Spectrum Asset Management, Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Stamford, CT. Its latest Form ADV filing, dated March 20, 2026, reports $18.3B in regulatory assets under management, 27 employees, 3 offices, and 74 accounts.
Portfolio management for individuals and small businesses
Portfolio management for investment companies
Fee models offered
1 types reported
Asset based fees
Sources checked May 17, 2026
Client Coverage Demographics
Top client segmentCorporations represent 67.6% of total clients.
Top client categories% of clientsClients
1
Corporations
67.6%
50
2
Pooled Investment Vehicles
13.5%
10
3
Investment Cos.
9.5%
7
4
Insurance Cos.
8.1%
6
5
HNWI
1.4%
1
Categories with <5 clients
High net worth individuals (HNWI)<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$18.3Bas of March 20, 2026
Discretionary76.0%
$13.9B
76% of total RAUM76.0%
Non-discretionary24.0%
$4.4B
24% of total RAUM24.0%
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.
Total AUM$18.3B
Total Accounts74
10Y AUM Change$-190M (-1.0%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees27
Clients per Employee3:1
10Y Employee Change+6 (+28.6%)
* 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.