SourcingSourcing

THE PUTNEY FINANCIAL GROUP LLC

A66
CRD 111639·SEC 801-62638·SAN RAFAEL, CA
AUM
$205.4M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$616K
@ 30% margin
Est. Deal Value
$4.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
THE PUTNEY FINANCIAL GROUP LLC
CRD
111639
SEC file #
801-62638
EIN
—
DBA names
—

Economics

AUM
$205.4M
AUM band
$100M-$500M
AUM trajectory
'20'26
$165.6M → $205.4M▲ +24%
Client mix
Individuals Other155
Individuals High Net Worth57
Charitable Organizations3

Operations

Employees (total)
8
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
SAN RAFAEL CA
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsPublication of periodicalsEducational Seminars Workshops
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
putneyfinancial.com

Compliance

Disclosures (firm)
4
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LENT, RAYMOND, LAWRENCE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
LENT, RAYMOND, LAWRENCE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PUTNEYFINANCIAL.COM
Rdap Domain Creation Date
1997-04-18T04:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
6
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Pershing7
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-04-19T04:00:00Z
Rdap Domain Last Changed
2024-12-13T21:04:51Z
Rdap Nameservers
Adi.ns.cloudflare.comLee.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Active
Top Owner CRD
817645
Trust Company Affiliate
No

People (6)

6
LENT, RAYMOND, LAWRENCE
IAR · Direct Owner · 87.5%
817645
ECHO CHIAPING CHIEN
IAR
2750051
TERRY LEE ALLEN
IAR
1477937
KELLY S LAWSON
IAR
1222498
ANDREW JOHN TAYLOR
IAR
6338247
STEPHEN RUSSELL STANFORD
IAR
1686790