BARRETT ASSET MANAGEMENT, LLC
Adviser information for BARRETT ASSET MANAGEMENT, LLC last updated from Form ADV on November 14th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $67.1M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $67.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $67.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
845 THIRD AVENUE8TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 212-983-5080, Fax: 212-953-3240
Chief Compliance Officer
LARRY NAKAMURA
VP COMPLIANCE CORIENT
12265 EL CAMINO REAL
SUITE 300
SAN DIEGO
CA
United States
Tel:
305-781-3040
L*************@**********M
(Full email address available in API data)
Regulatory Contact
CHAD ESTEP
CCO, CORIENT
100 PARK AVE
28TH FLOOR
NEW YORK
NY
United States
Tel:
305.735.2020
Fax:
212-953-3240
C*********@**********M
(Full email address available in API data)
Industry Affiliates
| CORIENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CORIENT PRIVATE WEALTH LLC | Domestic Entity | – | OWNER | 04/2021 | > 75% |
| CI FINANCIAL CORP. | Foreign Entity | CORIENT HOLDINGS INC | OWNER | 11/2019 | > 75% |
| CORIENT PARTNERS LLC | Domestic Entity | CORIENT PRIVATE WEALTH LLC | OWNER | 01/2022 | > 75% |
| CORIENT HOLDINGS INC | Domestic Entity | CORIENT PARTNERS LLC | OWNER | 02/2023 | > 75% |
| NAKAMURA, LARRY, TRISTON | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| BATER, CHRISTINA, ANN | Individual | – | MANAGING DIRECTOR | 04/2011 | < 5% |
| BECK, EDWIN, WELLS | Individual | – | EXECUTIVE PARTNER & MANAGING DIRECTOR | 02/2021 | < 5% |
| YOUNGMAN, JOHN, GRAY | Individual | – | MANAGING DIRECTOR | 04/2011 | < 5% |
| CAMPBELL, MARIETTE, LOUISE GRAEME | Individual | – | EXECUTIVE PARTNER & MANAGING DIRECTOR | 02/2021 | < 5% |
| KONG, AMY | Individual | – | CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR | 02/2020 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed May 16th, 2022 for period ending March 31st, 2022
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 6K | 39K | NA |
| ABBOTT LABORATORIES | COM | 13K | 111K | NA |
| ABBVIE INC | COM | 51K | 317K | NA |
| ACCENTURE PLC | COM | 80K | 238K | NA |
| ADOBE INC | COM | 22K | 48K | NA |
| AIA GRP LTD | ADR | 899 | 22K | NA |
| AIR PRODUCTS AND CHEMICALS INC | COM | 355 | 1K | NA |
| ALPHABET INC CL A | COM | 38K | 14K | NA |
| ALPHABET INC CL C | COM | 102K | 37K | NA |
| ALTRIA GRP INC | COM | 902 | 17K | NA |
| AMAZON.COM INC | COM | 49K | 15K | NA |
| AMERICAN ELECTRIC POWER CO INC | COM | 209 | 2K | NA |
| AMERICAN EXPRESS CO | COM | 5K | 27K | NA |
| AMERICAN FDS EUROPACIFIC GRWTH FD | MFO | 221 | 4K | NA |
| AMERICAN TOWER CORP | REIT | 1K | 4K | NA |
| AMERIPRISE FINANCIAL INC | COM | 229 | 764 | NA |
| AMETEK INC | COM | 232 | 2K | NA |
| AMGEN INC | COM | 1K | 5K | NA |
| ANALOG DEVICES INC | COM | 574 | 3K | NA |
| ANNALY CAP MANAGEMENT INC | REIT | 96 | 14K | NA |
| AON PLC | COM | 360 | 1K | NA |
| APPLE INC | COM | 123K | 705K | NA |
| APPLIED MATERIALS INC | COM | 302 | 2K | NA |
| ARES MANAGEMENT CORP | COM | 26K | 319K | NA |
| ARTISAN SM CAP INST | COM | 474 | 13K | NA |
| AT&T INC | COM | 441 | 19K | NA |
| AUTOMATIC DATA PROCESSING INC | COM | 58K | 256K | NA |
| BANK OF NY MELLON CORP | COM | 4K | 85K | NA |
| BERKSHIRE HATHAWAY INC | COM | 18K | 51K | NA |
| BLACKROCK INC | COM | 47K | 62K | NA |
| BLACKSTONE INC | COM | 859 | 7K | NA |
| BNY MELLON MID CAP MULTI-STRATEGY FD | MFO | 203 | 10K | NA |
| BNY MELLON TX-SNSTV LG CP MLT-STRT FD | MCO | 588 | 28K | NA |
| BRIGHT HORIZONS FAMILY SOLUTIONS INC | COM | 2K | 12K | NA |
| BROADCOM INC | COM | 3K | 5K | NA |
| CALVERT SOCIAL INVT FD | MFO | 262 | 3K | NA |
| CARLISLE COMPANIES INC | COM | 808 | 3K | NA |
| CARRIER GLOB CORP | COM | 222 | 5K | NA |
| CATERPILLAR INC | COM | 863 | 4K | NA |
| CERNER CORP | COM | 406 | 4K | NA |
| CHARLES SCHWAB CORP | COM | 945 | 11K | NA |
| CHEVRON CORP | COM | 6K | 37K | NA |
| CHUBB LTD | COM | 405 | 2K | NA |
| CHURCH & DWIGHT CO INC | COM | 352 | 4K | NA |
| CIGNA CORP | COM | 393 | 2K | NA |
| CISCO SYSTEMS INC | COM | 26K | 471K | NA |
| COCA-COLA CO | COM | 5K | 87K | NA |
| COGNIZANT TECH SOLUTIONS CORP | COM | 2K | 22K | NA |
| COLGATE-PALMOLIVE CO | COM | 2K | 20K | NA |
| COLUMBIA ACORN INTL | COM | 216 | 8K | NA |
| COLUMBIA FDS SER TR II MASS | MFA | 651 | 48K | NA |
| COMCAST CORP | COM | 627 | 13K | NA |
| CONOCOPHILLIPS | COM | 3K | 31K | NA |
| CORTEVA INC | COM | 221 | 4K | NA |
| COSTCO WHOLESALE CORP | COM | 43K | 75K | NA |
| CROWN CASTLE INTL CORP | REIT | 22K | 120K | NA |
| CSX CORP | COM | 658 | 18K | NA |
| DANAHER CORP | COM | 12K | 40K | NA |
| DFA INTL CORE EQ PORT | MFA | 231 | 15K | NA |
| DFA US LARGE CAP EQ INST | MFA | 692 | 26K | NA |
| DIAGEO PLC | ADR | 2K | 11K | NA |
| DIMENSIONAL ETF TRUST | ETF | 151 | 6K | NA |
| DODGE & COX INTL STOCK FD | MFA | 159 | 3K | NA |
| DODGE & COX STOCK FD | MFA | 432 | 2K | NA |
| DOMINION ENERGY INC | COM | 251 | 3K | NA |
| DONALDSON CO INC | COM | 2K | 33K | NA |
| DOVER CORP | COM | 256 | 2K | NA |
| DOW INC | COM | 210 | 3K | NA |
| DUKE ENERGY CORP | COM | 213 | 2K | NA |
| ECOLAB INC | COM | 45K | 254K | NA |
| ELI LILLY AND CO | COM | 474 | 2K | NA |
| EMERSON ELECTRIC CO | COM | 1K | 14K | NA |
| ENERSYS | COM | 13K | 169K | NA |
| ENSTAR GROUP LTD | COM | 318 | 1K | NA |
| EOG RESOURCES INC | COM | 3K | 21K | NA |
| EQUIFAX INC | COM | 783 | 3K | NA |
| EQUITY RESIDENTIAL | REIT | 5K | 61K | NA |
| ESSENTIAL UTILITIES INC | COM | 430 | 8K | NA |
| ESTEE LAUDER COMPANIES INC | COM | 505 | 2K | NA |
| EXXON MOBIL CORP | COM | 37K | 443K | NA |
| FIDELITY 500 INDX FD | ETF | 3K | 18K | NA |
| FIDELITY CONCORD STR TR | ETF | 397 | 9K | NA |
| FIDELITY NATL INFORMATION SVCS INC | ETF | 30K | 299K | NA |
| FIDELITY PURITAN FUND | MFA | 205 | 8K | NA |
| FIDELITY TREND FD INC | MFA | 165 | 1K | NA |
| FIRST REPUBLIC BANK | COM | 52K | 319K | NA |
| FLEETCOR TECHNOLOGIES INC | COM | 5K | 21K | NA |
| FORTINET INC | COM | 719 | 2K | NA |
| FORTIVE CORP | COM | 239 | 4K | NA |
| GENERAL DYNAMICS CORP | COM | 7K | 27K | NA |
| GENERAL MILLS INC | COM | 230 | 3K | NA |
| GLENMEDE QUANT US LG CAP CORE EQ | MFA | 159 | 6K | NA |
| GLENMEDE STRAT EQ | MFA | 153 | 5K | NA |
| HOME DEPOT INC | COM | 20K | 66K | NA |
| HONEYWELL INTL INC | COM | 2K | 9K | NA |
| HUTTIG BUILDING PRODUCTS INC | COM | 101 | 10K | NA |
| IES HLDGS INC | COM | 606 | 15K | NA |
| ILLINOIS TOOL WORKS INC | COM | 252 | 1K | NA |
| INTEL CORP | COM | 16K | 317K | NA |
| INTL BUSINESS MACHINES CORP | COM | 656 | 5K | NA |
| INTL FLAVORS & FRAGRANCES INC | COM | 775 | 6K | NA |
| INVESCO EXCH TRADED FD TR II SLR ETF | ETF | 377 | 5K | NA |
| INVESCO QQQ TR SERIES 1 | ETF | 221 | 612 | NA |
| INVESCO WILDERHILL CLEAN ENERGY ETF | ETF | 712 | 11K | NA |
| ISHARES CORE HIGH DIV ETF | ETF | 1K | 11K | NA |
| ISHARES CORE MSCI EMRGNG MKTS ETF | ETF | 460 | 8K | NA |
| ISHARES CORE S&P SM-CAP ETF | ETF | 742 | 7K | NA |
| ISHARES FTSE KLD 400 SOCIAL INDX FD | ETF | 823 | 10K | NA |
| ISHARES GOLD TR | ETF | 207 | 6K | NA |
| ISHARES MSCI ACWI EX US ETF | ETF | 574 | 11K | NA |
| ISHARES MSCI EAFE ETF | ETF | 8K | 103K | NA |
| ISHARES MSCI EMRGNG MKTS ETF | ETF | 5K | 112K | NA |
| ISHARES MSCI USA ESG SELECT ETF | ETF | 508 | 5K | NA |
| ISHARES NASDAQ BIOTECH ETF | ETF | 218 | 2K | NA |
| ISHARES RUSSELL 1000 INDX FD | ETF | 11K | 45K | NA |
| ISHARES RUSSELL 2000 ETF | ETF | 2K | 8K | NA |
| ISHARES RUSSELL 2000 GRWTH ETF | ETF | 285 | 1K | NA |
| ISHARES RUSSELL MID CAP | ETF | 470 | 6K | NA |
| ISHARES RUSSELL MID-CAP GRWTH ETF | ETF | 1K | 15K | NA |
| ISHARES S&P 500 | ETF | 1K | 3K | NA |
| ISHARES S&P MID-CAP 400 GRWTH ETF | ETF | 3K | 39K | NA |
| ISHARES S&P MIDCAP 400 INDX FD | ETF | 1K | 4K | NA |
| ISHARES SELECT DIV ETF | ETF | 347 | 3K | NA |
| ISHARES TR RUSSELL 1000 | ETF | 303 | 1K | NA |
| ISHARES TR S & P500/BAR | ETF | 321 | 4K | NA |
| JEFFERIES FINANCIAL GRP INC | COM | 2K | 70K | NA |
| JOHNSON & JOHNSON | COM | 57K | 320K | NA |
| JPMORGAN BETABUILDERS CANADA ETF | ETF | 204 | 3K | NA |
| JPMORGAN BETABUILDERS EUROPE ETF | ETF | 403 | 7K | NA |
| JPMORGAN BETABUILDERS JAPAN ETF | ETF | 211 | 4K | NA |
| JPMORGAN CHASE & CO | COM | 58K | 426K | NA |
| KONINKLIJKE PHILIPS NV | COM | 2K | 70K | NA |
| LAM RESEARCH CORP | COM | 603 | 1K | NA |
| LIMBACH HLDGS INC | COM | 246 | 36K | NA |
| LINDE PLC | COM | 344 | 1K | NA |
| LOWE'S COMPANIES INC | COM | 723 | 4K | NA |
| MASTERCARD INC | COM | 1K | 4K | NA |
| MATTHEWS JAPAN INSTL | MFA | 201 | 11K | NA |
| MCDONALD'S CORP | COM | 38K | 154K | NA |
| MERCK & CO INC | COM | 9K | 115K | NA |
| META PLATFORMS INC | COM | 20K | 89K | NA |
| MFS VAL FD | MFA | 424 | 8K | NA |
| MICROCHIP TECH INC | COM | 930 | 12K | NA |
| MICROSOFT CORP | COM | 140K | 454K | NA |
| MONDELEZ INTL INC | COM | 323 | 5K | NA |
| MORGAN STANLEY | COM | 199 | 2K | NA |
| MORGAN STANLEY INST GLOB FRANCH PORT | MFA | 297 | 9K | NA |
| MURPHY OIL CORP | COM | 2K | 61K | NA |
| MURPHY USA INC | COM | 3K | 16K | NA |
| MUTUAL SER FD INC | MFA | 243 | 9K | NA |
| NESTLE SA | MFA | 767 | 6K | NA |
| NEXTERA ENERGY INC | COM | 2K | 28K | NA |
| NIKE INC | COM | 3K | 21K | NA |
| NORFOLK SOUTHERN CORP | COM | 432 | 2K | NA |
| NORTHROP GRUMMAN CORP | COM | 278 | 622 | NA |
| NOVO NORDISK A/S | COm | 842 | 8K | NA |
| NVIDIA CORP | COM | 35K | 127K | NA |
| ORACLE CORP | COM | 5K | 66K | NA |
| PARNASSUS CORE EQ FD | MFA | 240 | 4K | NA |
| PAX INTL SUSTAINABLE ECON INSTL | MFA | 5K | 490K | NA |
| PAYPAL HLDGS INC | COM | 53K | 459K | NA |
| PEPSICO INC | COM | 37K | 222K | NA |
| PERKINELMER INC | COM | 221 | 1K | NA |
| PFIZER INC | COM | 8K | 162K | NA |
| PGIM JENNON FOCUSED GRWTH FD | MFA | 106 | 5K | NA |
| PHILIP MORRIS INTL INC | COM | 908 | 10K | NA |
| PHILLIPS 66 | COM | 206 | 2K | NA |
| PNC FINANCIAL SERVICES GRP INC | COM | 671 | 4K | NA |
| PROCTER & GAMBLE CO | COM | 18K | 118K | NA |
| PROGRESSIVE CORP | COM | 36K | 319K | NA |
| PRUDENTIAL JENNISON SM CO FD | COM | 122 | 6K | NA |
| PUBLIC STORAGE | REIT | 444 | 1K | NA |
| PURE CYCLE CORP | COM | 168 | 14K | NA |
| RAYONIER INC | COM | 2K | 55K | NA |
| RAYTHEON TECHNOLOGIES CORP | COM | 7K | 67K | NA |
| REGENERON PHARMACEUTICALS INC | COM | 3K | 4K | NA |
| ROPER TECHNOLOGIES INC | COM | 17K | 36K | NA |
| S&P GLOB INC | COM | 409 | 998 | NA |
| SALESFORCE.COM INC | COM | 1K | 6K | NA |
| SCHWAB EMRGNG MKTS EQ ETF | ETF | 1K | 39K | NA |
| SCHWAB INTL EQ ETF | ETF | 228 | 6K | NA |
| SCHWAB S&P 500 INDX FD | ETF | 1K | 16K | NA |
| SCHWAB US DIV EQ ETF | ETF | 398 | 5K | NA |
| SCHWAB US LG-CAP ETF | ETF | 954 | 18K | NA |
| SCHWAB US MID CAP ETF | ETF | 215 | 3K | NA |
| SCHWAB US SM-CAP ETF | ETF | 1K | 27K | NA |
| SERVICENOW INC | COM | 1K | 2K | NA |
| SHELL PLC | COM | 5K | 97K | NA |
| SPDR GOLD SHARES | ETF | 1K | 7K | NA |
| SPDR S&P 500 ETF TR | ETF | 11K | 25K | NA |
| STARBUCKS CORP | COM | 35K | 382K | NA |
| STATE STREET CORP | COM | 7K | 79K | NA |
| STRYKER CORP | COM | 58K | 216K | NA |
| SYSCO CORP | COM | 28K | 342K | NA |
| TARGET CORP | COM | 633 | 3K | NA |
| TESLA INC | COM | 383 | 356 | NA |
| TETRA TECH INC | COM | 83K | 500K | NA |
| TEXAS INSTRUMENTS INC | COM | 278 | 2K | NA |
| THERMO FISHER SCIENTIFIC INC | COM | 69K | 116K | NA |
| TJX COMPANIES INC | COM | 33K | 550K | NA |
| TRANSUNION | COM | 25K | 239K | NA |
| TRI CONTL CORP | COM | 156 | 5K | NA |
| UNION PACIFIC CORP | COM | 3K | 12K | NA |
| UNITED PARCEL SERVICE INC | COM | 7K | 30K | NA |
| UNITEDHEALTH GROUP INC | COM | 30K | 58K | NA |
| US BANCORP | COM | 17K | 312K | NA |
| VANECK INTL INVS GOLD | ETF | 245 | 21K | NA |
| VANGUARD 500 INDX FD | ETF | 856 | 2K | NA |
| VANGUARD 500 INDX FD | ETF | 1K | 3K | NA |
| VANGUARD BD IDX FD SC GWTH IDX ADM | ETF | 645 | 7K | NA |
| VANGUARD DIV APPR INDX FD | ETF | 409 | 3K | NA |
| VANGUARD EMRGNG MKTS STOCK INDX FD | ETF | 260 | 6K | NA |
| VANGUARD FTSE ALL WORLD EX US IDX FD | ETF | 1K | 18K | NA |
| VANGUARD FTSE ALL-WLD EX-US SM-CP IDX | ETF | 5K | 42K | NA |
| VANGUARD MID-CAP INDX FD | ETF | 306 | 1K | NA |
| VANGUARD MID-CAP INDX FD | ETF | 4K | 15K | NA |
| VANGUARD PRIMECAP FD | ETF | 161 | 1K | NA |
| VANGUARD SM-CAP IDX FD | ETF | 25K | 119K | NA |
| VANGUARD SM-CAP INDX FD | ETF | 886 | 9K | NA |
| VANGUARD TAX-MANAGED INTL FD | ETF | 807 | 3K | NA |
| VERASTEM INC | COM | 35 | 25K | NA |
| VERISK ANALYTICS INC | COM | 36K | 166K | NA |
| VERIZON COMMUNICATIONS INC | COM | 21K | 419K | NA |
| VERTEX PHARMACEUTICALS INC | COM | 4K | 14K | NA |
| VISA INC | COM | 117K | 527K | NA |
| WALMART INC | COM | 309 | 2K | NA |
| WALT DISNEY CO | COM | 53K | 383K | NA |
| WELLS FARGO & CO | COM | 284 | 6K | NA |
| ZOETIS INC | COM | 43K | 227K | NA |