SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Spectrum Asset Management Inc
Newport Beach, CA
CRD 111007
Firm filing updated March 18, 2026 ·
- $657.3MAssets
- 11Advisory staff
- 932Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals180
- High net worth individuals126
- Insurance companies9
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 180 | $96.1 million |
| High net worth individuals | 126 | $476.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $6.6 million |
| Charitable organizations | Fewer than 5 clients | $12.3 million |
| Insurance companies | 9 | $65.3 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $929,143 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 6 services
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Other: "ESTATE PLANNING SERVICES"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Other: "ESTATE PLANNING SERVICES"
Assets and accounts
- Regulatory assets$657.3 million
- Accounts932
- DiscretionaryAll accounts
People
- Employees12
- Advisory staff11
- Broker-dealer reps0
- Licensed insurance agents1
- Planning clients101 to 250
Advisors
4 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 111007, SEC file 801-30377.
- Registered with the SEC as an investment advisor (status date on record: September 4, 1987).
Is Spectrum Asset Management Inc a fiduciary?
Short answer: Spectrum Asset Management Inc is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
1 staff member is a licensed insurance agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.