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| Spectrum Asset Management Inc
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| |
|---|---|
| CRD # | 111007 |
| SEC # | 801-30377 |
| CIK # | 0001318293, 0001632078 |
| AUM | $646.5 MM (2024-08-06) |
| Employees | 11 (82% Investors, 0% Brokers) |
| Phone | 949-717-3400 |
| Address | 1301 Dove Street Newport Beach, CA 92660-2453 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($BB) |
|---|
| Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
|---|---|---|---|---|
| Other | Spectrum Capital Securities Institutional Fund LLC | [2019-03-11] | 183.7 | 121.1 |
| AUM Breakdown | Accounts | AUM ($BB) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 177 | 0.1 |
| (b) Individuals (high net worth individuals) | 127 | 0.5 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 13 | 0.1 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 921 | 0.6 |
| By Discretionary | ||
| Discretionary | 920 | 0.6 |
| Non-Discretionary | 1 | 0.0 |
| Total | 921 | 0.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 0.6 | |
| Total | 921 | 0.6 |
| Form D Directors | # Filings | # Firms | 2011 - 2024 |
|---|---|---|---|
| Spectrum Asset Management Inc | 1 |
| EDGAR Form | CIK | 2011 - 2024 |
|---|---|---|
| 13F-HR | [0001318293] | |
| SC 13G | [0001318293] | |
| 13F-HR | [0001632078] |
| Related Firms | State | AUM ($BB) |
|---|---|---|
|
Spectrum Asset Management Inc
✚
|
CA | 0.6 |
|
Needelman Asset Management Inc
✚
|
CA | 0.0 |
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|---|---|---|
|
de Groote Financial Group LLC
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|
CA | 0.6 |
|
Havenshare Financial LLC
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|
TX | 0.6 |
|
Wealth Alliance Advisory Group LLC
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KS | 0.6 |
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Investment Partners Ltd
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OH | 0.6 |
|
SKBA Capital Management LLC
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|
CA | 0.6 |
|
Consilium Wealth Management LLC
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|
CA | 0.6 |
|
Legacy Financial Strategies LLC
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|
KS | 0.6 |
|
Crane Advisory LLC
✚
|
CA | 0.6 |
|
Lafise Global Advisors LLC
✚
|
FL | 0.6 |
|
JT Stratford LLC
✚
|
GA | 0.6 |