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.

Awards and recognitions by unaffiliated publications should not be construed by a client or prospective client as a guarantee that the client will experience a certain level of results if Bartlett Wealth Management (“Bartlett”) is engaged, or continues to be engaged, to provide investment advisory services, nor should they be construed as a current or past endorsement of Bartlett or its representatives by any of its clients. Rankings published by magazines and others are generally based on information prepared and/or submitted by the recognized adviser.

Greater Cincinnati Top Workplaces – Cincinnati Enquirer
Participants of the regional and national awards programs must survey their employees using the Energage Workplace Survey. The research-backed employee engagement survey consists of 24 base statements that capture anonymous responses in four culture imperatives:

1. Align: Where the company is headed, its values, cooperation, effective meetings
2. Connect: Employees feel appreciated, work is meaningful, working at full potential, clued-in to each other
3. Coach: Managers care about concerns, are helpful, encourage employee development
4. Performance: Execution, open-mindedness, innovation, clued-in leadership

The employee engagement survey also measures:

• Employee Engagement: Productivity, retention, recruiting
• Leadership: Confidence in company leaders
• The Basics: Pay, benefits, flexibility, training, expectations

Survey results are compared to our Top Workplaces benchmark. With more than 15 years of data from 23 million employee surveys across 70,000 organizations, your data is compared against the industry’s best-in-class. Read more about finalist criteria and selection methodology here: https://topworkplaces.com/resources/national-top-workplaces-methodology/

Money Management Firms – Cincinnati Business Courier
The Cincinnati Business Courier ranks 25 local money management firms annually by size. Rankings are based on the amount of assets under management at both the local level (Cincinnati Branch) as well as total firm assets under management. These numbers are firm-reported and are current as of 5/1/2022. Bartlett did not pay a fee for inclusion on this list.
Bartlett Wealth Management – #7 (2022)

C-Change – Cincinnati USA Regional Chamber
C-Change is the premier leadership-development program for advancing mid-career leaders in the Cincinnati region. The curriculum combines leadership development with community engagement which enhances current leadership roles and prepares participants for future ones, both professionally and personally. The program also further develops the leadership skills of participants by having them lead meaningful community projects that impact the Cincinnati region. Read more about this program and criteria for participation on the Cincinnati USA Regional Chamber website:https://cincinnatichamber.com/talent-hub/leadership-center/c-change/
Brian Walker– Class 19 (2024)
Catherine Miller– Class 17 (2022)

Cincy Next – Cincinnati USA Regional Chamber
Professional development and network-building program for professionals in an early career stage. The curriculum combines leadership development with community engagement which prepares participants for future leadership roles, both professionally and personally. Learn more about the Cincy Next program and criteria here: https://www.cincinnatichamber.com/talent-initiatives/hype-young-professionals/hype-programs-events/cincy-next
Maggie Spataro – Class 10 (2023)
Jared Wheeler – Class 9 (2022)

Greater Cincinnati Foundation, Bridge Builder Award 2024 – Holly Mazzocca
GCF has been fortunate to collaborate with numerous professionals such as attorneys, financial advisors, accountants and other advisors who introduce their clients with charitable interests to GCF. Each year, the Bridge Builder Award is presented to a professional advisor who has consistently supported our work and serves as an ambassador for philanthropy in our community.

FT 300: Top Registered Investment Advisers 2020 – 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.

Forbes America’s Top RIA Firms
The Forbes ranking of America’s top RIA firms, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone, virtual and in-person interviews, and quantitative data. The algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices and approach to working with clients. Visit Forbes’s website for more details here.

Barron’s Top 100 RIA Firms
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. Beginning in 2020, Barron’s expanded their ranking selection to the top 100 firms in the nation. Firms that wish to be ranked must first pass a prequalification process aimed at ensuring those in the mix are experienced and sophisticated advisors. Those who meet the criteria fill out a 100 question survey about their practices. Barron’s verifies that data and applies their 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.

Investment News Top 100 RIA Firms
InvestmentNews qualified 1,578 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after July 1, 2022, (2) total AUM is at least $100M, (3) managed assets for U.S. household clients during its most recently completed fiscal year, with at least one advisor per 500 clients, (4) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (5) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (6) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (7) provides financial planning services, (8) is not actively engaged in business as a broker-dealer (registered or unregistered), and (9) is not actively engaged in business as a registered representative of a broker-dealer. Visit InvestmentNews website for more details here

Financial Advisor Magazine Top 100 RIA Firms
Financial Advisor Magazine annual survey is a ranking based on assets under management at year end of independent RIA firms that file their own ADV with the SEC. FA’s RIA ranking orders firms largest to smallest. Based on AUM reported by firms that voluntarily complete and submit FA’s survey by their deadline.

Business Courier’s Forty Under 40 Award
Justin Ellis – 2024
Aliya Riddle – 2022
Holly Mazzocca – 2021

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)