PUTNAM INVESTMENT MANAGEMENT, LLC
Adviser information for PUTNAM INVESTMENT MANAGEMENT, 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 | 330 |
|---|---|
| Investment Advisory/Research | 165 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 1 |
| 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 | 180 | $97.9B |
| Non-Discretionary | 0 | $0 |
| Total | 180 | $97.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7 | $3.6M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 108 | $97.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $5.3M |
| State or municipal gov entities | <5 | $368.7M |
| 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 | 18 | $68.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 14 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 8.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SCHWAB MANAGED ACCOUNT MARKETPLACE PROGRAM | CHARLES SCHWAB INVESTMENT MANAGEMENT, INC |
| OPPENHEIMER ASSET MANAGEMENT STRATEGIC ASSET REVIEW PROGRAM | OPPENHEIMER ASSET MANAGEMENT |
| MORGAN STANLEY SELECT UMA PROGRAM | MORGAN STANLEY |
Principal Office
100 FEDERAL STBOSTON
MA
United States
Monday - Friday, 8:30 A.M. TO 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 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 |
| THE PUTNAM ADVISORY COMPANY, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| WESTERN ASSET MANAGEMENT COMPANY LIMITED | 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 |
|---|---|---|---|---|---|
| PUTNAM U.S. HOLDINGS I, LLC | Domestic Entity | – | 100% OWNER | 04/2012 | > 75% |
| CLARK, JAMES, F. | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| PERKINS, RICHARD, SHEPHERD | Individual | – | PRESIDENT | 01/2024 | < 5% |
| AVIGDOR, LEEOR, PAUL | Individual | – | TREASURER | 01/2024 | < 5% |
| OSHITA, LINDSEY | Individual | – | CHIEF FINANCIAL OFFICER | 01/2024 | < 5% |
| MERCHANT, THOMAS, CLIFTON | Individual | – | CHIEF LEGAL OFFICER | 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% |