Spectrum Asset Management, Inc.

RIASEC Registered

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 an institutional registered investment adviser that has been SEC registered since 1987. The firm manages portfolios for a mix of individual and family clients as well as institutional investors, charging fees based on a percentage of assets under management. Advisory capabilities span separately managed accounts, investment company management, pooled vehicles and institutional portfolios. Spectrum reports being an active ESG investor and maintains a variety of industry relationships, including broker-dealer, trust company, banking and insurance affiliations, and roles as sponsor or manager of pooled vehicles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

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

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

ETF holdings

1 of 2

Active vs passive

$71.1M in ETFs

Passive

45%

$32.3M

Active

55%

$38.8M

ETF	Style	Category	Value	Shares	% of portfolio
PRINCIPAL SPECTRUM PREFERRED AND INCOME ETF (FORMERLY PRINCIPAL SPECTRUM TAX-ADVANTAGED DIVIDEND ACTIVE ETF) (PQDI)	Active	Preferred Stock	$38.8M	2,080,000	54.62%