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SPECTRUM ASSET MANAGEMENT, INC.
CRD 300463File 801-30405
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 5, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$18.30B
Top 10% of cohort (national)
Discretionary AUM
$13.91B
Non-discretionary $4.38B
Clients
74
74 accounts
Employees
27
Top 10% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Sep 28, 1987
- Principal office
- 2 HIGH RIDGE PARK, STAMFORD, CT, 06905
- Phone
- 203-322-0189
- Website
- HTTPS://WWW.SAMIPFD.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $18.30B
- Discretionary AUM
- $13.91B
- Non-discretionary AUM
- $4.38B
- Discretionary accounts
- 51
- Non-discretionary accounts
- 23
- Total accounts
- 74
- AUM per client
- $247.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 50 | $5.42B |
| Insurance companies | 6 | $485.5M |
| Investment companies | 7 | $8.08B |
| High net worth individuals | Fewer than 5 | $4.5M |
| Pooled investment vehicles | 10 | $4.31B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 26 | 27 | increased by1 |
| Apr 1, 2026 | Clients | 78 | 74 | decreased by4 |
| Apr 1, 2026 | AUM | $19,682,004,203 | $18,296,351,612 | decreased by$1,385,652,591 |
| Apr 1, 2026 | Accounts | 78 | 74 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 24 | 26 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $28,520,870,690 | $19,682,004,203 | decreased by$8,838,866,487 |
| Apr 1, 2022 | Employees | 22 | 24 | increased by2 |
| Apr 1, 2022 | Clients | 71 | 78 | increased by7 |
| Apr 1, 2022 | AUM | $27,121,705,847 | $28,520,870,690 | increased by$1,399,164,843 |
| Apr 1, 2022 | Accounts | 73 | 78 | increased by5 |
| Apr 1, 2021 | 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 ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SPECTRUM ASSET” 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.