BP
CFP
BP
CFP

Benjamin Ross Putman

26 Years of Experience
1 DisclosureSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningDivorce PlanningBusiness Owners
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
390 clients
Average Client Portfolio
$691K average
Assets Under Management
$269.5M

Fee Structure

Minimum Investment:$500K
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K2.00%
$250K - $500K1.80%
$500K - $750K1.50%
$750K - $1.0M1.25%
$1.0M - $1.5M1.00%
$1.5M - $2.5M0.80%
$2.5M - $5.0M0.60%
$5M+0.50%

Advisory fees are negotiable and may be waived entirely for family and friends of the firm.

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

9911 Irvine Center Drive, Suite 150, Irvine, CA, 92618

Get directions

History

Regulatory History (1)
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 2021
Settled
Other Business ActivitiesSells Insurance

Benjamin is the 100% owner/IAR of Spectrum Capital Investment Group, Inc., a registered investment advisor, spending about 10-20% of his time there. He also owns Putman Group, an accountancy firm, taking about half of Benjamin's time, and Spectrum Realty Partners, which owns an office building, requiring minimal time. Benjamin is also a CA insurance agent offering fixed insurance products.

Employment History
Current Registrations
Spectrum Wealth Management, LLC
August 2005 - Present · 20 yrs 6 mos
Previous Registrations
Empirical Wealth Management
November 2017 - February 2018 · 3 mos
Independent Financial Group, LLC
February 2007 - November 2017 · 10 yrs 9 mos
Independent Financial Group, LLCBroker
February 2007 - November 2017 · 10 yrs 9 mos
Aig Financial Advisors, INC.Broker
October 2005 - January 2007 · 1 yr 3 mos
Sentra Securities CorporationBroker
October 2005 - October 2005 · 0 mos
Pacific Park Financial, INC.
November 2002 - October 2005 · 2 yrs 11 mos
Sentra Securities CORP
September 2002 - November 2003 · 1 yr 2 mos
Sentra Securities CorporationBroker
September 1999 - November 2003 · 4 yrs 2 mos
H.D. Vest Investment Securities, INC.Broker
March 1999 - September 1999 · 6 mos
State Registrations2 states
CATX
Advisor
Exams
No exam information available for this advisor.
Benjamin Ross Putman - Financial Advisor | TrueAdvisor