Spectrum Asset Management Inc

RIASEC RegisteredEst. 1987
Total AUM
$657M
Discretionary
$657M
100% of AUM
Avg account
$705K
Accounts
932
Employees
12
Advisory reps
10

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 a corporation operating as an independent registered investment adviser, SEC-registered since 1987. Ownership is reported as a mix of individual and domestic-entity interests. The firm is identified as a capital allocator and serves both individual & family clients and institutional clients. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements. Advisory services listed on the firm’s filings cover financial planning and portfolio management for individuals, small businesses, businesses and institutions. Spectrum also performs manager selection work for third-party advisers and publishes periodicals or newsletters. The firm is not classified as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 40%, US Government Bonds 34%, Exchange Traded Equities 18%, State & Local Bonds 6%, Investment Grade Corp Bonds 1%, Cash & Cash Equivalents 1%40%
  • Public Funds/Mutual Funds40%
  • US Government Bonds34%
  • Exchange Traded Equities18%
  • State & Local Bonds6%
  • Investment Grade Corp Bonds1%

Owners & executives

1 of 1
  • Ryan Kelly

    Ryan Kelly

    CEOCRD 4394440

Contacts

3 of 9
  • Lisa Sharp

    Lisa Sharp

    Vice President of Client RelationsCRD 2316376

  • Mitchel Needelman

    Mitchel Needelman

    Principal & Senior Portfolio ManagerCRD 4599154

  • Garrett Peterson

    Garrett Peterson

    Wealth AdvisorCRD 8175682

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 52

Active vs passive

$248M in ETFs

Passive

62%

$154M

Active

38%

$93.5M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO S&P 500 EQUAL WEIGHT ETF (RSP)InvescoPassiveLarge Blend$26.8M125,94110.81%
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Location

Primary office

Newport Beach, CA

Orange

Location

Newport Beach, CA

Headquartered in Newport Beach, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Orange
Address
1301 Dove St
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth