SPECTRUM CAPITAL INVESTMENT GROUP, INC.
Adviser information for SPECTRUM CAPITAL INVESTMENT GROUP, INC. last updated from Form ADV on February 16th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 547 | $184.3M |
| Non-Discretionary | 69 | $49.9M |
| Total | 616 | $234.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 263 | $82.3M |
| HNW Individuals | 44 | $88.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 65 | $54.8M |
| Charitable organizations | 11 | $7.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $359,190 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-113730 |
|---|---|
| SEC ERA File Number | 801-113730 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 135530 |
| Legal Entity Identifier | None |
Principal Office
9911 IRVINE CENTER DRIVESUITE 150
IRVINE
CA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 949-597-0101, Fax: 949-502-6706
Websites
Chief Compliance Officer
BENJAMIN R. PUTMAN
PRESIDENT
9911 IRVINE CENTER DR.
SUITE 150
IRVINE
CA
United States
Tel:
949-597-0101
Fax:
949-502-6706
B**@*********************M
(Full email address available in API data)
Industry Affiliates
| PUTMANGROUP | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PUTMAN, BENJAMIN, ROSS | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 05/2005 | > 75% |