DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
The Putnam Advisory Company, LLC
Latest filing Sep 16, 2026
First filing on the tape Mar 29, 2012 · 60 filings
SEC status approved since Oct 7, 1968
RAUM
$33B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$202M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$33B as of Aug 4, 2026
Mar 29, 2012$47B then
HNW client RAUM$202M as of Aug 4, 2026
Dec 24, 2025$202M then
State-registered IARs (5.B.3)0 as of Aug 4, 2026
Mar 29, 20120 then
Employees (5.A)7 as of Aug 4, 2026
Mar 28, 201341 then
Private funds3 as of Aug 4, 2026
Mar 29, 201221 then
RAUM -49% over the last fiscal year-26% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $40.3MderivedHNW RAUM over HNW clients
- Average account
- $342MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -37%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$24B72%
- Pension and profit-sharing plans$5.6B17%
- Investment companies$2.5B7.5%
- Insurance companies$707M2.1%
- High-net-worth individuals$202M0.6%
- Charitable organizations$143M0.4%
- State and municipal entities$34.9M0.1%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 97reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.8 institutional_share=0.19 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
33 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Putnam Multi-Asset Absolute Return Custom Fund, LPno longer reported | Hedge Fund | $488M | 2 | Feb 6, 2015 |
| Putnam Structured Product Cdo 2002-1 Ltd.no longer reported | Securitized Asset Fund | $426M | 0 | Mar 29, 2012 |
| 37 Capital Bluescale Fund, LPno longer reported | Hedge Fund | $373M | 6 | Mar 30, 2015 |
| Putnam Securitized Strategies Fund Ltd.no longer reported | Hedge Fund | $217M | 9 | Mar 28, 2018 |
| Putnam Strategic Long/Short Equity Fund, LPno longer reported | Hedge Fund | $84.8M | 14 | Mar 30, 2015 |
| 37 Capital Opportunistic Equity Fund, LPno longer reported | Hedge Fund | $80.3M | 6 | Mar 28, 2019 |
| Putnam Seligo Fund, LPno longer reported | Hedge Fund | $64.9M | 8 | Sep 27, 2013 |
| 37 Capital Fixed Income Opportunities Fund, LPno longer reported | Hedge Fund | $54.4M | 2 | Mar 29, 2016 |
| Putnam Total Return Fund, LLCno longer reported | Hedge Fund | $52.9M | 3 | Mar 29, 2012 |
| 37 Capital Bluescale Flagship Fund, LPno longer reported | Hedge Fund | $44.4M | 2 | Jul 14, 2021 |
| Putnam Industrials Long/Short Fund, LPno longer reported | Hedge Fund | $43.8M | 5 | Mar 29, 2012 |
| Putnam International Core Equity Fund, LPno longer reported | Other Private Fund | $43.0M | 57 | Mar 30, 2017 |
| Putnam Catholic Values U.S. Large Cap Growth Fund, LP | Hedge Fund | $42.4M | 9 | Sep 27, 2022 |
| Putnam Select Global Equity Fund, LPno longer reported | Hedge Fund | $35.9M | 8 | Sep 27, 2013 |
| Putnam International Equity Fund, LLCno longer reported | Hedge Fund | $33.8M | 2 | Mar 29, 2012 |
| Pyxis Abs Cdo 2006-1 Ltd.no longer reported | Securitized Asset Fund | $29.1M | 0 | Mar 29, 2012 |
| Putnam Fixed Income Opportunities Fund, Ltd.no longer reported | Hedge Fund | $27.8M | 2 | Mar 29, 2012 |
| Putnam Multi-Asset Absolute Return Fund, LPno longer reported | Hedge Fund | $19.4M | 2 | Nov 29, 2018 |
| Putnam Emerging Markets Equity Fund, LP | Hedge Fund | $13.8M | 3 | Aug 14, 2019 |
| Putnam Consumer Long/Short Fund, LPno longer reported | Hedge Fund | $11.3M | 5 | Mar 29, 2012 |
| Putnam Healthcare Long/Short Fund, LPno longer reported | Hedge Fund | $11.0M | 3 | Mar 30, 2015 |
| Putnam Financials Long/Short Fund, LPno longer reported | Hedge Fund | $10.8M | 3 | Mar 29, 2012 |
| Boston Harbor Clo 2004-1, Ltd.no longer reported | Securitized Asset Fund | $10.2M | 0 | Mar 29, 2012 |
| Putnam Natural Resources Long/Short Fund, LPno longer reported | Hedge Fund | $9.3M | 3 | Mar 30, 2015 |
| Putnam Emerging Markets Small Cap Equity Fund, LP | Hedge Fund | $4.0M | 2 | Mar 31, 2021 |
| Putnam Health Care Long/Short Fund, LPno longer reported | Hedge Fund | $3.6M | 2 | Mar 29, 2012 |
| Putnam High Yield Fixed Income Fund, LLCno longer reported | Other Private Fund | $3.5M | 2 | Mar 29, 2012 |
| Putnam Cbo I, Limitedno longer reported | Securitized Asset Fund | $1.3M | 0 | Mar 29, 2012 |
| Th Lee, Putnam Equity Partners, LLCno longer reported | Private Equity Fund | $911,731 | 121 | Mar 29, 2012 |
| Putnam Cbo II, Limitedno longer reported | Securitized Asset Fund | $261,014 | 0 | Mar 29, 2012 |
| Ml Cbo Xxvi (Cayman) Ltd.no longer reported | Securitized Asset Fund | $51,382 | 0 | Mar 29, 2012 |
| Pyxis Abs Cdo 2007-1 Ltd.no longer reported | Securitized Asset Fund | $0 | 0 | Mar 29, 2012 |
| Putnam Bluescale Fund (Cayman), Ltd.no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- F. James Clark · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- Sonal Desai · Executive Vice Presidentcontrolsince 01/2024 · owns less than 5%
- Lindsey Oshita · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- Shepherd Richard Perkins · Presidentcontrolsince 01/2024 · owns less than 5%
- Jay Adam Petryk · Executive Vice Presidentcontrolsince 01/2024 · owns less than 5%
- Paul Leeor Avigdor · Treasurersince 01/2024 · owns less than 5%
- Clifton Thomas Merchant · Chief Legal Officersince 01/2024 · owns less than 5%
Entity owners
- Putnam Advisory Holdings II, LLC · 100% Ownerdirect · owns 75% or more
- Franklin Resources, Inc. · Sole Shareholder Of Legg Mason, Inc.indirect · owns 75% or more of Legg Mason, Inc. · public reporting company
- Legg Mason, Inc. · 100% Ownerindirect · owns 75% or more of Templeton Worldwide, Inc.
- Putnam U.S. Holdings I, LLC · 100% Ownerindirect · owns 75% or more of Putnam Advisory Holdings II, LLC
- Templeton Worldwide, Inc. · 100% Ownerindirect · owns 75% or more of Putnam U.S. Holdings I, LLC
Related persons
Schedule D 7.A
- Benefit Street Partners Limitedinvestment adviserbanknRAUM $23B
- Bsp Ny LLCinvestment adviserbanknRAUM $14B
- Benefit Street Partners L.L.C.investment advisernRAUM $28B
- Brandywine Global Investment Management (Asia) Pte. Ltd.investment advisery
- Brandywine Global Investment Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $65B
- Bsp Clo Management LLCinvestment advisernRAUM $12B
- China Life Franklin Asset Management Co., Limitedinvestment advisern
- Clarion Partners Emea Limitedbroker-dealern
- Clarion Partners Europe (U.K.) Limitedbroker-dealerinvestment advisern
- Clarion Partners Europe Limitedinvestment advisern
- Clarion Partners Securities, LLCbroker-dealern
- Clarion Partnersbroker-dealerinvestment advisernRAUM $74B
- Clearbridge Investments (North America) Pty Limitedinvestment advisernRAUM $2.2B
- Clearbridge Investments Limitedinvestment advisern
- Clearbridge Investments, LLCinvestment adviserbankpooled vehicle sponsornRAUM $185B
- Darby Asia Investors (Hk), Ltd.investment advisern
- Darby Asia Investors, Ltd.investment advisern
- Darby Overseas Partners, L.P.investment advisernRAUM $154M
- Fiduciary Trust Company Of Canadainvestment advisern
- Fiduciary Trust International, LLCinvestment adviserbanknRAUM $7.7B
- Franklin Advisers, Inc.investment adviserbanknRAUM $509B
- Franklin Advisory Services, LLCinvestment adviserbanknRAUM $14B
- Franklin Bsp Capital Adviser LLCinvestment advisernRAUM $4.2B
- Franklin Distributors, LLCbroker-dealern
- Franklin Mutual Advisers, LLCinvestment adviserbanknRAUM $43B
- Franklin Templeton Alts Brasil Admin. De Investimentos Ltda.investment advisery
- Franklin Templeton Asset Management (Malaysia) Sdn. Bhd.investment advisern
- Franklin Templeton Asset Management Mexico, S.A. De C.V., Sociedad Operadora De Fondos De Inversioninvestment advisern
- Franklin Templeton Australia Limitedinvestment adviserbankn
- Franklin Templeton Fund Adviser, LLCinvestment adviserbanknRAUM $167B
Advisers that list The Putnam Advisory Company, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Singapore, Singapore6 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 4, 2026 to Sep 16, 2026
- Private funds · 3 to unsetAug 4, 2026 to Sep 16, 2026
- Succession · false to unsetAug 4, 2026 to Sep 16, 2026
- Other offices · 1 to 0Dec 24, 2025 to Aug 4, 2026
- Accounts · 135 to 97Jan 2, 2025 to Dec 24, 2025
- Advisory employees · 6 to 7Jan 2, 2025 to Dec 24, 2025
- HNW clients · unset to 5.0Jan 2, 2025 to Dec 24, 2025
- Pension plan clients · 12 to 8Jan 2, 2025 to Dec 24, 2025
- Pooled vehicle clients · 35 to 72Jan 2, 2025 to Dec 24, 2025
- Assets in custody · $423M to $0Jan 2, 2025 to Dec 24, 2025
- Discretionary RAUM · $32B to $33BJan 2, 2025 to Dec 24, 2025
- HNW RAUM · unset to 201744801.0Jan 2, 2025 to Dec 24, 2025
- Non-discretionary RAUM · $9.5B to $0Jan 2, 2025 to Dec 24, 2025
- Pension RAUM · $2.5B to $5.6BJan 2, 2025 to Dec 24, 2025
- Pooled vehicle RAUM · $20B to $24BJan 2, 2025 to Dec 24, 2025
- RAUM · $41B to $33BJan 2, 2025 to Dec 24, 2025
- Financial planning clients · unset to Dec 23, 2024 to Jan 2, 2025
- Accounts · 122 to 135Oct 30, 2024 to Dec 23, 2024
- Advisory employees · 7 to 6Oct 30, 2024 to Dec 23, 2024
- Charity clients · 0.0 to unsetOct 30, 2024 to Dec 23, 2024
- HNW clients · 0.0 to unsetOct 30, 2024 to Dec 23, 2024
- Individual clients · 0.0 to unsetOct 30, 2024 to Dec 23, 2024
- Pension plan clients · 9 to 12Oct 30, 2024 to Dec 23, 2024
- Pooled vehicle clients · 55 to 35Oct 30, 2024 to Dec 23, 2024
- Assets in custody · $830M to $423MOct 30, 2024 to Dec 23, 2024
- Discretionary RAUM · $30B to $32BOct 30, 2024 to Dec 23, 2024
- Non-discretionary RAUM · $36B to $9.5BOct 30, 2024 to Dec 23, 2024
- Pension RAUM · $2.5B to $2.5BOct 30, 2024 to Dec 23, 2024
- Pooled vehicle RAUM · $56B to $20BOct 30, 2024 to Dec 23, 2024
- RAUM · $66B to $41BOct 30, 2024 to Dec 23, 2024
- Private funds · 14 to 3Sep 5, 2024 to Oct 30, 2024
- Accounts · 121 to 122Jan 31, 2024 to Mar 30, 2024
- Advisory employees · 6 to 7Jan 31, 2024 to Mar 30, 2024
- BD registered reps · 21 to 0Jan 31, 2024 to Mar 30, 2024
- Pension plan clients · 8 to 9Jan 31, 2024 to Mar 30, 2024
- Pooled vehicle clients · 60 to 55Jan 31, 2024 to Mar 30, 2024
- Assets in custody · $827M to $830MJan 31, 2024 to Mar 30, 2024
- Employees · 40 to 7Jan 31, 2024 to Mar 30, 2024
- State-registered IARs · 3 to 0Jan 31, 2024 to Mar 30, 2024
- Private funds · 13 to 14Jan 31, 2024 to Mar 30, 2024
Signals
33 dated events
- The Putnam Advisory Company, Llc reported RAUM $41.5B, down 37% from $65.6B (2024-10-30 to 2024-12-23)Dec 23, 2024 · RAUM change · derived
- Lindsey Oshita (Chief Financial Officer) appeared on Schedule A of The Putnam Advisory Company, LlcJan 31, 2024 · Control person joined · fact
- Sonal Desai (Executive Vice President) appeared on Schedule A of The Putnam Advisory Company, LlcJan 31, 2024 · Control person joined · fact
- Jay Adam Petryk (Executive Vice President) appeared on Schedule A of The Putnam Advisory Company, LlcJan 31, 2024 · Control person joined · fact
- Guy Paul Desmarais (Trustee) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Nmn Guy Fortin (Trustee) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Roger Andre Desmarais (Trustee) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Joseph Michael Woodall (Chief Of Operations) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- M Aaron Cooper (Chief Operating Officer) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- J Robert Schoen (Co-Chief Investment Officer, Global Asset Allocation) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- D Brian Lenhardt (Chief Operating Officer, Investment Division) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Sloane Andra Bolotin (Chief Financial Officer) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Vincent Michael Salm (Chief Investment Officer, Fixed Income) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Jefferson Stephen Tate (General Counsel And Chief Legal Officer) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- S Brett Goldstein (Co-Chief Investment Officer, Global Asset Allocation) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Paul Steven Mckay (Chief Executive Officer) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Albert Gary Doer (Trustee) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2023-10-04, absent 2024-01-31)Jan 31, 2024 · Control person left · inference
- Albert Gary Doer (Trustee) appeared on Schedule A of The Putnam Advisory Company, LlcJun 12, 2023 · Control person joined · fact
- Paul Steven Mckay (Chief Executive Officer) appeared on Schedule A of The Putnam Advisory Company, LlcFeb 2, 2023 · Control person joined · fact
- Michel Plessis-Belair (Trustee) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2022-09-27, absent 2023-02-02)Feb 2, 2023 · Control person left · inference
- Marie Kaitlin May (Chief Executive Officer) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2022-09-27, absent 2023-02-02)Feb 2, 2023 · Control person left · inference
- Thomas Robert Burns (General Counsel) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2021-03-31, absent 2021-07-14)Jul 14, 2021 · Control person left · inference
- William Dennis Kohli (Co-Chief Investment Officer, Fixed Income) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2021-03-31, absent 2021-07-14)Jul 14, 2021 · Control person left · inference
- Lewis Jeffrey Gould (Chief Executive Officer) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2021-03-31, absent 2021-07-14)Jul 14, 2021 · Control person left · inference
- Jefferson Stephen Tate (General Counsel) appeared on Schedule A of The Putnam Advisory Company, LlcJul 14, 2021 · Control person joined · fact
- S Brett Goldstein (Co-Chief Investment Officer, Global Asset Allocation) appeared on Schedule A of The Putnam Advisory Company, LlcJul 14, 2021 · Control person joined · fact
- Marie Kaitlin May (Chief Executive Officer) appeared on Schedule A of The Putnam Advisory Company, LlcJul 14, 2021 · Control person joined · fact
- The Putnam Advisory Company, Llc reported RAUM $88.8B, up 34% from $66.5B (2021-01-15 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Lewis Jeffrey Gould (Chief Executive Officer) appeared on Schedule A of The Putnam Advisory Company, LlcJan 15, 2021 · Control person joined · fact
- Lloyd Robert Reynolds (Chief Executive Officer) no longer on Schedule A of The Putnam Advisory Company, Llc (listed 2020-10-16, absent 2021-01-15)Jan 15, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- The Putnam Advisory Company, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/franklin-templetonreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/putnam-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- putnam.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-292-1000reportedpublic record, Form ADV, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026