schlachter from Bartlett & CoMar 9, 2012 · Other
- James Brian Hagerty from Bartlett & CoMar 8, 2012 · Other
- Woodrow Hunter Uible from Bartlett & CoMar 8, 2012 · Other
- Michael Sayers Cambron from Bartlett & CoMar 7, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for Bartlett & Co. Wealth Management LLCApr 12, 2018 · Cincinnati, Oh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jeannette Kelley Downing · President/Ceocontrolsince 12/2011 · owns 10% to 25%
- Brian James Hagerty · Directorcontrolsince 12/2011 · owns 10% to 25%
- Turner Terrence Kelly · Directorcontrolsince 12/2011 · owns 10% to 25%
- Allen Thomas Steele · Secretary, Treasurer And Chief Compliance Officercontrolsince 12/2011 · owns 5% to 10%
- David Philip Francis (Jr) · Membersince 12/2011 · owns 5% to 10%
- Lee Laura Humphrey · Membersince 12/2011 · owns 5% to 10%
- Allen James Miller · Membersince 12/2011 · owns 10% to 25%
- Lawrence Kenneth Schlachter · Membersince 12/2011 · owns 5% to 10%
- Ray Troy Snider · Membersince 12/2011 · owns 5% to 10%
- Hunter Woodrow Uible · Membersince 12/2011 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · 281351011.0 to unsetMar 2, 2018 to Apr 12, 2018
- Custody of client assets · true to falseMar 2, 2018 to Apr 12, 2018
- Accounts · 1,181 to 1,197Mar 10, 2017 to Mar 2, 2018
- Charity clients · unset to 32.0Mar 10, 2017 to Mar 2, 2018
- Corporate clients · unset to 36.0Mar 10, 2017 to Mar 2, 2018
- HNW clients · unset to 1103.0Mar 10, 2017 to Mar 2, 2018
- Pension plan clients · unset to 23.0Mar 10, 2017 to Mar 2, 2018
- Assets in custody · $247M to $281MMar 10, 2017 to Mar 2, 2018
- Employees · 46 to 47Mar 10, 2017 to Mar 2, 2018
- Other offices · unset to 0.0Mar 10, 2017 to Mar 2, 2018
- Discretionary RAUM · $3.5B to $4.1BMar 10, 2017 to Mar 2, 2018
- HNW RAUM · unset to 3263848773.0Mar 10, 2017 to Mar 2, 2018
- Non-discretionary RAUM · $107M to $50.5MMar 10, 2017 to Mar 2, 2018
- Pension RAUM · unset to 146768204.0Mar 10, 2017 to Mar 2, 2018
- RAUM · $3.6B to $4.1BMar 10, 2017 to Mar 2, 2018
- Wrap assets (manager) · unset to 1838295.0Mar 10, 2017 to Mar 2, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 10, 2017 to Mar 2, 2018
- Accounts · 1,159 to 1,181Oct 3, 2016 to Mar 10, 2017
- Advisory employees · 16 to 19Oct 3, 2016 to Mar 10, 2017
- Assets in custody · $246M to $247MOct 3, 2016 to Mar 10, 2017
- Employees · 47 to 46Oct 3, 2016 to Mar 10, 2017
- Financial planning clients · 51-100 to 101-250Oct 3, 2016 to Mar 10, 2017
- State-registered IARs · 14 to 17Oct 3, 2016 to Mar 10, 2017
- Discretionary RAUM · $3.3B to $3.5BOct 3, 2016 to Mar 10, 2017
- Non-discretionary RAUM · $103M to $107MOct 3, 2016 to Mar 10, 2017
- RAUM · $3.4B to $3.6BOct 3, 2016 to Mar 10, 2017
- Accounts · 2,828 to 1,159Mar 30, 2015 to Mar 7, 2016
- Advisory employees · 17 to 16Mar 30, 2015 to Mar 7, 2016
- Assets in custody · $289M to $246MMar 30, 2015 to Mar 7, 2016
- Discretionary RAUM · $3.4B to $3.3BMar 30, 2015 to Mar 7, 2016
- Non-discretionary RAUM · $79.3M to $103MMar 30, 2015 to Mar 7, 2016
- RAUM · $3.4B to $3.4BMar 30, 2015 to Mar 7, 2016
- Accounts · 2,693 to 2,828May 12, 2014 to Mar 30, 2015
- Assets in custody · $263M to $289MMay 12, 2014 to Mar 30, 2015
- Financial planning clients · 26-50 to 51-100May 12, 2014 to Mar 30, 2015
- Discretionary RAUM · $3.2B to $3.4BMay 12, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $95.0M to $79.3MMay 12, 2014 to Mar 30, 2015
- RAUM · $3.3B to $3.4BMay 12, 2014 to Mar 30, 2015
- Accounts · 2,630 to 2,693Nov 7, 2013 to Feb 21, 2014
- Advisory employees · 15 to 17Nov 7, 2013 to Feb 21, 2014
Signals
1 dated events
- Bartlett & Co. Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 2, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026