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| Spectrum Financial Inc
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|---|---|
| CRD # | 105618 |
| SEC # | 801-33311 |
| CIK # | 0001492240, 0001534843, 0001669542, 0000895516 |
| AUM | 236.5 M (2026-03-19) |
| Employees | 9 (56% Investors, 22% Brokers) |
| Phone | 757-463-7600 |
| Address | 272 Bendix Road, Ste 600 Virginia Beach, VA 23452 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Apple Inc | 18.1 | ||
| Microsoft Corp | 12.1 | ||
| Chevron Corp | 9.7 | ||
| International Business Machines Corp | 7.6 | ||
| UnitedHealth Group Inc | 7.5 | ||
| Home Depot Inc | 7.5 | ||
| United Parcel Service Inc | 7.3 | ||
| PepsiCo Inc | 7.3 | ||
| Target Corp | 7.1 | ||
| Dicks Sporting Goods Inc | 6.8 | ||
| View All | |||
| Holdings by Sector ($M) |
|---|
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 213 | 34.4 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 3 | 192.5 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 2 | 1.9 |
| (h) Charitable organizations | 9 | 2.7 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 4 | 4.9 |
| (n) Other | 3 | 0.1 |
| Total | 454 | 236.5 |
| By Discretionary | ||
| Discretionary | 454 | 236.5 |
| Non-Discretionary | 0 | 0.0 |
| Total | 454 | 236.5 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 236.5 | |
| Total | 454 | 236.5 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 10-K | [0000895516] | |
| 10-Q | [0000895516] | |
| 3 | [0000895516] | |
| 4 | [0000895516] | |
| 8-K | [0000895516] | |
| SC 13D | [0000895516] | |
| SC 13G | [0000895516] | |
| 3 | [0001492240] | |
| 4 | [0001492240] | |
| SC 13D | [0001492240] | |
| SC 13G | [0001492240] | |
| 13F-HR | [0001534843] | |
| D | [0001669542] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.3B |
| Serves | Institutional, Retail |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Affinity Gaming NONE
Common Stock, par value $0.001 per share
|
2015-07-09 | Buy | 13,649 | $12.50 | 170,612 |
|
Affinity Gaming NONE
Common Stock, par value $0.001 per share
|
2014-04-29 | Buy | 10,000 | $10.00 | 100,000 |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2013-03-18 | Sell | 47,603 | $2.00 | 95,206 |
|
Spectrum Group International Inc SPGZ.PK
Options to acquire common stock, par value $.01 per share · derivative
|
2013-02-15 | Grant | 300,000 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Options to acquire common stock, par value $.01 per share · derivative
|
2013-02-04 | Grant | 60,000 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-12-28 | Gift | 1,000,000 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-12-28 | Gift | 804,117 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-12-28 | Gift | 1,000,000 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-12-13 | Grant | 0 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-12-13 | Grant | 0 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Options to acquire common stock, par value $.01 per share · derivative
|
2012-10-25 | Grant | 500,000 | $2.00 | 1,000,000 |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-09-25 | Grant | 1,738,000 | $1.90 | 3,302,200 |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-09-25 | Grant | 2,490,755 | $1.90 | 4,732,434 |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-09-25 | Option exercise | 105,000 | $1.75 | 183,750 |
|
Spectrum Group International Inc SPGZ.PK
Common Stock, par value $.01 per share
|
2012-09-25 | Grant | 685,000 | $1.90 | 1,301,500 |
|
Spectrum Group International Inc SPGZ
Common Stock, par value $.01 per share
|
2012-08-16 | Grant | 19,792 | $0.00 | |
|
Spectrum Group International Inc SPGZ
Common Stock, par value $.01 per share
|
2012-08-16 | Grant | 19,792 | $0.00 | |
|
Spectrum Group International Inc SPGZ
Common Stock, par value $.01 per share
|
2012-08-16 | Grant | 19,792 | $0.00 | |
|
Spectrum Group International Inc SPGZ
Common Stock, par value $.01 per share
|
2012-08-16 | Grant | 19,792 | $0.00 | |
|
Spectrum Group International Inc SPGZ.PK
Options to acquire common stock, par value $.01 per share · derivative
|
2012-03-28 | Option exercise | 2,500 | $0.00 | |
| showing 20 of 21 most recent transactions | |||||
| Related Firms | State | AUM |
|---|---|---|
|
Spectrum Financial Inc
✚
|
VA | 236.5 M |
|
Hundredfold Advisors LLC
✚
|
VA | 148.2 M |
| Comparable Firms | State | AUM |
|---|---|---|
|
Cambridge Wealth Advisors LLC
✚
|
237.0 M | |
|
Clarity Wealth Management LLC
✚
|
AZ | 236.8 M |
|
Axiom Investment Management LLC
✚
|
NY | 236.8 M |
|
Your Private Client Group Inc
✚
|
236.7 M | |
|
Schamberger Greylak & Utterback Wealth Management LLC
✚
|
WI | 236.4 M |
|
Castle Wealth Planning LLC
✚
|
CA | 236.4 M |
|
Lanier Financial Group LLC
✚
|
GA | 236.2 M |
|
Millares Asset Management LLC
✚
|
FL | 236.2 M |
|
Ipsen Advisor Group LLC
✚
|
AR | 236.1 M |
|
Heritage Financial Counselors LLC
✚
|
NJ | 235.9 M |