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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.
  • One office location.
  • 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.
 

View SPECTRUM ASSET MANAGEMENT, INC.'s most recent Form ADV filing
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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.


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