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SPECTRUM ASSET MANAGEMENT INC

dba SPECTRUM ASSET MANAGEMENT INC · CRD 111007 · Registered Investment Adviser

SPECTRUM ASSET MANAGEMENT INC is a Registered Investment Adviser headquartered in NEWPORT BEACH, CA. The firm reports $657,266,993 in regulatory assets under management across 932 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$657,266,993
Non-discretionary$0
Total RAUM$657,266,993
Accounts932

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 111007. adviserinfo.sec.gov/firm/summary/111007.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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