Spectrum Financial Management is an SEC registered investment adviser organized as a sole proprietorship with a primary office location in San Rafael, CA. Its latest Form ADV filing, dated March 27, 2026, reports $278M in regulatory assets under management, 4 employees, and 150 accounts.
Assets Under Management
$278M
Employees
4
Offices
--
Total Clients
150
Primary office
SAN RAFAEL, CA
899 NORTHGATE DRIVE, SUITE 305, SAN RAFAEL, CA, United States
Portfolio management for individuals and small businesses
Fee models offered
2 types reported
Asset based fees
Fixed fees
Sources checked May 15, 2026
Client Coverage Demographics
Top client segmentHNWI represent 62.0% of total clients.
Top client categories% of clientsClients
1
HNWI
62.0%
93
2
Individuals
38.0%
57
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$278Mas of March 27, 2026
Discretionary97.5%
$271M
97% of total RAUM97.5%
Non-discretionary2.5%
$7M
3% of total RAUM2.5%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Latest AUM$278M
Total Accounts150
10Y AUM Change+$151M (+118.3%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees4
Clients per Employee38:1
10Y Employee Change+2 (+100.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.