Spectrum Asset Management, Inc.

RIASEC RegisteredEst. 1987

Total AUM

$18.3B

Discretionary

$13.9B

76% of AUM

Avg account

$247M

Accounts

Employees

Advisory reps

Firm details

Headquarters: Stamford, Connecticut
CRD number: 300463
Registered since: September 28, 1987
Website: www.samipfd.com
Custodians: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, MORGAN STANLEY & CO. LLC, UNIVERSAL - INVESTMENT GESELLSCHAFT MBH
Fee structure: Percentage of AUM
Client types: Investment Companies44.18%
Corporations / Businesses29.6%
Pooled Investment Vehicles23.54%
Insurance Companies2.65%
HNWI0.02%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Spectrum Asset Management, Inc. is a SEC-registered corporate RIA that traces its registration to 1987. The firm advises both individual/family clients and institutional accounts, offering portfolio management across individual and small-business accounts, investment companies, pooled investment vehicles, and business or institutional portfolios. Its fee model is percentage-of-AUM. Spectrum flags itself as an active ESG investor. Beyond advisory work, the firm maintains a range of industry roles and affiliations, including broker-dealer activities, CPO/CTA connections, relationships with banking/thrift and trust companies, insurance company links, and involvement as sponsor or GP of pooled investment vehicles. The firm is not designated a multistate adviser in the filings.