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.
SEC-registered adviser
Bartlett & Co. Wealth Management LLC
Latest filing Mar 31, 2026
First filing on the tape Feb 15, 2018 · 36 filings
SEC status approved since Mar 26, 2018
RAUM
$10B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
85%
$8.8B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$320M
derived; firm RAUM over IAPD count
Employees
84
34 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2026
Mar 27, 2019$3.9B then
HNW client RAUM$8.4B as of Mar 31, 2026
Mar 27, 2019$3.0B then
State-registered IARs (5.B.3)34 as of Mar 31, 2026
Mar 27, 201918 then
Employees (5.A)84 as of Mar 31, 2026
Mar 27, 201950 then
Private funds: no history
RAUM +9.2% over the last fiscal year+14% a year over threeIARs 33 to 34
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $320MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 10.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +3.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- 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 advisers, otherreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $3.9B, 1,102 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$8.4B82%
- Corporations and businesses$842M8.2%
- Charitable organizations$399M3.9%
- Individuals$310M3.0%
- Pension and profit-sharing plans$212M2.1%
- State and municipal entities$40.7M0.4%
- Individual clients
- 782reported
- HNW clients
- 1,351reported
- Pension plan clients
- 21reported
- Charitable clients
- 40reported
- Accounts
- 6,188reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.9B for 1,102 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
32 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian Francis AntenucciChartered Financial Analyst | Cincinatti, Oh | Apr 13, 2018 | 20 y | 3 |
| Jason Martin KatzCertified Financial Planner | Cincinatti, Oh | Apr 13, 2018 | 21 y | 2 |
| Michael Sayers CambronChartered Financial Analyst | Cincinatti, Oh | Apr 27, 2018 | 39 y | 2 |
| Christopher Douglas RobbinsChartered Financial Analyst | Cincinatti, Oh | Apr 27, 2018 | 19 y | 2 |
| Woodrow Hunter UibleChartered Financial Analyst | Cincinatti, Oh | Apr 27, 2018 | 39 y | 2 |
| Kenneth Lawrence SchlachterChartered Financial Analyst | Cincinatti, Oh | Apr 27, 2018 | 31 y | 2 |
| James Brian HagertyChartered Financial Analyst | Cincinatti, Oh | Apr 27, 2018 | 30 y | 2 |
| Lori Beth PooleCertified Financial Planner | Cincinatti, Oh | Apr 30, 2018 | 14 y | 1 |
| David Philip Francis | Cincinatti, Oh | Apr 30, 2018 | 14 y | 1 |
| Holly Hirt Mazzocca | Cincinatti, Oh | Apr 30, 2018 | 17 y | 1 |
| Kyle William PohlmanChartered Financial Analyst | Cincinatti, Oh | Apr 30, 2018 | 14 y | 1 |
| Krista Kay LinnChartered Financial Analyst | Chicago, Il | Aug 20, 2019 | 34 y | 4 |
| Melissa Mabley MartinCertified Financial Planner | Chicago, Il | Dec 13, 2019 | 17 y | 4 |
| Catherine Lillian CrawfordCertified Financial Planner | Cincinnati, Oh | Mar 6, 2020 | 14 y | 0 |
| Kailyn Michaele NeatCertified Financial Planner | Louisville, Ky | Mar 6, 2020 | 11 y | 0 |
| Brian Michael WalkerChartered Financial Analyst | Cincinnati, Oh | Apr 29, 2020 | 12 y | 0 |
| Peter Ward Flanzer | Chicago, Il | Nov 20, 2020 | 34 y | 2 |
| Robert Henry DearbornChartered Financial Analyst, Chartered Investment Counselor | Chicago, Il | Dec 2, 2020 | 36 y | 0 |
| Keith Eugene DershemCertified Financial Planner | Cincinnati, Oh | Oct 21, 2021 | 25 y | 2 |
| Aliya Lindsay RiddleChartered Financial Analyst | Cincinnati, Oh | Oct 21, 2021 | 18 y | 1 |
| Justin Matthew EllisChartered Financial Analyst | Cincinnati, Oh | Apr 18, 2022 | 11 y | 0 |
| Laura Anne CuberCertified Financial Planner | Chicago, Il | Jul 20, 2022 | 12 y | 1 |
| Steven Todd NaiserChartered Financial Analyst | Louisville, Ky | Feb 12, 2023 | 25 y | 2 |
| Kayla C DeyerCertified Financial Planner, Chartered Financial Consultant | Louisville, Ky | Aug 30, 2023 | 11 y | 2 |
| Gina Palazzo SlaytonCertified Financial Planner | Cincinnati, Oh | Dec 8, 2023 | 10 y | 3 |
| Nicholas WinterCertified Financial Planner | Chicago, Il | Sep 12, 2024 | 12 y | 1 |
| Connie A JohnsonChartered Financial Analyst | Chicago, Il | Oct 29, 2024 | 10 y | 1 |
| Andrew D HolthausChartered Financial Analyst | Cincinnati, Oh | Nov 25, 2024 | 11 y | 0 |
| Aaron BalchCertified Financial Planner | Cincinnati, Oh | Aug 7, 2025 | 23 y | 2 |
| Timothy Andrew BackChartered Financial Analyst | Cincinnati, Oh | Oct 9, 2025 | 18 y | 1 |
| Cole Alexander RobertsChartered Financial Analyst | Louisville, Ky | Dec 16, 2025 | 13 y | 0 |
| Jonathan Finkler | Cincinnati, Oh | Feb 23, 2026 | 21 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 6.3% of current headcount2 left over 36 months
Left, latest
- Craig M Sarembock to FartherSep 4, 2026 · RIA to RIA
- Nicholas Andrew D'Andrea to Cx Institutional, LLCFeb 20, 2026 · RIA to RIA
- Michael Evan Vassar to Robert W. Baird & Co. IncorporatedJul 1, 2022 · RIA to RIA
- Ross David Cohen to Ritholtz Wealth ManagementMay 25, 2022 · RIA to RIA
- Simon T. Lawson to Fidelity Personal And Workplace AdvisorsOct 19, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- Timothy Andrew Back from Great American Advisors, Inc.Oct 9, 2025 · Other
- Aaron Balch from Morningstar Investment Services LLCAug 7, 2025 · RIA to RIA
- Connie A Johnson from Focus Partners Wealth, LLCOct 29, 2024 · RIA to RIA
- Nicholas Winter from W&S Brokerage Services, Inc.Sep 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- Gina Palazzo Slayton from Cambridge Investment Research Advisors, Inc.Dec 8, 2023 · Affiliated broker-dealer or bank to independent RIA
- Kayla C Deyer from Sanctuary Advisors, LLCAug 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- Steven Todd Naiser from Regent Investment Management LLCFeb 12, 2023 · RIA to RIA
- Laura Anne Cuber from Mercer Global Advisors Inc.Jul 20, 2022 · RIA to RIA
- Aliya Lindsay Riddle from Johnson Investment Counsel, Inc.Oct 21, 2021 · RIA to RIA
- Keith Eugene Dershem from U.S. Bancorp Investments, Inc.Oct 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- Ross David Cohen from Nadler Financial Group, Inc.Feb 3, 2021 · RIA to RIA
- Peter Ward Flanzer from Lodestar Investment Counsel, LLCNov 20, 2020 · RIA to RIA
- Simon T. Lawson from Fidelity Personal And Workplace AdvisorsMar 6, 2020 · Affiliated broker-dealer or bank to independent RIA
- Melissa Mabley Martin from Northcoast Asset Management LLCDec 13, 2019 · RIA to RIA
- Krista Kay Linn from Lodestar Investment Counsel, LLCAug 20, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Lodestar Investment Counsel, LLCSep 12, 2019 · Chicago, Il
- 12 joined from Bartlett & Co. LLCApr 12, 2018 · Cincinnati, Oh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Francis Brian Antenucci · Directorcontrolsince 02/2018 · owns less than 5%
- Brian James Hagerty · Ceocontrolsince 01/2021 · owns less than 5%
- David Chadwick Kolde · Chief Financial Officercontrolsince 06/2021 · owns less than 5%
- Hirt Holly Mazzocca · Presidentcontrolsince 01/2021 · owns less than 5%
- William Kyle Pohlman · Directorcontrolsince 02/2018 · owns less than 5%
- Beth Lori Poole · Director Chief Operating Officercontrolsince 02/2018 · owns less than 5%
- Ann Kimberly Geary · Chief Compliance Officersince 07/2022 · owns less than 5%
- Nellis Samuel Ginocchio · Chief Compliance Officersince 11/2025 · owns less than 5%
Entity owners
- Focus Operating, LLC · Member (Manager)direct · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinandffp Ultimate Holdings, LP
- Clayton, Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinandffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Focus Financial Partners Inc. · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
- Focus Risk Solutions, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinatti, Oh | 11 | 0 | 1 | ||
| Cincinnati, Oh · principal | 10 | 2 | 1 | ||
| Chicago, Il | 7 | 0 | 0 | ||
| Louisville, Ky | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL6 employees
- Louisville, KY3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026KOLDE, CHADWICK, DAVID (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-09-12 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 6,059 to 6,188Nov 17, 2025 to Mar 31, 2026
- Advisory employees · 35 to 34Nov 17, 2025 to Mar 31, 2026
- Charity clients · 53 to 40Nov 17, 2025 to Mar 31, 2026
- Corporate clients · 55 to 66Nov 17, 2025 to Mar 31, 2026
- HNW clients · 1,327 to 1,351Nov 17, 2025 to Mar 31, 2026
- Individual clients · 796 to 782Nov 17, 2025 to Mar 31, 2026
- Pension plan clients · 23 to 21Nov 17, 2025 to Mar 31, 2026
- Assets in custody · $3.3B to $3.9BNov 17, 2025 to Mar 31, 2026
- State-registered IARs · 33 to 34Nov 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.3B to $10BNov 17, 2025 to Mar 31, 2026
- HNW RAUM · $7.8B to $8.4BNov 17, 2025 to Mar 31, 2026
- Individual RAUM · $319M to $310MNov 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $53.3M to $60.2MNov 17, 2025 to Mar 31, 2026
- Pension RAUM · $198M to $212MNov 17, 2025 to Mar 31, 2026
- RAUM · $9.4B to $10BNov 17, 2025 to Mar 31, 2026
- Accounts · 5,859 to 6,059Mar 26, 2024 to Mar 26, 2025
- Advisory employees · 34 to 35Mar 26, 2024 to Mar 26, 2025
- Charity clients · 49 to 53Mar 26, 2024 to Mar 26, 2025
- HNW clients · 1,273 to 1,327Mar 26, 2024 to Mar 26, 2025
- Individual clients · 817 to 796Mar 26, 2024 to Mar 26, 2025
- Pension plan clients · 11 to 23Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $3.0B to $3.3BMar 26, 2024 to Mar 26, 2025
- Employees · 77 to 84Mar 26, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to More than 500Mar 26, 2024 to Mar 26, 2025
- State-registered IARs · 32 to 33Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $8.4B to $9.3BMar 26, 2024 to Mar 26, 2025
- HNW RAUM · $6.9B to $7.8BMar 26, 2024 to Mar 26, 2025
- Individual RAUM · $328M to $319MMar 26, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $38.3M to $53.3MMar 26, 2024 to Mar 26, 2025
- Pension RAUM · $136M to $198MMar 26, 2024 to Mar 26, 2025
- RAUM · $8.4B to $9.4BMar 26, 2024 to Mar 26, 2025
- Related insurance company · false to trueMar 26, 2024 to Mar 26, 2025
- Accounts · 5,301 to 5,859Sep 15, 2023 to Mar 20, 2024
- Advisory employees · 30 to 34Sep 15, 2023 to Mar 20, 2024
- Charity clients · 54 to 49Sep 15, 2023 to Mar 20, 2024
- HNW clients · 1,145 to 1,273Sep 15, 2023 to Mar 20, 2024
- Individual clients · 908 to 817Sep 15, 2023 to Mar 20, 2024
- Pension plan clients · 10 to 11Sep 15, 2023 to Mar 20, 2024
- Assets in custody · $2.2B to $3.0BSep 15, 2023 to Mar 20, 2024
- Employees · 71 to 77Sep 15, 2023 to Mar 20, 2024
Signals
12 dated events
- Craig M Sarembock left Bartlett & Co. Wealth Management Llc for Farther (registered 2026-08-10)Sep 4, 2026 · Advisor changed firm · fact
- Nicholas Andrew D'Andrea left Bartlett & Co. Wealth Management Llc for Cx Institutional, Llc (registered 2026-01-21)Feb 20, 2026 · Advisor changed firm · fact
- Jeannette Kelley Downing (Director) no longer on Schedule A of Bartlett & Co. Wealth Management Llc (listed 2022-10-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Allen Thomas Steele (Cfo/Coo) no longer on Schedule A of Bartlett & Co. Wealth Management Llc (listed 2022-10-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Francis Brian Antenucci (Director) appeared on Schedule A of Bartlett & Co. Wealth Management LlcMar 29, 2023 · Control person joined · fact
- Beth Lori Poole (Director) appeared on Schedule A of Bartlett & Co. Wealth Management LlcMar 29, 2023 · Control person joined · fact
- David Chadwick Kolde (Chief Financial Officer) appeared on Schedule A of Bartlett & Co. Wealth Management LlcMar 29, 2023 · Control person joined · fact
- Michael Evan Vassar left Bartlett & Co. Wealth Management Llc for Robert W. Baird & Co. Incorporated (registered 2022-07-01)Jul 1, 2022 · Advisor changed firm · fact
- Ross David Cohen left Bartlett & Co. Wealth Management Llc for Ritholtz Wealth Management (registered 2022-05-16)May 25, 2022 · Advisor changed firm · fact
- Bartlett & Co. Wealth Management Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 4, 2019 · Succession (Item 4) · fact
- Bartlett & Co. Wealth Management Llc reported RAUM $6.0B, up 53% from $3.9B (2019-07-01 to 2019-09-04)Sep 4, 2019 · RAUM change · derived
- Bartlett & Co. Wealth Management Llc filed its initial SEC registration (Form ADV)Feb 15, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Bartlett & Co. Wealth Management LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 513-621-4612reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-630-9666reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-719-1000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/bartlettwealthmanagementreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- BARTLETT1898.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-621-4612reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- bartlett1898.com/team-pagereportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $320Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026