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SPECTRUM WEALTH MANAGEMENT, LLC

IRVINE, CA · CRD 135530 · IAPD ↗ · swmadvisors.com · 949-597-0101

$269.5MRegulatory AUM
3Advisory reps
3Employees
0Clients
1-10Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
January 2026 — SPECTRUM WEALTH MANAGEMENT, LLC (IRVINE, CA) left the SEC roster (was $269.5M RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
61
December 2025 — SPECTRUM WEALTH MANAGEMENT, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
December 2025 — SPECTRUM WEALTH MANAGEMENT, LLC began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
45
April 2025 — SPECTRUM WEALTH MANAGEMENT, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
25
March 2024 — SPECTRUM WEALTH MANAGEMENT, LLC changed its website from spectrumcapitalinvest.com to swmadvisors.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
55
March 2024 — SPECTRUM CAPITAL INVESTMENT GROUP, INC. is now doing business as SPECTRUM WEALTH MANAGEMENT, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
62
March 2024 — SPECTRUM WEALTH MANAGEMENT, LLC reported RAUM up 35% ($173.0M -> $234.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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