Award Disclosures

We are grateful for the recognition that both the firm and employees have received over the years. Below is a list of criteria that is used to determine eligibility for each award listed on the Bartlett website.

 

Five Star Wealth Manager Award 2019 – Five Star Professional

To receive the Five Star Wealth Manager award, a wealth manager must satisfy 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services to their clients. Factors taken into account include assets under management and client retention rate. Candidates also undergo a thorough regulatory and complaint review.

Five Star Professional:

Conducts comprehensive research

Recognizes service professionals

Partners with leading city/regional magazines

Helps award winners gain the recognition they deserve

For additional research methodology, please visit: http://fivestarprofessional.com/ref/research/WM_ResearchMethodology.pdf

Advisory HQ’s 2019 Top 11 Best Financial Advisors in Cincinnati, Ohio
-Bartlett Wealth Management

Our review and ranking articles are always 100% independently researched and written. Firms do not even realize that they are being reviewed by AdvisoryHQ until after our reviews have been completed and published to the public.

Based on keyword searches that users enter into the search box on our website, combined with an extensive U.S. and U.K. keywords search analysis that was performed using Google, Bing, Yahoo!, Ask.com, AOL, and other search mediums, AdvisoryHQ determined that the average consumer mostly searches for financial advisors that fit some or all of the following dimensions:

Independent financial planners, advisors, and asset management firms

Advisors that act as fiduciaries 

Firms that provide customized services

Firms that have a high level of transparency

Fee-only advisors and wealth managers

Fee-based advisors that are also fiduciaries (more on this later)

Firms that have a well-established and experienced advisory team

When constructing the logic for AdvisoryHQ’s selection methodology, the review team integrated the above requirements as part of our selection criteria. The following sections provide a detailed review of our methodology criteria, factors, and ranking process.

Read more at AdvisoryHQ: https://www.advisoryhq.com/articles/advisoryhqs-methodology-for-selecting-top-advisors/

Greater Cincinnati Foundation, Bridge Builder Award 2019
-Bartlett Wealth Management

Since its inception, the Greater Cincinnati Foundation has had the privilege of working with many professionals, including estate planners, financial advisors, insurance professionals and others, who connect their charitably-inclined clients with GCF’s resources. In 2009, GCF created the Bridge Builder Award, to be given each year to a professional advisor who has been a supporter of the Foundation in multiple ways over many years.

FT 300: Top Registered Investment Advisers 2019
-Bartlett Wealth Management

This sixth edition of the FT 300 assesses registered investment advisers (RIAs) on traits desirable to investors. To ensure a list of established companies with substantial expertise, we examined the database of RIAs registered with the US Securities and Exchange Commission and selected those that reported $300m or more in assets under management (AUM).

The Financial Times and Ignites Research, the FT’s sister title, invited more than 2,000 qualifying RIA companies to complete a lengthy application that gave us more information about them. We added this to our own research into their practices, including data from regulatory filings. Some 740 RIA companies applied and 300 made the final list.

The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. Areas of consideration include adviser AUM, asset growth, the company’s age, industry certifications of key employees, SEC compliance record and online accessibility. The reasons for these are as follows:

  • AUM signals experience managing money and client trust.
  • AUM growth rate can be a proxy for performance, as well as for asset retention and the ability to generate new business.
  • Companies’ years in existence indicates reliability and experience of managing assets through different market environments.
  • Compliance record provides evidence of past client disputes — a string of complaints can signal potential problems, for example.
  • Industry certifications (CFA, CFP, etc) show the company’s staff has industry knowledge and signals a professional commitment to investment skills.
  • Online accessibility demonstrates a desire to provide easy access and transparent contact information.

AUM accounted for an average of 70 to 75 per cent of each adviser’s score. Also, asset growth accounted for an average of 15 per cent. This year, to emphasize long-term client satisfaction, we used a three-year growth rate instead of the one- and two-year growth rates we used in the past. Additionally, the FT caps the number of advisory companies from any one state, based roughly on the distribution of millionaires across the US. We present the FT 300 as an elite group, not a competitive ranking of one to 300. This is the fairest way to identify the industry’s elite advisers while accounting for the companies’ different approaches and different specializations. The research was conducted on behalf of the FT by Ignites Research, a Financial Times sister publication. To view methodology on the Financial Times website, click here.

Barron’s 2019 Top 50 RIA Firms
-Bartlett Wealth Management

Barron’s published its first advisor ranking in 2004 to shine a spotlight on the nation’s best wealth managers and raise standards in the industry. Firms that wish to be ranked fill out a 102-question survey about their practice. We verify that data and apply our rankings formula to the data to generate a ranking, based on assets, revenue and quality of practice. The rankings are meant as a starting point for clients looking for an RIA firm — a first-pass vetting that can help investors narrow a search. Every firm will have its own approach to investing, financial planning and other services. Clients are encouraged to approach a search for an RIA firm the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. Visit Barron’s website for more details here.

Northern Kentucky Chamber of Commerce’s Outstanding Women of Northern Kentucky “Emerging Leader” Award
– Holly Mazzocca

Northern Kentucky Chamber of Commerce’s Outstanding Women award celebrates women who live, work or volunteer in Northern Kentucky and represent the great diversity and extraordinary accomplishments of today’s women. All the honorees represent ideal role models for the young women who follow in their footsteps. The “Emerging Leader” recognition is awarded to a woman who has made an impact on the NKY community and is under the age of 40

Business Courier’s Forty Under 40 Award
Lori Poole – 2018
Kyle Pohlman – 2016
Tom Steele – 1998

Young professionals are a vital asset to our region and it is important to acknowledge those who are making great strides in shaping our community’s future. Since 1995, the Business Courier has recognized our region’s young talent through our annual Forty Under 40 awards.

Each year through our open nominations process, we seek forty individuals, under the age of 40, who are making a difference in business and community. The emphasis is on leadership and potential leadership- whether it is in business, politics, the arts, nonprofits, education, health care or public service. Focus is also placed on the nominee’s community involvement. Think of your friends, family, colleagues, clients — anyone who matches the criteria — and nominate as many as you’d like.

The annual program kicks off with the online nomination process, which will remain open until May 29, 2020. The nominations system will not accept nominations submitted after 11:59 p.m. eastern standard time. Following the close of nominations, the Courier will host a networking breakfast for all nominees, and nominations will be handed over to an independent panel of judges- all of which are former Forty under 40 winners. After the judges make their selections, a new Forty Under 40 class will be announced by the Business Courier in late summer. The new class will be invited to a private winner’s reception, and honored publicly at a recognition banquet in the fall.

Please note: All nominees must be residents of the Tri-State, and under the age of 40 as of the ceremony date. Honorees will be chosen based on the quality of the nomination submitted, not the quantity of nominations. Letters of recommendation will NOT be accepted. All information regarding the nominee must be included in the online nomination submission.

Judging is based on a 30-point scale, with points allocated in four main nomination sections:

  • Reason for nomination (5 points)
  • Career achievements (10 points)
  • Community involvement (10 points)
  • Awards and recognition (5 points)

 

Northern Kentucky Chamber’s Next Generation Leader Award
– Holly Mazzocca

The NGLAs salute and applaud the Northern Kentucky/Cincinnati region’s young professionals ages 21 to 40. The awards recognize young professionals for significant accomplishments within their chosen professional field, as well as their commitment and contribution to the community.
Awards will be presented in 10 categories:

  • Arts, Entertainment & Hospitality (visual/performing arts, tourism, restaurants, hotels, retail, museums, etc.)
  • Education (teacher, school principal/vice principal, coach, school board member)
  • Entrepreneurship (start-ups, business owners)
  • Medical & Healthcare Services (healthcare industry including medical care, sales of medical equipment/pharmaceuticals, healthcare administrators)
  • Professional Services (accounting, banking, insurance, architects, commercial developers, mortgage brokers, financial planners, attorney, HR, real estate, etc.)
  • Public Relations, Advertising and Marketing (public relations, media relations, graphic designers, community relations, etc.)
  • Public Service and Community Based Organizations (non-profit professionals, state employees, lobbyists, local government, armed service, police officer, firefighter)
  • Skilled Trades (manufacturing, construction, electricians, etc.)
  • Technology (software developer, computer systems analyst, information security analyst, data analyst, web developer)
  • Transportation, Logistics and Supply Chain (logistics coordinators, logistics sales representatives, drivers, operations manager, material control analyst, etc.)

Cincinnati Business Achievement Awards, Distinguished Service Award
Woody Uible

The Cincinnati Business Achievement Awards, presented by the University of Cincinnati Carl H. Lindner College of Business Alumni Council, is the region’s longest-standing event that recognizes achievement in business as well as service to communities, both locally and globally. This flagship event for our college also directly impacts the Lindner student experience by raising funds for scholarships and financial assistance at both the undergraduate and graduate levels.

Honoring commitment to the college, UC and the community, the Distinguished Service Awardees have given generously of their time, talent or treasure, directly impacting the Lindner student experience and helping students succeed beyond graduation. Past award recipients have served as long-term mentors for student programs and organizations, or have gone beyond funding a scholarship and led initiatives at the college. 

Queen City Young Professionals Accolades, “Risk Taker” Award
Lori Poole

All young professionals in the greater Cincinnati and Tri-state area are eligible to be nominated. While there is no specific age requirement, the general age range for this award is between 21-35. All nominations must be submitted by someone other than the nominee. This includes, but is not limited to, coworkers, managers, friends, or relatives. Please include a detailed explanation of how you know the nominee to help the committee understand the context of the nomination. Members of the planning committee and other representatives will review the nominations to determine the finalists. Finalists will be contacted in August to schedule an interview for the final evaluation process.

ComSpark Corporate Tech and Innovation Award
Bartlett’s IT Team

Corporate Tech and Innovation Award has become a hallmark event where 300 leaders come to celebrate our region’s leading corporations and executives who champion technology such as Western & Southern Financial Group, Convergys and GE Aviation, to leading privately owned regional companies.

Venue and Lead Magazine C-Suite Award, Class of 2016
Kelley Downing 

The C-Suite Award honors our region’s leading chief executive officers, chief operating, information, marketing, and financial officers, board level leaders, and other C-level executives. The individuals were selected based on their invaluable contributions to their organization and our region as well as their personal leadership characteristics. 

Business Courier’s 2016 Innovation and Technology Awards, Outstanding Chief Technology Officer
Matt Whalen

The awards recognize businesses and individuals who have helped fuel the region’s economy through new ideas and approaches in 11 different categories.

Cincinnati Business Courier C-Suite Award, CEO of the Year 2015
– Kelley Downing

The Business Courier’s C-Suite Awards honor top executives from businesses and nonprofits around the Tri-State for their leadership and performance. honoring the top executives whose leadership has made a profound impact on their company. These awards will recognize CEO, CFO, COO, CMO, CLO and CTO/CIO leaders in the Greater Cincinnati community.

Nominees’ home office must be located in the 15-county Greater Cincinnati region.

The award categories are:

Chief executive officer, or top officer of the company

Chief financial officer

Chief operating officer

Chief marketing officer

Chief legal officer or general counsel

Chief technology officer / Chief information officer

YWCA Career Women of Achievement 2015
– Kelley Downing

An independent panel of five community leaders selects women who exemplify personal career success, dynamic leadership qualities and the unique ability to serve as role models. Former honorees include artists, physicians, educators, executives, politicians, lawyers, human service workers, entrepreneurs and law enforcement officers.

Enquirer Women of the Year, Class of 2014
– Kelley Downing

Introduced by The Enquirer in 1968, the Women of the Year program annually recognizes 10 area women who have supported philanthropic efforts and who have improved civic life through their investment of time, energy and their own belief in helping others. More than 500 women have been honored over the years.

LEAD Magazine, Women of Influence, 2013
– Laura Humphrey, CFP®, ADPA®, NSSA

The Women of Influence Award honors our region’s leading women who have helped shape the success of their organization and have demonstrated exceptional leadership.

Cincy Magazine, Cincinnati Power 100, 2012-2013
– Kelley Downing

Cincy’s Power 100 list recognizes those people who hold and use the most clout to benefit the region.

InformationWeek 500, Top 250 Innovators, (2009, 2010, 2011)
– Matt Whalen

The criteria used in the selection process are determined by InformationWeek editors. To make the list, a company must demonstrate a pattern of technological, procedural, and organizational innovation. Only organizations with $250 million or more in annual revenue may participate in the study (a company may also qualify if they are a subsidiary of a parent company with revenue of $250 million or more). The InformationWeek 500 examines the technology strategies and initiatives of companies across 22 industries (including higher education).