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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 Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.