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SPECTRUM ASSET MANAGEMENT INC

NEWPORT BEACH, CA · CRD 111007 · IAPD ↗ · myspectrum.com · 949-717-3400

$657.3MRegulatory AUM
11Advisory reps
12Employees
0Clients
101-250Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — SPECTRUM ASSET MANAGEMENT INC grew from 9 to 11 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
61
April 2025 — SPECTRUM ASSET MANAGEMENT INC reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.