AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $2.8 |
| Non-Discretionary | $0.2 |
| Total | $3.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $2.3 |
| Institutional | $0.7 |
| Total | $3.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY | TORONTO--CAN | $0.3 |
| THE BANK OF NEW YORK MELLON | LONDON--GBR | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.7 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 47% | $0.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 5% | $0.0 |
| HY Credit | 43% | $0.3 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 4% | $0.0 |
| Other | 1% | $0.0 |
| Total | 100% | $0.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FRANKLIN ADVISERS, INC. | $339.2 | 104517 | |
| PUTNAM INVESTMENT MANAGEMENT, LLC | $97.9 | 106629 | |
| THE PUTNAM ADVISORY COMPANY, LLC | $65.6 | 106631 | |
| FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED | $25.3 | 111360 | |
| FRANKLIN ADVISORY SERVICES, LLC | $7.7 | 111361 | |
| PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP | $0.0 | broker-dealer | 7325 |
| PUTNAM CAPITAL, L.L.C. | $0.0 | - | |
| PUTNAM INVESTMENTS AUSTRALIA PTY LIMITED | $0.0 | broker-dealer | - |
| PUTNAM INVESTMENT HOLDINGS, LLC | $0.0 | - | |
| FRANKLIN DISTRIBUTORS, LLC | $0.0 | broker-dealer | 109064 |
| PUTNAM INVESTMENTS CANADA ULC | $0.0 | broker-dealer | - |
| PUTNAM FIDUCIARY TRUST COMPANY, LLC | $0.0 | trust company | - |
| PUTNAM INVESTMENTS JAPAN CO., LTD. | $0.0 | - | |
| 37 CAPITAL STRUCTURED CREDIT GENERAL PARTNER, LLC | $0.0 | - | |
| 37 CAPITAL GENERAL PARTNER, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $3.0 | $0.0 | 0% | 15 | 0 | 0% |
| 2024-04-02 | $3.0 | $0.0 | 0% | 15 | 0 | 0% |
| 2023-04-04 | $3.4 | -$0.4 | -11% | 17 | -2 | -12% |
| 2022-04-01 | $3.8 | -$0.8 | -21% | 17 | -2 | -12% |
| 2021-04-05 | $3.6 | -$0.6 | -17% | 17 | -2 | -12% |
| 2020-04-01 | $3.1 | -$0.1 | -2% | 15 | 0 | 0% |
| 2019-04-01 | $3.3 | -$0.3 | -9% | 21 | -6 | -29% |
| 2018-04-02 | $5.5 | -$2.5 | -46% | 22 | -7 | -32% |
| 2017-04-01 | $5.9 | -$2.8 | -49% | 19 | -4 | -21% |
| 2016-04-01 | $6.3 | -$3.3 | -53% | 23 | -8 | -35% |
| 2015-04-01 | $6.2 | -$3.2 | -52% | 25 | -10 | -40% |
| 2014-04-01 | $6.1 | -$3.1 | -51% | 23 | -8 | -35% |
| 2013-04-01 | $5.4 | -$2.4 | -44% | 26 | -11 | -42% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
BROKER DEALER COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV