|
⚲
|
| Keyboard |
| Spectrum Asset Management Inc
✚
|
|
|---|---|
| CRD # | 300463 |
| SEC # | 801-30405 |
| CIK # | 0001318293, 0001632078 |
| AUM | 18.30 B (2026-03-20) |
| Employees | 27 (52% Investors, 74% 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 | AUM |
|---|---|---|---|---|
| Other | Spectrum Capital Securities Institutional Fund LLC | [2019-03-11] | 252.1 M | 33.3 M |
| Filed 2026-01-22 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $500,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($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 | 8.1 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 10 | 4.3 |
| (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 | 0.5 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 50 | 5.4 |
| (n) Other | 0 | 0.0 |
| Total | 74 | 18.3 |
| By Discretionary | ||
| Discretionary | 51 | 13.9 |
| Non-Discretionary | 23 | 4.4 |
| Total | 74 | 18.3 |
| By Non-United States Persons | ||
| Non-United States Persons | 5.6 | |
| United States Persons | 12.7 | |
| Total | 74 | 18.3 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Spectrum Asset Management Inc | Promoter | 1 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001318293] | |
| SC 13G | [0001318293] | |
| 13F-HR | [0001632078] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $14.4B |
| Serves | Institutional, Retail |
| LEI | WARIMOO2Y13MJ7LNX31 |
| Related Firms | State | AUM |
|---|---|---|
|
Spectrum Asset Management Inc
✚
|
CT | 18.30 B |
|
Needelman Asset Management Inc
✚
|
CA |
| Comparable Firms | State | AUM |
|---|---|---|
|
Choreo LLC
✚
|
IL | 19.14 B |
|
Burgundy Asset Management Ltd
✚
|
19.09 B | |
|
Letko Brosseau & Associates Inc
✚
|
18.83 B | |
|
Comprehensive Financial Management LLC
✚
|
CA | 18.52 B |
|
Mercury Advisory LLC
✚
|
CA | 17.94 B |
|
We Family Offices LLC
✚
|
FL | 17.75 B |
|
F/m Investments LLC
✚
|
DC | 17.74 B |
|
Merganser Capital Management LLC
✚
|
MA | 17.66 B |
|
Envestnet Portfolio Solutions Inc
✚
|
PA | 17.35 B |
|
Capital Wealth Planning LLC
✚
|
FL | 17.25 B |