THE PUTNEY FINANCIAL GROUP LLC
Compensation Model
Compensation type disclosed on SEC Form ADV Item 5C. Filed 46101. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.
Conflict of Interest Analysis
Broker-Dealer Affiliated: No
No broker-dealer affiliation. Lower risk of commission-driven advice.
Insurance Licensed: No
Not insurance licensed. Cannot sell you annuity or insurance products directly.
Custody of Client Assets: No
Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.
Proprietary Products: No
Uses only third-party investment products. No proprietary product conflicts.
Regulatory & Disciplinary History
2 regulatory action(s) disclosed on Form ADV Item 11.
ResolvedTotal complaints on record: 0
Complaint ratio: 0.00 per 100 clients
Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.
Firm Details
| Legal Name | THE PUTNEY FINANCIAL GROUP LLC |
| CRD Number | #111639 |
| SEC Registered | Yes |
| Registration Date | 2004-01-09 |
| States Registered | CA |
| Assets Under Management | $205M |
| Number of Clients | 4 |
| Employees | 8 |
| Compensation Type | fee-only |
| Last ADV Filing | 46101 |
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Frequently Asked Questions
Is THE PUTNEY FINANCIAL GROUP LLC a fiduciary?
Yes. THE PUTNEY FINANCIAL GROUP LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.
How does THE PUTNEY FINANCIAL GROUP LLC charge clients?
THE PUTNEY FINANCIAL GROUP LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.
Does THE PUTNEY FINANCIAL GROUP LLC have any complaints?
No. THE PUTNEY FINANCIAL GROUP LLC has zero complaints or disciplinary actions on file with the SEC or FINRA across 22 years of operation.
How does THE PUTNEY FINANCIAL GROUP LLC compare to other advisors in SAN RAFAEL?
THE PUTNEY FINANCIAL GROUP LLC has a Red Flag Score of 80/100. There are 24 registered advisory firms in SAN RAFAEL. Use our city page to compare firms side by side.
Where does this data come from?
All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.
Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46101. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.