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The Putney Financial Group LLC

● SEC registered since 2004CRD 111639SEC# 801-62638San Rafael, CA
Export (members)
Reg. AUM
$187.3M
Employees
7
Accounts
992
Location
San Rafael, CA

The Putney Financial Group LLC assets under management

The Putney Financial Group LLC is a registered investment adviser overseen by the SEC based in San Rafael, CA. The firm has been registered since 2004. It reports $187.3 million in regulatory assets under management and employs 7 people.
www.putneyfinancial.comView on SEC.gov ↗

The Putney Financial Group LLC owners & executives

2 reported
NameTitleOwnershipSince
Echo Chiaping Chien ControlChief Compliance OfficerUnder 5%2024
Raymond Lawrence Lent ControlFounder/Managing MemberOver 75%1997

Frequently asked questions

How much does The Putney Financial Group LLC manage?

The Putney Financial Group LLC reports $187.3 million in regulatory assets under management on its Form ADV.

How many employees does The Putney Financial Group LLC have?

The Putney Financial Group LLC reports 7 employees.

Where is The Putney Financial Group LLC located?

The Putney Financial Group LLC is based in San Rafael, CA and has been SEC-registered since 2004.

Does The Putney Financial Group LLC disclose fund performance?

The Putney Financial Group LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address100 Smith Ranch Road, Suite 110, San Rafael, CA 94903
Phone415-460-1990
Fax415-460-1997
Office hours9a.m.-5p.m.
SEC regionSan Francisco Regional Office (SFRO)
Discloses disciplinary historyYes

Assets under management

Discretionary$184.5M
Non-discretionary$2.8M
Total (RAUM)$187.3M