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CRD 107141
BOSTON, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GEORGE PUTNAM | n/a | BOSTON, MA | 29 | 38 | 1 | no |
| GEORGE PUTNAM BEAL | n/a | BOSTON, MA | 27 | 29 | n/a | no |
| MICHAEL JAMES UNGER | Chartered Financial Analyst | BOSTON, MA | 26 | 26 | n/a | no |
| ELIZA HAPGOOD ROWE | n/a | BOSTON, MA | 26 | 34 | n/a | no |
| PEDER CHRISTIAN JOHNSON | Certified Financial Planner|Chartered Financial Analyst | BOSTON, MA | 8 | 15 | 1 | no |
| BENJAMIN TAYLOR RICHARDSON | Chartered Financial Analyst | BOSTON, MA | 8 | 18 | n/a | no |
| MICHAEL JOSEPH DORSEY | Certified Financial Planner|Chartered Financial Analyst | BOSTON, MA | 5 | 15 | 2 | no |
| DYLAN CHAMBERLAINE BRIX | Chartered Financial Analyst | BOSTON, MA | 5 | 13 | 2 | no |
| ROMAHLO IVAN WILSON | n/a | BOSTON, MA | 0 | 18 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BEAL, GEORGE, PUTNAM | MANAGING MEMBER | B | yes | 10/1996 | Mar 2, 2026 | Mar 2, 2026 |
| BEALS, DARREN, LEON | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2021 | Mar 2, 2026 | Mar 2, 2026 |
| DORSEY, MICHAEL, JOSEPH | MANAGING MEMBER | Na | yes | 01/2023 | Mar 2, 2026 | Mar 2, 2026 |
| JOHNSON, PEDER, CHRISTIAN | MANAGING MEMBER | Na | yes | 02/2016 | Mar 2, 2026 | Mar 2, 2026 |
| PUTNAM, GEORGE | MANAGING MEMBER | C | yes | 08/1996 | Mar 2, 2026 | Mar 2, 2026 |
| RICHARDSON, BENJAMIN, TAYLOR | MANAGING MEMBER, CHIEF INVESTMENT OFFICER | Na | yes | 07/2008 | Mar 2, 2026 | Mar 2, 2026 |
| ROWE, ELIZA, HAPGOOD | MANAGING MEMBER, TREASURER | B | yes | 06/2000 | Mar 2, 2026 | Mar 2, 2026 |
| UNGER, MICHAEL, JAMES | MANAGING MEMBER | B | yes | 01/2003 | Mar 2, 2026 | Mar 2, 2026 |
| ALEXANDER WELD | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| ALEXANDER WELD | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| ALEXANDER WELD | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CAMERON BRIGHT | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CAMERON BRIGHT | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CAMERON BRIGHT | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CAMERON BRIGHT | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CAMERON BRIGHT | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CAMERON BRIGHT | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CAMERON BRIGHT | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| CANDLER, ELIZABETH, GREER | MANAGING MEMBER | Na | yes | 05/2010 | Dec 5, 2011 | Feb 21, 2024 |
| KATHLEEN WELD | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| KATHLEEN WELD | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| KATHLEEN WELD | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| KATHLEEN WELD | Trustee | F | yes | 01/2010 | Dec 5, 2011 | Feb 21, 2024 |
| ALEXANDER, ELIZABETH GST TRUST | Member | Na | no | 01/2010 | Mar 2, 2026 | Mar 2, 2026 |
| CHASE, SARAH A. GST TRUST | Member | Na | no | 01/2010 | Mar 2, 2026 | Mar 2, 2026 |
| GOLEMB, CHRISTINE A. GST TRUST | Member | Na | no | 01/2010 | Mar 2, 2026 | Mar 2, 2026 |
| WELD, ANDREW W. GST TRUST | Member | Na | no | 01/2010 | Mar 2, 2026 | Mar 2, 2026 |
| WELD, CHRISTOPHER B. GST TRUST | Member | Na | no | 01/2010 | Mar 2, 2026 | Mar 2, 2026 |
| WELD, DAVID A. GST TRUST | Member | Na | no | 01/2010 | Mar 2, 2026 | Mar 2, 2026 |
| WELD, TIMOTHY S. GST TRUST | Member | Na | no | 01/2010 | Mar 2, 2026 | Mar 2, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PUTNAM INVESTMENT MANAGEMENT, LLC | n/a | Asset manager | $117B | N | no | n/a |
| BRECKINRIDGE CAPITAL ADVISORS INC | n/a | Independent wealth | $54B | N | no | n/a |
| NEW GENERATION ADVISORS, LLC | n/a | Former SEC adviser | $153M | N | yes | n/a |
| NORTHEAST INVESTORS TRUST | n/a | n/a | n/a | N | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 2, 2026 | $2.0B | $2.0B | 17 | 10 | 0 | n/a | n/a |
| 2024 | Feb 26, 2025 | $1.9B | $1.8B | 18 | 10 | 0 | n/a | n/a |
| 2023 | Feb 21, 2024 | $1.7B | $1.7B | 16 | 9 | 0 | n/a | n/a |
| 2022 | Feb 22, 2023 | $1.6B | $1.6B | 16 | 9 | 0 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.9B | $1.8B | 16 | 9 | 0 | n/a | n/a |
| 2020 | Mar 29, 2021 | $1.7B | $1.6B | 15 | 9 | 0 | n/a | n/a |
| 2019 | Feb 7, 2020 | $1.4B | $1.3B | 13 | 7 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $1.2B | $1.1B | 15 | 9 | 0 | n/a | n/a |
| 2017 | Jan 26, 2018 | $1.3B | $1.2B | 15 | 9 | 0 | n/a | n/a |
| 2016 | Mar 28, 2017 | $1.1B | $1.0B | 15 | 9 | n/a | n/a | n/a |
| 2015 | Mar 14, 2016 | $1.0B | $975M | 15 | 9 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $1.1B | $1.0B | 15 | 9 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $1.0B | $970M | 16 | 10 | n/a | n/a | n/a |
| 2012 | Mar 6, 2013 | $869M | $802M | 16 | 10 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $791M | $726M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.0B | $1.9B | 8.1% | $1.6B | 8.1% | 17 | 18 | 0 | 0 |