Barton Investment Management, LLC (W. Conshohocken)

Name: Barton Investment Management, LLC
Address: One Tower Bridge, W. Conshohocken, PA, 19428
Telephone: 610-226-4040

Barton Investment Management, LLC is a large advisory firm based in W. Conshohocken. It manages $536.15 million of regulatory assets for 234 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Connecticut, Florida, New Hampshire, and 4 other states.

Barton Investment Management provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Barton Investment Management: assets under management

The assets under management (AUM) of Barton Investment Management, LLC is $536.15 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 418% since the beginning of its operation, and $3.11 million of the total AUM is attributable to clients outside of the United States.

The firm manages $536.15 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.29 million each.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio. Investments in investment and business development companies form 3% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Barton Investment Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Barton Investment Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Barton Investment Management is high net worth individuals with 63 clients and $526.83 million of assets under management. Among the 8 most similar advisory firms, Barton Investment Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $536.15 million for 81 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Barton Investment Management doesn't advise any private funds.

Careers at Barton Investment Management, LLC

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Barton Riley	Sole member / president	1 May 2006	75% - 100%	376746
Henry Barton Riley	Co-founder	1 Jun 2006	25% - 50%	7175836
Peter Hessenbruch Havens	Chief compliance officer	1 Feb 2007	Other	4376608
Mary Elizabeth Baker	Chief compliance officer	1 Mar 2015	Other	6462634
Janna Martinelli Forte	Chief compliance officer	1 Oct 2016	Other	2272576

Based in W. Conshohocken

The principal office where Barton Investment Management, LLC performs its advisory services is located at One Tower Bridge, W. Conshohocken, PA 19428, which is also the mailing address of the firm. An additional office of the firm is in Wilton, CT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 610-226-4040 or by fax 610-226-4041. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at bartonim.com/.