THE PUTNEY FINANCIAL GROUP LLC
Adviser information for THE PUTNEY FINANCIAL GROUP LLC last updated from Form ADV on March 28th, 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 | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,061 | $174.9M |
| Non-Discretionary | 7 | $2.2M |
| Total | 1,068 | $177.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 119 | $27.6M |
| HNW Individuals | 114 | $149.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 | 262 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-62638 |
|---|---|
| SEC ERA File Number | 801-62638 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111639 |
| Legal Entity Identifier | None |
Principal Office
100 SMITH RANCH ROADSUITE 110
SAN RAFAEL
CA
United States
Monday - Friday, 9AM-5PM
Tel: 415-460-1990, Fax: 415-460-1997
Websites
Chief Compliance Officer
RAYMOND LAWRENCE LENT
MANAGING MEMBER
100 SMITH RANCH ROAD
SUITE 110
SAN RAFAEL
CA
United States
Tel:
415-460-1990
Fax:
415-460-1997
R**@******************M
(Full email address available in API data)
Regulatory Contact
NANCY SCHROCK
COO
100 SMITH RANCH ROAD
SUITE 110
SAN RAFAEL
CA
United States
Tel:
415-460-1990
Fax:
415-460-1997
N****@******************M
(Full email address available in API data)
Industry Affiliates
| PORTSMOUTH FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther 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 |
|---|---|---|---|---|---|
| LENT, RAYMOND, LAWRENCE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/1997 | > 75% |
| LENT, RAYMOND, LAWRENCE | Individual | – | MANAGING MEMBER | 12/2022 | > 75% |