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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 Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.