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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

MICHAEL PUTTMANN

Advisor at LPL ENTERPRISE, LLC

Cincinnati, OH | COLUMBUS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5494b02c-aa2b-079e-227f-8e01925b4f1a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 20, 2015 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 2, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Exams: S65|S66
First exam: Feb 2, 2015
First registration: May 20, 2015
Dual registered: yes, broker-dealer
Other names: MICHAEL P PUTTMANN
IAPD individual key: 6469117

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Jul 16, 2025	n/a	yes	Cincinnati, OH\|COLUMBUS, OH	Current employment
ESI FINANCIAL ADVISORS	Independent wealth	Jun 20, 2025	Jul 16, 2025	no	MEDIA, PA\|MIDDLETOWN, OH	Previous registration
FORMIDABLE ASSET MANAGEMENT, LLC	Independent wealth	May 20, 2015	Jul 14, 2015	no	CINCINNATI, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ESI FINANCIAL ADVISORS	LPL ENTERPRISE, LLC	Jul 16, 2025	Jul 16, 2025	0	Firm change	RIA to ibd
FORMIDABLE ASSET MANAGEMENT, LLC	ESI FINANCIAL ADVISORS	Jul 14, 2015	Jun 20, 2025	3,629	Firm change after gap	Other

Relationships

Registered with (3)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Jul 16, 2025 to presentfactForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jun 20, 2025 to Jul 16, 2025factForm ADV
→ FORMIDABLE ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 20, 2015 to Jul 14, 2015factForm ADV

Dated events

Occurred
Jul 16, 2025
Advisor changed firm
Michael Puttmann left Esi Financial Advisors for Lpl Enterprise, Llc (registered 2025-07-16)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5494b02c-aa2b-079e-227f-8e01925b4f1a
First observed: May 20, 2015
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MICHAEL PUTTMANN

Advisor at LPL ENTERPRISE, LLC

Cincinnati, OH | COLUMBUS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5494b02c-aa2b-079e-227f-8e01925b4f1a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL ENTERPRISE, LLC

Bd affiliated wealth

Jul 16, 2025

n/a

yes

Cincinnati, OH|COLUMBUS, OH

Current employment

ESI FINANCIAL ADVISORS

Independent wealth

Jun 20, 2025

Jul 16, 2025

MEDIA, PA|MIDDLETOWN, OH

Previous registration

FORMIDABLE ASSET MANAGEMENT, LLC

Independent wealth

May 20, 2015

Jul 14, 2015

CINCINNATI, OH

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

ESI FINANCIAL ADVISORS

LPL ENTERPRISE, LLC

Jul 16, 2025

Firm change

RIA to ibd

FORMIDABLE ASSET MANAGEMENT, LLC

ESI FINANCIAL ADVISORS

Jul 14, 2015

Jun 20, 2025

3,629

Firm change after gap

Other