SPECTRUM ASSET MANAGEMENT, INC.

Latest filing: Apr 19, 2024 (365 days ago)
View on IAPD
Adviser Website

AUM

$19,017,299,092
0% change vs. 1 year ago
-33% change vs. 3 years ago
-18% change vs. 5 years ago
0% change vs. 10 years ago

Employee Count

25
0% change vs. 1 year ago
4% change vs. 3 years ago
14% change vs. 5 years ago
0% change vs. 10 years ago

Main Office

STAMFORD, CT
2 HIGH RIDGE PARK, STAMFORD, CT, UNITED STATES, 06905

Client AUM

Discretion AUM
Discretionary $14.6
Non-Discretionary $4.5
Total $19.0
Client AUM
Retail $0.0
Pooled $12.4
Institutional $6.6
Total $19.0
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 1 $0.0
Average HNW AUM $5,223,596
Retail Total 1 $0.0
Average Retail AUM $5,223,596

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $6.6
Retail SMA AUM $0.0
Institutional SMA AUM $6.6
Asset Class % AUM
Equity Exch 0% $0.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 86% $5.7
HY Credit 8% $0.5
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 6% $0.4
Other 0% $0.0
Total 100% $6.6

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
PRINCIPAL GLOBAL INVESTORS, LLC $377.2 109002
PRINCIPAL REAL ESTATE INVESTORS, LLC $93.9 109008
POST ADVISORY GROUP, LLC $16.7 108860
PRINCIPAL SECURITIES, INC. $12.1 broker-dealer 1137
ORIGIN ASSET MANAGEMENT LLP $4.6 139897
PRINCIPAL ADVISED SERVICES, LLC $0.6 297324
PRINCIPAL GLOBAL INVESTORS TRUST COMPANY $0.0 trust company -
PRINCIPAL GLOBAL INVESTORS (IRELAND), LTD $0.0 -
DELAWARE CHARTER GUARANTEE & TRUST COMPANY D/B/A PRINCIPAL TRUST COMPANY $0.0 trust company -
PRINCIPAL GLOBAL INVESTORS (SINGAPORE), LTD $0.0 -
PRINCIPAL REAL ESTATE SPEZIALFONDSGESELLSCHAFT MBH $0.0 -
PRINCIPAL REAL ESTATE S.À R.L. $0.0 -
PRINCIPAL GLOBAL INVESTORS (JAPAN), LTD $0.0 -
PRINCIPAL LIFE INSURANCE COMPANY $0.0 trust company -
PRINCIPAL GLOBAL INVESTORS (EUROPE), LTD $0.0 -
PRINCIPAL GLOBAL INVESTORS (AUSTRALIA), LTD $0.0 -
PRINCIPAL FUNDS DISTRIBUTOR, INC. $0.0 broker-dealer 43261
PRINCIPAL REAL ESTATE KAPITALVERWALTUNGSGESELLSCHAFT MBH $0.0 -
PRINCIPAL BANK $0.0 -
PRINCIPAL GLOBAL INVESTORS (SWITZERLAND) GMBH $0.0 -
SAMI BROKERAGE LLC $0.0 broker-dealer 18217
PRINCIPAL REAL ESTATE LIMITED $0.0 -
PRINCIPAL REAL ESTATE SAS $0.0 -
PRINCIPAL GLOBAL INVESTORS (EU) LIMITED $0.0 -
CLARITAS INVESTMENTS LTD. $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

9 active

Name Title
LIEB, MARK, ALAN PRESIDENT & CHIEF EXECUTIVE OFFICER
JACOBY, LEWIS, PHILLIP EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER
URCIUOLI, JOSEPH, JOHN EXECUTIVE DIRECTOR & HEAD OF RESEARCH
ORLANDO, JEAN, MARIE FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER
HANCZOR, JOSEPH, ANDREW MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER
BYER, MATTHEW, ROSS EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

3 active representatives found

Name City State Exams Designations
STEVEN SOLMONSON STAMFORD CT S63|1997-02-24|S66|2012-06-19
KEVIN NUGENT STAMFORD CT S63|1993-02-09|S65|2010-06-08
MATTHEW BYER STAMFORD CT S63|2008-01-09|S65|2008-06-12

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-03-06 $19.0 $0.0 0% 25 0 0%
2024-04-02 $19.0 $0.0 0% 25 0 0%
2023-04-04 $21.4 -$2.4 -11% 24 1 4%
2022-04-01 $28.5 -$9.5 -33% 24 1 4%
2021-04-05 $27.1 -$8.1 -30% 22 3 14%
2020-04-01 $23.1 -$4.0 -18% 22 3 14%
2019-04-01 $18.5 $0.5 3% 21 4 19%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
CT, AK-04/13/2006, AL-04/12/2006, AR-04/17/2006, AZ-04/12/2006, CA-04/08/1998, CO-08/17/2006, CT-09/18/1997, DC-04/12/2006, DE-04/18/2006, FL-06/01/1988, GA-04/12/2006, HI-04/12/2006, IA-02/14/2005, ID-04/12/2006, IL-04/13/2006, IN-04/12/2006, KS-04/12/2006, KY-04/12/2006, LA-04/20/2006, MA-04/12/2006, MD-04/12/2006, ME-04/12/2006, MI-04/12/2006, MN-04/24/2006, MO-04/12/2006, MS-04/12/2006, MT-04/12/2006, NC-04/12/2006, ND-04/12/2006, NE-04/12/2006, NH-04/12/2006, NJ-10/14/1997, NM-04/12/2006, NV-04/12/2006, NY-03/26/2003, OH-02/10/2005, OK-04/12/2006, OR-04/12/2006, PA-04/12/2006, PR-04/12/2006, RI-04/12/2006, SC-04/12/2006, SD-04/18/2006, TN-04/13/2006, TX-01/02/1988, UT-04/12/2006, VA-04/12/2006, VT-04/12/2006, WA-04/12/2006, WI-04/12/2006, WV-04/12/2006, WY-08/03/2017
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (RIC)
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV