THE PUTNAM ADVISORY COMPANY, LLC
Adviser information for THE PUTNAM ADVISORY COMPANY, LLC last updated from Form ADV on March 30th, 2024. 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 | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 88 | $29.9B |
| Non-Discretionary | 34 | $35.8B |
| Total | 122 | $65.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $1.1B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 55 | $55.7B |
| Pension and profit sharing plans | 9 | $2.5B |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $1.8B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 5 | $2.3B |
| Sovereign wealth funds and foreign official institutions | <5 | $1.8B |
| Corporations or other businesses | <5 | $0 |
| Other | 6 | $509.3M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 50 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
100 FEDERAL STBOSTON
MA
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 617-292-1000, Fax: 617-292-1625
Websites
Chief Compliance Officer
JAMES F. CLARK
PUTNAM INVESTMENTS, 100 FEDERAL ST
MAIL STOP M-26-C
BOSTON
MA
United States
Tel:
617-760-8939
Fax:
617-760-1625
J************@********************M
(Full email address available in API data)
Industry Affiliates
| 37 CAPITAL GENERAL PARTNER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| 37 CAPITAL STRUCTURED CREDIT GENERAL PARTNER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CLEARBRIDGE INVESTMENTS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| FIDUCIARY TRUST COMPANY INTERNATIONAL | Trust company |
| FRANKLIN ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN ADVISORY SERVICES, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FRANKLIN MUTUAL ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON FUND ADVISER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INSTITUTIONAL, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC | Other investment adviser, including financial planners |
| K2 ADVISORS, L.L.C. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| K2/D&S MANAGEMENT CO., L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PUTNAM CAPITAL, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PUTNAM FIDUCIARY TRUST COMPANY, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles |
| PUTNAM INVESTMENT HOLDINGS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PUTNAM INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PUTNAM INVESTMENTS AUSTRALIA PTY LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PUTNAM INVESTMENTS CANADA ULC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PUTNAM INVESTMENTS JAPAN CO., LTD. | Other investment adviser, including financial planners |
| PUTNAM INVESTMENTS LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TEMPLETON GLOBAL ADVISORS LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TEMPLETON INVESTMENT COUNSEL, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WESTERN ASSET MANAGEMENT COMPANY LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 37 CAPITAL CLO 1 LTD. | Securitized Asset Fund | $395.5M | $0.3M | 1 |
| 37 CAPITAL CLO 2 LTD. | Securitized Asset Fund | $354.6M | $0.3M | 1 |
| 37 CAPITAL CLO 3 LTD. | Securitized Asset Fund | $357.5M | $0.3M | 1 |
| 37 CAPITAL CLO 4 LTD. | Securitized Asset Fund | $395.2M | $0.3M | 1 |
| 37 CAPITAL PRIVATE MORTGAGE FUND, LP | Hedge Fund | $57.2M | $5.0M | 4 |
| 37 CAPITAL STRUCTURED CREDIT FUND, LP | Hedge Fund | $19.5M | $5.0M | 8 |
| PUTNAM CASH COLLATERAL POOL, LLC | Liquidity Fund | $518.5M | $0.0M | 17 |
| PUTNAM CATHOLIC VALUES U.S. LARGE CAP GROWTH FUND, LP | Hedge Fund | $36.5M | $1.0M | 9 |
| PUTNAM EMERGING MARKETS EQUITY FUND, LP | Hedge Fund | $10.6M | $1.0M | 3 |
| PUTNAM EMERGING MARKETS SMALL CAP EQUITY FUND, LP | Hedge Fund | $3.3M | $1.0M | 2 |
| PUTNAM INTERMEDIATE US INVESTMENT GRADE FUND, LLC | Hedge Fund | $51.1M | $10.0M | 2 |
| PUTNAM STRUCTURED PRODUCT CDO 2001-1 LTD. | Securitized Asset Fund | $2.7M | $0.1M | 0 |
| PUTNAM STRUCTURED PRODUCT FUNDING 2003-1 LTD. | Securitized Asset Fund | $42.5M | $0.1M | 0 |
| PUTNAM TOTAL RETURN US INVESTMENT GRADE FIXED INCOME, LLC | Hedge Fund | $87.4M | $10.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PUTNAM ADVISORY HOLDINGS II, LLC | Domestic Entity | – | 100% OWNER | 06/2018 | > 75% |
| CLARK, JAMES, F. | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| PUTNAM U.S. HOLDINGS I, LLC | Domestic Entity | PUTNAM ADVISORY HOLDINGS II, LLC | 100% OWNER | 10/2017 | > 75% |
| PERKINS, RICHARD, SHEPHERD | Individual | – | PRESIDENT | 01/2024 | < 5% |
| OSHITA, LINDSEY | Individual | – | CHIEF FINANCIAL OFFICER | 01/2024 | < 5% |
| MERCHANT, THOMAS, CLIFTON | Individual | – | CHIEF LEGAL OFFICER | 01/2024 | < 5% |
| AVIGDOR, LEEOR, PAUL | Individual | – | TREASURER | 01/2024 | < 5% |
| DESAI, SONAL | Individual | – | EXECUTIVE VICE PRESIDENT | 01/2024 | < 5% |
| PETRYK, ADAM, JAY | Individual | – | EXECUTIVE VICE PRESIDENT | 01/2024 | < 5% |
| TEMPLETON WORLDWIDE, INC. | Domestic Entity | PUTNAM U.S. HOLDINGS I, LLC | 100% OWNER | 01/2024 | > 75% |
| LEGG MASON, INC. | Domestic Entity | TEMPLETON WORLDWIDE, INC. | 100% OWNER | 01/2024 | > 75% |
| FRANKLIN RESOURCES, INC. | Domestic Entity | LEGG MASON, INC. | SOLE SHAREHOLDER OF LEGG MASON, INC. | 01/2024 | > 75% |