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| Happy Holidays!! thanks for using AUM13F!! |
| Spectrum Asset Management Inc
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|---|---|
| CRD # | 300463 |
| SEC # | 801-30405 |
| CIK # | 0001632078, 0001318293 |
| AUM | $19.7 B (2025-04-10) |
| Employees | 26 (46% Investors, 88% Brokers) |
| Phone | 203-322-0189 |
| Address | 2 High Ridge Park Stamford, CT 06905 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| Other | Spectrum Capital Securities Institutional Fund LLC | [2019-03-11] | 252.0 | 39.6 |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 1 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 7 | 8.7 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 9 | 4.7 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 6 | 0.4 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 53 | 5.7 |
| (n) Other | 2 | 0.2 |
| Total | 78 | 19.7 |
| By Discretionary | ||
| Discretionary | 55 | 15.1 |
| Non-Discretionary | 23 | 4.6 |
| Total | 78 | 19.7 |
| By Non-United States Persons | ||
| Non-United States Persons | 5.9 | |
| United States Persons | 13.8 | |
| Total | 78 | 19.7 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| Spectrum Asset Management Inc | 1 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001318293] | |
| SC 13G | [0001318293] | |
| 13F-HR | [0001632078] |
| Related Firms | State | AUM ($B) |
|---|---|---|
|
Spectrum Asset Management Inc
✚
|
CT | 19.7 |
|
Needelman Asset Management Inc
✚
|
CA | 0.0 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Fund Evaluation Group LLC
✚
|
OH | 20.6 |
|
Xponance Inc
✚
|
PA | 20.5 |
|
Belle Haven Investments LP
✚
|
NY | 20.4 |
|
Highland Associates Inc
✚
|
AL | 20.1 |
|
Burgundy Asset Management Ltd
✚
|
19.8 | |
|
Stonehage Fleming Investment Management Limited
✚
|
19.5 | |
|
Templeton Global Advisors Limited
✚
|
19.4 | |
|
Brown Advisory Ltd
✚
|
19.4 | |
|
CSOP Asset Management Limited
✚
|
18.9 | |
|
Lincoln Investment Planning LLC
✚
|
PA | 18.9 |