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THE PUTNEY FINANCIAL GROUP LLC
CRD 111639File 801-62638
APPROVED
Retail clients
Disclosure events
Filing as of Jun 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$205.4M
Below cohort median (national)
Discretionary AUM
$202.1M
Non-discretionary $3.4M
Clients
215
948 accounts
Employees
8
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jan 9, 2004
- Principal office
- 100 SMITH RANCH ROAD, SUITE 110, SAN RAFAEL, CA, 94903
- Phone
- 415-460-1990
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $205.4M
- Discretionary AUM
- $202.1M
- Non-discretionary AUM
- $3.4M
- Discretionary accounts
- 793
- Non-discretionary accounts
- 155
- Total accounts
- 948
- AUM per client
- $955K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $146K |
| High net worth individuals | 57 | $139.2M |
| Individuals (other than high net worth individuals) | 155 | $66.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 7 | 8 | increased by1 |
| Apr 1, 2026 | Clients | 225 | 215 | decreased by10 |
| Apr 1, 2026 | AUM | $187,290,545 | $205,409,186 | increased by$18,118,641 |
| Apr 1, 2026 | Accounts | 992 | 948 | decreased by44 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 266 | 225 | decreased by41 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $266,858,862 | $187,290,545 | decreased by$79,568,317 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,242 | 992 | decreased by250 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Clients | 258 | 266 | increased by8 |
| Apr 1, 2022 | AUM | $247,165,862 | $266,858,862 | increased by$19,693,000 |
| Apr 1, 2022 | Accounts | 1,285 | 1,242 | decreased by43 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PUTNEY FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PUTNEY FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.