Putterman, Dean Eliot
- Regulatory AUM
- $324M
- Discretionary
- $199M
- Clients
- 53
- Avg AUM / client
- $6.1M
- Accounts
- 55
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 53 | $299M | 92.2% |
| Charitable organizations | 0 | $25.3M | 7.79% |
People (1)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Putterman, Dean, Eliot | Sole Proprietor; Chief Compliance Officer | Aug 1995 (31y) | 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/12/2026 | 914 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $86.1M (27% of AUM) Mar 2026
- Morgan Stanley $55.4M (15% of AUM) Mar 2019
- Citibank $40.4M (12% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 12, 2026.
View current Form ADV (SEC/IAPD) ↗