SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
The Putnam Advisory Company, LLC
Boston, MA
CRD 106631
Firm filing updated September 16, 2026 ·
- $33.2BAssets
- 7Advisory staff
- 97Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Pooled vehicles72
- Pension and profit sharing plans8
- Investment companies6
- High net worth individuals5
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 5 | $201.7 million |
| Investment companies | 6 | $2.5 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 72 | $24.0 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 8 | $5.6 billion |
| Charitable organizations | Fewer than 5 clients | $142.7 million |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $34.9 million |
| Insurance companies | Fewer than 5 clients | $706.9 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$33.2 billion
- Accounts97
- DiscretionaryAll accounts
People
- Employees7
- Advisory staff7
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 106631, SEC file 801-5097.
- Registered with the SEC as an investment advisor (status date on record: October 7, 1968).
Is The Putnam Advisory Company, LLC a fiduciary?
Short answer: The Putnam Advisory Company, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.