THE PUTNEY FINANCIAL GROUP LLC of SAN RAFAEL, CA is an SEC-registered investment adviser (CRD 111639). Regulatory assets under management: $205.4M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Corporations.
| Name | Role | Location |
|---|---|---|
| Raymond Lawrence Lent | FOUNDER/MANAGING MEMBER; FOUNDER/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| Echo Chiaping Chien | CHIEF COMPLIANCE OFFICER | — |
| LENT RAYMOND LAWRENCE | CHIEF COMPLIANCE OFFICER; FOUNDER/MANAGING MEMBER; MANAGING MEMBER (+1 more) | — |
| CHIEN ECHO CHIAPING | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-05-20 | regulatory | IN 2024, THE SEC ALLEGED THAT RAYMOND LAWRENCE LENT (DBA THE PUTNEY FINANCIAL GROUP) ("PUTNEY"), A SOLE PROPRIETOR, VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") IN CONNECTION WITH THE RECEIPT OF THIRD-PARTY COMPENSATION IN THE FORM OF BOTH REVENUE SHARING AND SALES… | Final | $1.1M |
| 2019-03-11 | regulatory | IN RESPONSE TO A SELF REPORTING INITIATIVE, AT TIMES DURING THE PERIOD JANUARY 1, 2014 TO JUNE 7, 2018, THE FIRM PURCHASED, RECOMMENDED, OR HELD FOR ITS ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH OUR CLIENTS WERE… | Final | — |