DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Ben Putman
Certified Financial Planner
Feed of 09/14/2026
Also filed as Benjamin R Putman
At current firm
0 y
since Dec 16, 2025
In the industry
31 y
since Jan 1, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Wealth Enhancement Advisory Services, LLC BD affiliated currentsince Dec 16, 2025 · Irvine, Ca
- Empirical Wealth Management independent RIANov 29, 2017 to Feb 28, 2018 · Irvine, Ca
- Independent Financial Group, LLC BD affiliatedFeb 13, 2007 to Nov 1, 2017 · Irvine, Ca
- Spectrum Wealth Management, LLC formerAug 25, 2005 to Dec 31, 2025 · Irvine, Ca
- Pacific Park Financial, Inc. independent RIANov 12, 2002 to Oct 3, 2005 · Mission Viejo, Ca
- Sentra Securities Corporation unclassifiedSep 17, 2002 to Nov 4, 2003 · Laguna Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- Spectrum Wealth Management, LLC to Independent Financial Group, LLCleft Dec 31, 2025, registered Feb 13, 2007 (-6896 days) · Other
- Empirical Wealth Management to Wealth Enhancement Advisory Services, LLCleft Feb 28, 2018, registered Dec 16, 2025 (2848 days) · RIA to affiliated broker-dealer or bank
- Independent Financial Group, LLC to Empirical Wealth Managementleft Nov 1, 2017, registered Nov 29, 2017 (28 days) · Other
- Pacific Park Financial, Inc. to Spectrum Wealth Management, LLCleft Oct 3, 2005, registered Aug 25, 2005 (-39 days) · Other
- Sentra Securities Corporation to Pacific Park Financial, Inc.left Nov 4, 2003, registered Nov 12, 2002 (-357 days) · Other
Signals
- Ben Putman left Spectrum Wealth Management, Llc for Independent Financial Group, Llc (registered 2007-02-13)Dec 31, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address