PUTNAM INVESTMENTS LIMITED
Adviser information for PUTNAM INVESTMENTS LIMITED 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 11 |
| 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 | 17 | $2.8B |
| Non-Discretionary | 4 | $193.7M |
| Total | 21 | $3.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 6 | $1.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $996.6M |
| Pension and profit sharing plans | <5 | $219.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $288.0M |
| Sovereign wealth funds and foreign official institutions | <5 | $227.9M |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $102,284 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 51 |
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 | Broker-dealerCommodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-61441 |
|---|---|
| SEC ERA File Number | 801-61441 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122254 |
| Legal Entity Identifier | LCVS0ZFM6BF6PZ5QVY11 |
Principal Office
16 ST. JAMES'S STREETLONDON
United Kingdom
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 011-44-20-7907-8200, Fax: 011-44-20-7907-8210
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 |
| 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 TEMPLETON INVESTMENT MANAGEMENT LIMITED | 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 RETAIL MANAGEMENT LIMITED PARTNERSHIP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE PUTNAM ADVISORY COMPANY, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCCORMACK, ALAN, GRAHAM | Individual | – | DIRECTOR | 12/2008 | < 5% |
| PUTNAM ADVISORY HOLDINGS II, LLC | Domestic Entity | – | 100% OWNER | 06/2018 | > 75% |
| PUTNAM U.S. HOLDINGS I, LLC | Domestic Entity | PUTNAM ADVISORY HOLDINGS II, LLC | MEMBER | 10/2017 | > 75% |
| CLARK, JAMES, F. | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF RISK OFFICER | 01/2016 | < 5% |
| GANDHI, VIVEK | Individual | – | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 03/2019 | < 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% |