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SPECTRUM ASSET MANAGEMENT INC
CRD 111007 · SEC 801-30377
1301 DOVE STREET, SUITE 720, NEWPORT BEACH, CA, 92660-2453, United States
Phone
949-717-3400
Fax
949-717-3410
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$657.3M
Discretionary AUM
$657.3M
Team
12 total employees; 11 advisory reps
Clients
101-250
Fees
Percentage of AUM; Hourly charges; Fixed fees
Org form
Corporation
Filing date
2026-03-18
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)Portfolio management (institutions)Selection of other advisersPublication of periodicalsESTATE PLANNING SERVICES
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 180 | $96.1M |
| High net worth individuals | 126 | $476.2M |
| Insurance companies | 9 | $65.3M |
States served
AZ, CA, CO, NV, OR, WA, TX, HI, FL
All web addresses on file
Official SEC filing: View on IAPD