Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| $0K - $500K | 2.00% |
| $500K - $1.0M | 1.35% |
| $1.0M - $1.5M | 1.20% |
| $1.5M - $3.0M | 1.00% |
| $3.0M - $5.0M | 0.85% |
| $5M+ | 0.85% |
Fees negotiable for accounts over $5 million.
Fee Estimator
Investment Supervisory Services (ISS) fees are based on a percentage of assets under management. For accounts over $5 million, fees are negotiable. Financial planning fees are generally included in the investment advisory fee, but may be charged hourly or as a fixed fee for standalone services. A minimum of $250,000 of assets under management is generally required to establish a client relationship, but this may be negotiable.
Areas of Practice
Advisor Information
Office location
100 Smith Ranch Road, Suite 110, San Rafael, CA, 94903
Get directionsRegulatory History (8)
Customer Dispute
February 2025Regulatory
May 2024Customer Dispute
April 2023Customer Dispute
March 2023Customer Dispute
February 2023Customer Dispute
February 2023Regulatory
March 2019Customer Dispute
May 2010Other Business ActivitiesSells Insurance
Raymond is the owner of The Putney Financial Group LLC, Chairman of the Board and Registered Representative with Portsmouth Financial Services Inc., and an owner/operator of Numismatic Resale & Bookends. He also holds a life and health insurance license in California, spending minimal time servicing existing policy holders.