Spectrum Financial Inc

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Spectrum Financial Inc ✚
CRD #	105618
SEC #	801-33311
CIK #	0001492240, 0001534843, 0001669542, 0000895516
AUM	236.5 M (2026-03-19)
Employees	9 (56% Investors, 22% Brokers)
Fees
Minimum
Phone	757-463-7600
Address	272 Bendix Road, Ste 600 Virginia Beach, VA 23452
Source	[IAPD] [EDGAR] [Website]

Total AUM ($M) Copy

CIK	Period
0001492240 0001534843 0001669542 0000895516	2022-09-30 2022-06-30 2022-03-31 2021-12-31 2021-09-30 2021-06-30 2021-03-31 2020-12-31 2020-09-30 2020-06-30 2020-03-31 2019-12-31 2019-09-30 2019-06-30 2019-03-31 2018-12-31 2018-09-30 2018-06-30 2018-03-31 2017-12-31 2017-09-30 2017-06-30 2017-03-31 2016-12-31 2016-09-30 2016-06-30 2016-03-31 2015-12-31 2015-09-30 2015-06-30 2015-03-31 2014-12-31 2014-09-30 2014-06-30 2014-03-31 2013-12-31

CIK

Period

0001492240 0001534843 0001669542 0000895516

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
	Visa Inc	6.7
	Lockheed Martin Corp	6.5
	Lilly Eli & Co	6.3
	Broadcom Inc	6.0
	Accenture PLC	5.7
	Alphabet Inc	5.3















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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]

Form 13D/13G Filer	Form 13D/13G Subject	Filed
Kamin Peter H	Spectrum Group International Inc	[2014-04-17]
Bank of America Corp /DE/	Spectrum Group International Inc	[2014-02-19]
Spectrum Group Management LLC	YRC Worldwide Inc	[2014-02-14]
Spectrum Group Management LLC	Affinity Gaming	[2013-06-06]
Spectrum Group Management LLC	Affinity Gaming	[2013-02-13]
		[2012-10-05]
		[2012-10-05]
Roberts Gregory N	Spectrum Group International Inc	[2012-10-05]

Firm Profile (Form ADV)
Discretionary AUM	$0.3B
Serves	Institutional, Retail

Form 3/4/5 Subject	2011 - 2026
Affinity Gaming
Spectrum Group Management LLC
Schaffer Jeffrey A
Spectrum Group International Inc
Arenas Antonio
Roberts Gregory N
Meltzer Carol
Benjamin Jeffrey D
Richardson William A
Montgomery William
View All

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

Spectrum Financial Inc

Assets, Funds, Holdings