RIA Intel›Advisers›California›THE PUTNEY FINANCIAL GROUP LLC

THE PUTNEY FINANCIAL GROUP LLC

Advisory

N·SAN RAFAEL, CA

Data as of Mar 20, 2026 · Source: SEC Form ADV

Total AUM

$205M

1-Year AUM Growth

+6.6%

3-Year CAGR

-9.3%

Employees

4

Assets Under Management

Total AUM$205M

Discretionary AUM$202M

Non-Discretionary AUM$3M

Discretionary %98.4%

Total Clients225

Team

Total Employees4

Investment Advisers8

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record36

First FilingDec 18, 2003

Latest FilingMar 20, 2026

🔒 Full AUM trend chart and 36 historical filings spanning 23+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on THE PUTNEY FINANCIAL GROUP LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.