F L Putnam Investment Management Co.
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 106223
· SEC file 801-21951
· Lynnfield, MA
· WWW.FLPUTNAM.COM
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ADV data as of Jul 10, 2026
- Regulatory AUM
- $9.7B
- Discretionary
- $9.6B
- Clients
- 3,054
- Avg AUM / client
- $3.2M
- Accounts
- 7,901
- Employees
- 160
AUM over time
$1.0B
$9.7B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,335 | $522M | 5.38% |
| High net worth individuals | 1,488 | $7.0B | 72.5% |
| Investment companies | 1 | $92.9M | 0.96% |
| Pension and profit sharing plans | 6 | $173M | 1.78% |
| Charitable organizations | 203 | $1.7B | 18.0% |
| Corporations and other businesses | 21 | $138M | 1.42% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Independent Health Association Inc Defined Benefit Plan And Trust Independent Health Association, Inc. | 2024 | |
| Spectrum Healthcare Partners, P.A. 401(k) Profit Sharing Plan Spectrum Healthcare Partners, P.A. | 2024 |
People (80)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Flaherty, Ellen | Director, Clerk, Sr. Vp, Coo | Dec 2001 (25y) | Less than 5% | |
| Gosule, Alan, Lee | Director | Jan 2008 (19y) | Less than 5% | |
| Lepper, Meredith | Director | Jan 2008 (19y) | Less than 5% | |
| Osterberg, Richard | Director | Jan 2008 (19y) | Less than 5% | |
| Stauffer, Susanne | Director | Oct 2014 (12y) | Less than 5% | |
| Reed Thomas Manning | President, Chief Executive Officer, Director | CFA | Dec 2015 (11y) | Less than 5% |
| Timmermans, Michael, Scott | Chief Legal Officer, Chief Compliance Officer | Oct 2021 (5y) | Less than 5% | |
| Christian David Mcvey | Registered representative | May 2003 (23y) | ||
| Steven Nathaniel Violin | Registered representative | CFA | May 2003 (23y) | |
| Robertson Pope Breed | Registered representative | CFA | Dec 2003 (23y) | |
| Andrew Bo Wetzel | Registered representative | CFA | Mar 2008 (18y) | |
| Scott Nelson Mazuzan | Registered representative | CFP | Apr 2015 (11y) | |
| Glen Patrick Martin | Registered representative | CFP | Aug 2016 (10y) | |
| Ellen Katherine Hazen | Registered representative | CFA | Jan 2017 (10y) | |
| Laurie Anne Faille | Registered representative | CFP | Jan 2019 (8y) | |
| Roger N. Begin | Registered representative | CFP | Feb 2019 (7y) | |
| Katharine Celeste Manning | Registered representative | Feb 2019 (7y) | ||
| Thomas Patrick Fay | Registered representative | CFA | Apr 2019 (7y) | |
| Daosith Samuel Lemay | Registered representative | CFP | Apr 2019 (7y) | |
| Kristen Ann Madden | Registered representative | Apr 2019 (7y) | ||
| Landon Joe Fritch | Registered representative | CFP | Apr 2019 (7y) | |
| Susan Macmichael John | Registered representative | CFP | Apr 2019 (7y) | |
| Thomas George Goodwin | Registered representative | CFP | Apr 2019 (7y) | |
| Valerie Jean Brown | Registered representative | Apr 2019 (7y) | ||
| Marianne Pursley | Registered representative | CFP | May 2019 (7y) | |
| Jessie Lyn Butler | Registered representative | CFP | May 2019 (7y) | |
| Todd Christopher Mills | Registered representative | CFP | Dec 2019 (7y) | |
| William Michael O'brien | Registered representative | Dec 2020 (6y) | ||
| Corey Brian Pomerleau | Registered representative | CFP | Jan 2021 (6y) | |
| Ryan Bernard Mcquilkin | Registered representative | CFP CFA | Jun 2021 (5y) | |
| James Balfour | Registered representative | CFP CFA | Nov 2021 (5y) | |
| Timothy Richard Hamilton | Registered representative | Apr 2022 (4y) | ||
| Benjamin Dolan O'connor | Registered representative | Apr 2022 (4y) | ||
| James Andrew Waggett | Registered representative | CFP CFA | May 2022 (4y) | |
| Ann Marie Foran | Registered representative | CFA | Jun 2022 (4y) | |
| Jill Hibyan | Registered representative | CFP | Nov 2022 (4y) | |
| Kimberly Ann Ratcliffe | Registered representative | CFA | Nov 2022 (4y) | |
| Lorraine Allison Silva | Registered representative | CFP | Mar 2023 (3y) | |
| Robert Brandt Heitzman | Registered representative | CFP | Apr 2023 (3y) | |
| Julia Yvonne Vanzler | Registered representative | CFP | Jun 2023 (3y) | |
| Sean Patrick Cragan | Registered representative | CFP | Jun 2023 (3y) | |
| Robert Sherman | Registered representative | CFP Personal Financial Specialist | Jun 2023 (3y) | |
| Carolyn Stewart Macedo | Registered representative | Jul 2023 (3y) | ||
| Michael A Desclos | Registered representative | CFP | Jul 2023 (3y) | |
| Yvan Philippe Bodart | Registered representative | CFA | Nov 2023 (3y) | |
| Joni A Stone | Registered representative | Nov 2023 (3y) | ||
| Keyana Johns Russ | Registered representative | CFP | Jul 2024 (2y) | |
| Magdalena Jaworska | Registered representative | CFA | Jul 2024 (2y) | |
| Grenville Mac Donald Gooder | Registered representative | Jul 2024 (2y) | ||
| Lawrence Thomas Mcgowan | Registered representative | Jul 2024 (2y) | ||
| Daniel M. Toole | Registered representative | Jul 2024 (2y) | ||
| David Joseph Mcpherson | Registered representative | CFP | Aug 2024 (2y) | |
| Nicole Leigh Tsafos | Registered representative | CFP | Aug 2024 (2y) | |
| Jennifer Lauren Rosenbaum | Registered representative | Sep 2024 (2y) | ||
| Nicholas Edward Bozek | Registered representative | Nov 2024 (2y) | ||
| Gerald Thomas Cole | Registered representative | CFA | Dec 2024 (2y) | |
| Thomas David Burleigh | Registered representative | CFP | Mar 2025 (1y) | |
| Aaron Jay Rosen | Registered representative | CFA | Mar 2025 (1y) | |
| Amanda Michele Pfeifle | Registered representative | Mar 2025 (1y) | ||
| Erin Melissa Holt | Registered representative | CFP | Mar 2025 (1y) | |
| Sarah Lydia Grace Gosselin | Registered representative | CFP | Mar 2025 (1y) | |
| Susan Marie White | Registered representative | Mar 2025 (1y) | ||
| Frederick Peter Baerenz | Registered representative | Mar 2025 (1y) | ||
| James Thomas Ortlip | Registered representative | CFP | Mar 2025 (1y) | |
| Timothy John O'shei | Registered representative | CFP | Apr 2025 (1y) | |
| Todd Edwin Engelhardt | Registered representative | Jun 2025 (1y) | ||
| Jordan S Press | Registered representative | Jul 2025 (1y) | ||
| Leonardo Mesa | Registered representative | CFP | Jul 2025 (1y) | |
| Michael James Hanlon | Registered representative | CFA | Sep 2025 (1y) | |
| Keith Edward Brennan | Registered representative | Oct 2025 (1y) | ||
| Gregory Wood Evans | Registered representative | CFP | Jan 2026 (1y) | |
| Mike E Gula | Registered representative | Feb 2026 (0y) | ||
| Charles John Ybema | Registered representative | Apr 2026 (0y) | ||
| Jerry Bert Love | Registered representative | CFP | Apr 2026 (0y) | |
| Michael Lewis Mueller | Registered representative | CFA | Apr 2026 (0y) | |
| Edward James Terwilliger | Registered representative | CFA | May 2026 (0y) | |
| Matthew Jacob Fischer | Registered representative | Jun 2026 (0y) | ||
| Christian Leigh Sullivan | Registered representative | CFP | Jul 2026 (0y) | |
| Laurie Barrett | Registered representative | Jul 2026 (0y) | ||
| Monica Ann Mccarthy | Registered representative | CFA | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| F.L. Putnam Securities Company Incorporated | Stockholder | Jun 1984 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Independent Health Association Inc Defined Benefit Plan And Trust | Independent Health Association, Inc. | 345 | $90.1M | 01/01/2024 |
| Spectrum Healthcare Partners, P.A. 401(k) Profit Sharing Plan | Spectrum Healthcare Partners, P.A. | 489 | $360M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1.15 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • A PERCENTAGE OF ASSETS UNDER ADVISEMENT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $4.2B (43% of AUM) Jul 2026
- National Financial Services (Fidelity) $3.2B (33% of AUM) Jul 2026
- Northern Trust $1.0B (11% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗