KL
KL

Kelly S Lawson

39 Years of Experience
2 DisclosuresBroker
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate Planning
Compensation
Fee-Only (AUM)
Firm Size
6 advisors
Number of Clients
225 clients
Average Client Portfolio
$832K average
Assets Under Management
$187.3M

Fee Structure

Minimum Investment:$250K
Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K2.00%
$500K - $1.0M1.35%
$1.0M - $1.5M1.20%
$1.5M - $3.0M1.00%
$3.0M - $5.0M0.85%
$5M+0.85%

Fees negotiable for accounts over $5 million.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

100 Smith Ranch Road, Suite 110, San Rafael, CA, 94903

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2023
Settled
Customer Dispute
May 2023
Settled
Other Business Activities

Kelly is an IA with Putney Financial Group full-time. She also serves as Treasurer for San Geronimo Community Church, dedicating a few hours per week without compensation.

Employment History
Current Registrations
Arete Wealth Management, LLCBroker
December 2024 - Present · 1 yr 2 mos
The Putney Financial Group LLC
August 2018 - Present · 7 yrs 6 mos
Previous Registrations
Portsmouth Financial ServicesBroker
September 2018 - December 2024 · 6 yrs 3 mos
Portsmouth Financial Services
August 2018 - June 2019 · 10 mos
Presidio Merchant Partners LLCBroker
March 2011 - December 2012 · 1 yr 9 mos
Presidio Capital Advisors LLC
October 2008 - October 2016 · 8 yrs
Presidio Capital Advisors, LLCBroker
May 2004 - September 2010 · 6 yrs 4 mos
Presidio Capital Advisors, LLC
May 2004 - October 2008 · 4 yrs 5 mos
Banc of America Investment Services, INC.
August 2003 - May 2004 · 9 mos
Banc of America Investment Services, INC.Broker
August 2003 - May 2004 · 9 mos
Banc of America Securities LLC
August 2002 - August 2003 · 1 yr
Banc of America Securities LLCBroker
October 1997 - August 2003 · 5 yrs 10 mos
Montgomery SecuritiesBroker
November 1992 - October 1997 · 4 yrs 11 mos
Morgan Stanley & CO., IncorporatedBroker
May 1984 - November 1992 · 8 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1983 - March 1984 · 3 mos
State Registrations1 state
CA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Kelly S Lawson - Financial Advisor | TrueAdvisor