SPECTRUM ASSET MANAGEMENT, INC.
|
|
SPECTRUM ASSET MANAGEMENT, INC.
(CRD# 18217)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Stamford, CT.
The SEC approved the firm to operate as an RIA in
Sep 1987.
In
Dec 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$23.6 Billion,
with discretion over
83%
of those assets.
Pooled investment vehicles (Private Funds) account for
27%
of RAUM.
Non-US investors represent
30%
.
|
|
SPECTRUM ASSET MANAGEMENT, INC.
also reported in
Dec 2018
-
21
employees,
with
10
performing advisory functions.
-
No registrations with foreign financial regulatory authorities.
-
Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
SPECTRUM ASSET MANAGEMENT, INC. has no disclosure events reported to the SEC at this time.
|
|
|
|
|
|
|
|
|
|
SPECTRUM ASSET MANAGEMENT, INC. has Notice Filings with the following State Securities Authorities: AK-Apr 2006, AL-Apr 2006, AR-Apr 2006, AZ-Apr 2006, CA-Apr 1998
, CO-Aug 2006, CT-Sep 1997, DC-Apr 2006, DE-Apr 2006, FL-Jun 1988
, GA-Apr 2006, HI-Apr 2006, IA-Feb 2005, ID-Apr 2006, IL-Apr 2006
, IN-Apr 2006, KS-Apr 2006, KY-Apr 2006, LA-Apr 2006, MA-Apr 2006
, MD-Apr 2006, ME-Apr 2006, MI-Apr 2006, MN-Apr 2006, MO-Apr 2006
, MS-Apr 2006, MT-Apr 2006, NC-Apr 2006, ND-Apr 2006, NE-Apr 2006
, NH-Apr 2006, NJ-Oct 1997, NM-Apr 2006, NV-Apr 2006, NY-Mar 2003
, OH-Feb 2005, OK-Apr 2006, OR-Apr 2006, PA-Apr 2006, PR-Apr 2006
, RI-Apr 2006, SC-Apr 2006, SD-Apr 2006, TN-Apr 2006, TX-Jan 1988
, UT-Apr 2006, VA-Apr 2006, VT-Apr 2006, WA-Apr 2006, WI-Apr 2006
, WV-Apr 2006, WY-Aug 2017
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
