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SPECTRUM ADVISORS, INC.
CRD 114805File 801-126099
APPROVED
Retail clients
Disclosure events
Filing as of Sep 2, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$160.0M
Bottom 25% of cohort (national)
Discretionary AUM
$160.0M
Clients
308
890 accounts
Employees
9
Bottom 25% of cohort in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jul 15, 2022
- Principal office
- 2805 DALLAS PARKWAY, STE 200, PLANO, TX, 75093
- Phone
- 972-931-3700
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $160.0M
- Discretionary AUM
- $160.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 890
- Non-discretionary accounts
- 0
- Total accounts
- 890
- AUM per client
- $519K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 38 | $86.0M |
| Individuals (other than high net worth individuals) | 270 | $74.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 340 | 308 | decreased by32 |
| Apr 1, 2026 | AUM | $149,000,000 | $160,000,000 | increased by$11,000,000 |
| Apr 1, 2026 | Accounts | 870 | 890 | increased by20 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 9 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 278 | 340 | increased by62 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $110,000,000 | $149,000,000 | increased by$39,000,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 630 | 870 | increased by240 |
| Aug 1, 2022 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SPECTRUM ADVISORS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SPECTRUM ADVISORS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.