Spectrum Asset Management, Inc.

RIASEC Registered

Total AUM

$18.3B

Discretionary

$13.9B

76% of AUM

Avg account

$247M

Accounts

74

Employees

27

Advisory reps

8

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 an institutional registered investment adviser that has been SEC-registered since 1987. The firm serves both individual and family clients as well as institutional investors, charging fees based on a percentage of assets under management. Its advisory services span discretionary portfolio management for individuals, businesses, pooled vehicles and investment companies. Spectrum identifies as an active ESG investor and maintains a corporate ownership structure combining a domestic entity with individual ownership.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Investment Grade Corp Bonds93%
Non-Investment Grade Corp Bonds4%
Cash & Cash Equivalents3%

Owners & executives

3 of 4

Matthew Byer
Chief Operating OfficerCRD 3120607
Lewis Jacoby
Chief Investment OfficerCRD 1238147
Jean Orlando
Chief Financial OfficerCRD 1197909

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Contacts

3 of 4

Kevin Nugent
Vice President, Portfolio ManagerCRD 1555933
Steven Solmonson
Managing DirectorCRD 1367437
Mark Lieb
PresidentCRD 853490

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 2

Active vs passive

$64.5M in ETFs

Passive

100%

$64.5M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
INVESCO PREFERRED ETF (PGX)	Invesco	Passive	Preferred Stock	$53.7M	4,953,026	83.21%

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Primary office

Stamford, CT

Fairfield

Location

Stamford, CT

Headquartered in Stamford, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: Fairfield
Address: 2 High Ridge Park
Time zone: ET (UTC-5)
Office locations

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