DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 135530
IRVINE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| PUTMAN, BENJAMIN, ROSS | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | yes | 05/2005 | Jun 28, 2018 | Feb 16, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| Putmangroup | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 20, 2025 | $270M | $208M | 3 | 3 | 1 | n/a | n/a |
| 2023 | Feb 16, 2024 | $234M | $184M | 4 | 4 | 1 | n/a | n/a |
| 2022 | Mar 19, 2023 | $173M | $134M | 4 | 3 | 0 | n/a | n/a |
| 2021 | Mar 31, 2022 | $181M | $181M | 3 | 3 | 0 | n/a | n/a |
| 2020 | Mar 26, 2021 | $176M | $176M | 3 | 3 | 0 | n/a | n/a |
| 2019 | Mar 25, 2020 | $145M | $145M | 3 | 3 | 0 | n/a | n/a |
| 2018 | Mar 30, 2019 | $128M | $128M | 3 | 3 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 4 | -4 | n/a | 0 | 0 | 0 | 0 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $270M | $234M | 15.1% | $181M | 14.3% | 3 | 4 | 1 | 1 |