Spectrum Asset Management Inc

RIASEC Registered

Total AUM

$657M

Discretionary

$657M

100% of AUM

Avg account

$705K

Accounts

932

Employees

Advisory reps

Firm details

Headquarters: Newport Beach, California
CRD number: 111007
Registered since: September 4, 1987
Website: myspectrum.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI72.45%
Individuals14.62%
Insurance Companies9.93%
Charitable Organizations1.87%
Pension & Profit Sharing Plans1%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersPublication of Periodicals

Firm profile

FINTRX

Overview

Spectrum Asset Management Inc is an independent registered investment adviser that has been SEC-registered since 1987. The firm is organized as a domestic corporation with individual ownership and describes itself as a capital allocator that serves both individual and family clients as well as institutional accounts. Its fee arrangements include assets-under-management pricing alongside hourly and fixed-fee engagements. Advisory capabilities span financial planning and discretionary portfolio management for individuals, small businesses and institutional clients. Spectrum also performs manager selection on behalf of clients and publishes periodic investment commentary. The firm does not identify as an active ESG investor.