Investment Management at Bartlett
Important Consumer Information
This site has been published for residents of the United States. This site is for information purposes only and is not intended to be a solicitation or offering of any security to investors residing outside of the United States.
Representatives of an investment adviser (“IA”) may only conduct business in a state if the representatives and IA they represent (a) satisfy the qualification requirements of, and are approved to do business by, the state; or (b) are excluded or exempted from the state’s licensure requirements.
Representatives of an IA are deemed to conduct business in a state to the extent that they provide individualized responses to investor inquiries that involve (a) effecting, or attempting to effect, transactions in securities; or (b) rendering personalized investment advice for compensation.
An investor may obtain information concerning an IA, or a representative of an IA, including their licensure status and disciplinary history, by contacting the investor’s state securities law administrator.
Bartlett & Co. LLC does not offer legal, accounting, or tax advice. The information and opinions contained in this website have been prepared solely for informational purposes and is not a solicitation or an offer to buy or sell any security or instrument or to participate in any trading strategy nor is to be relied upon in making an investment decision. Bartlett & Co. LLC specific advice is given only within the context of our contractual agreements with each client. You agree not to hold Bartlett & Co. LLC liable for any possible claim for damages arising from any decision you make based on information made available to you through this website.
While Bartlett & Co. LLC uses reasonable efforts to obtain information from sources which it believes to be reliable, Bartlett & Co. LLC makes no representation that the information or opinions contained on the website are accurate, reliable or complete. The information and opinions contained in this website are subject to change without notice.
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Disclaimer of Warranties and Liability
This site may contain inaccuracies or typographical errors. Bartlett & Co. LLC does its very best to insure the integrity and security of this site, but does not warrant that this site, its servers, or e-mail sent from this site are free of viruses or other harmful components. Downloading any material is done at one’s own risk, and Bartlett & Co. LLC cannot be responsible for any damage to a user’s computer system or loss of data that results from the download of any material. Bartlett & Co. LLC shall not be liable for any direct or indirect damages arising out of, resulting from, or in any way connected with the use or the inability to use, any delay in, or the performance of this site.
External Links and Third Party Content
This website contains external links to third party content (content hosted on sites unaffiliated with Bartlett & Co. LLC). The policies and procedures governing these third party sites may differ from those effective on the Bartlett & Co. LLC company website, as outlined in these Disclaimers. As such, Bartlett & Co. LLC makes no representations whatsoever regarding any third party content/sites that may be accessible directly or indirectly from the Bartlett & Co. LLC website. Linking to these third party sites in no way implies an endorsement or affiliation of any kind between Bartlett & Co. LLC and any third party, including legal authorization to use any trademark, trade name, logo, or copyrighted materials belonging to either entity. You further acknowledge and agree that Bartlett & Co. LLC shall not be responsible or liable, directly or indirectly, for any damage, liability or loss caused or alleged to be caused by or in connection with use of or reliance on any such content, goods or services available on or through any such site or resource.
Limitations of Liability
YOU EXPRESSLY UNDERSTAND AND AGREE THAT WE SHALL NOT BE LIABLE FOR ANY DIRECT, INDIRECT, INCIDENTAL, SPECIAL, CONSEQUENTIAL, EXEMPLARY OR PUNITIVE DAMAGES, OR ANY OTHER DAMAGES WHATSOEVER, INCLUDING BUT NOT LIMITED TO, DAMAGES FOR LOSS OF PROFITS, GOODWILL, USE, DATA OR OTHER INTANGIBLE LOSSES (EVEN IF WE HAVE BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES), ARISING OUT OF, OR RESULTING FROM, (A) THE USE OR THE INABILITY TO USE THIS WEBSITE; (B) THE USE OF ANY CONTENT OR OTHER ON THIS WEBSITE OR ANY WEBSITE OR WEBSITES LINKED TO THIS WEBSITE, (C) THE COST OF PROCUREMENT OF SUBSTITUTE GOODS AND SERVICES RESULTING FROM ANY GOODS, DATA, INFORMATION OR SERVICES PURCHASED OR OBTAINED OR MESSAGES RECEIVED OR TRANSACTIONS ENTERED INTO THROUGH OR FROM THIS WEBSITE; (D) UNAUTHORIZED ACCESS TO OR ALTERATION OF YOUR TRANSMISSIONS OR DATA; (E) STATEMENTS OR CONDUCT OF ANY THIRD PARTY ON OUR WEBSITE; OR (F) ANY OTHER MATTER RELATING TO THIS WEBSITE. IN NO EVENT SHALL OUR TOTAL LIABILITY TO YOU FOR ALL DAMAGES, LOSSES, AND CAUSES OF ACTION (WHETHER IN CONTRACT, TORT (INCLUDING, BUT NOT LIMITED TO, NEGLIGENCE), OR OTHERWISE) EXCEED THE AMOUNT PAID BY YOU, IF ANY, FOR ACCESSING THIS WEBSITE. IF YOU ARE DISSATISFIED WITH ANY PORTION OF OUR WEBSITE, OR WITH ANY OF PROVISION OF THIS AGREEMENT, YOUR SOLE AND EXCLUSIVE REMEDY IS THE DISCONTINUATION OF YOUR USE OF THIS WEBSITE. IF ANY PORTION OF THIS LIMITATION OF LIABILITY IS FOUND TO BE INVALID, LIABILITY IS LIMITED TO THE FULLEST EXTENT PERMITTED BY LAW.
Chartered Financial Analyst (CFA)
“The Chartered Financial Analyst (CFA) charter is a globally respected, graduate-level investment credential established in 1962 and awarded by CFA Institute — the largest global association of investment professionals.
There are currently more than 90,000 CFA charter holders working in 135 countries. To earn the CFA charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct.
High Ethical Standards
The CFA Institute Code of Ethics and Standards of Professional Conduct, enforced through an active professional conduct program, require CFA charter holders to:
- Place their clients’ interests ahead of their own
- Maintain independence and objectivity
- Act with integrity
- Maintain and improve their professional competence
- Disclose conflicts of interest and legal matters
Passing the three CFA exams is a difficult feat that requires extensive study (successful candidates report spending an average of 300 hours of study per level). Earning the CFA charter demonstrates mastery of many of the advanced skills needed for investment analysis and decision making in today’s quickly evolving global financial industry. As a result, employers and clients are increasingly seeking CFA charter holders—often making the charter a prerequisite for employment.
Additionally, regulatory bodies in 19 countries recognize the CFA charter as a proxy for meeting certain licensing requirements, and more than 125 colleges and universities around the world have incorporated a majority of the CFA Program curriculum into their own finance courses.
Comprehensive and Current Knowledge
The CFA Program curriculum provides a comprehensive framework of knowledge for investment decision making and is firmly grounded in the knowledge and skills used every day in the investment profession. The three levels of the CFA Program test a proficiency with a wide range of fundamental and advanced investment topics, including ethical and professional standards, fixed-income and equity analysis, alternative and derivative investments, economics, financial reporting standards, portfolio management, and wealth planning.
The CFA Program curriculum is updated every year by experts from around the world to ensure that candidates learn the most relevant and practical new tools, ideas, and investment and wealth management skills to reflect the dynamic and complex nature of the profession.
To learn more about the CFA charter, visit www.cfainstitute.org.
Certified Financial Planner (CFP®)
In order to achieve and maintain certification, CFP® professionals must: 1) pass the comprehensive CFP® Certification Examination, 2) pass the CFP Board’s Fitness Standards for Candidates and Registrants, 3) agree to abide by CFP Board’s Code of Ethics and Professional Responsibility and Rules of Conduct which put clients’ interests first, 4) comply with the Financial Planning Practice Standards which spell out what clients should be able to reasonably expect from the financial planning engagement, and 5) complete 30 hours of continuing education (including 2 hours of approved Ethics CE) every two years.
CFP® professionals must pass the comprehensive CFP® Certification Examination, pass CFP Board’s Fitness Standards for Candidates and Registrants, agree to abide by CFP Board’s Code of Ethics and Professional Responsibility and Rules of Conduct which put clients’ interests first and comply with the Financial Planning Practice Standards which spell out what clients should be able to reasonably expect from the financial planning engagement. – See more at: http://www.cfp.net/become-a-cfp-professional/cfp-certification-requirements#sthash.qwXJz3yF.dpuf.”
Chartered Alternative Investment Analyst (CAIA)
Qualification as a CAIA® charter holder requires 1) A bachelor’s degree from an accredited institution or equivalent education or work experience, 2)Successful completion of both Level I and Level II exams, 3) More than one year of qualifying work experience, 4) Maintain annual membership dues and abide by the membership agreement.
2018 Five Star Wealth Manager Disclosure – Cincinnati
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 1,413 Cincinnati-area wealth managers were considered for the award; 239 (4 percent of candidates) were named 2018 Five Star Wealth Managers. 2017: 985 considered, 288 winners; 2016: 918 considered, 368 winners; 2015: 1,667 considered, 427 winners; 2014: 2,082 considered, 483 winners; 2013: 1,367 considered, 509 winners; 2012: 1,265 considered, 477 winners.