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Spectrum Asset Management

Spectrum Asset Management is an investment advisor in Newport Beach with $571.28M assets under management.

Company profile

Employees
Incorporated
Location
Fiscal year end
SEC CIK
IRS number
330171752
SEC advisor number
801-30377
FINRA CRD number
111007
AUM ?
$571.28M (as of 31 Mar 21)
Accounts
932 (as of 31 Mar 21)
Employees
12 (9 investment advisory or research)
Address
Spectrum Asset Management
1301 DOVE STREET, SUITE 970
NEWPORT BEACH
CA 92660
Office hours
Monday - Friday, 7:30AM-4:00PM
Phone
949-717-3400
Owner Title From %Ownership
Kelly, Roland, Duane Chairman of Spectrum Asset Management & Trustee of Kelly Family Trust DTD 08/28/1984 01/1990 < 5%
Kelly, Ryan, Lee Chief Executive Officer of Spectrum Asset Management & Trustee of Ryan Lee Kelly Separate Property Trust DTD 01/11/2006 12/1999 < 5%
Kelly, Marc, Duane Shareholder 06/1990 5-10%
Jung, Tony, Kyuwhan Chief Compliance Officer & Chief Operating Officer 01/2013 < 5%
Kelly Family Trust DTD 08/28/1984 Shareholder 01/1990 10-25%
Ryan Lee Kelly Separate Property Trust DTD 01/11/2006 Shareholder 01/2006 > 75%

Investment data

Data from SEC filings
Regulatory AUM / Assets Under Management
Number of accounts
Number of employees
Top 50 of 115 long holdings
End of quarter 30 Sep 21
Value
 
#Shares
 
Prev Q
 
Change
%, QoQ
$28.18M 341.94K 296.8K +15.2
$21.31M 315.73K 324.11K -2.6
$17.73M 333.06K 245.97K +35.4
$17.2M 648.27K 509.11K +27.3
$15.92M 298.75K NEW
$12.18M 82.26K 99.11K -17.0
$11.09M 112.61K 62.41K +80.4
$9.49M 89.17K 63.53K +40.4
$8.62M 169.51K 161.24K +5.1
$7.79M 71.31K 70.23K +1.5
$7.01M 181.04K 230.82K -21.6
$6.2M 205.77K 169.78K +21.2
$6.03M 67.45K 62.23K +8.4
$5.9M 20.35K 24.66K -17.5
$5.32M 52.43K 53.42K -1.8
$5.28M 67.33K 52.07K +29.3
$5.05M 17.93K 19.87K -9.8
$4.65M 89.35K 96.29K -7.2
$4.51M 61.88K 62.03K -0.2
$4.16M 13.01K 13.73K -5.3
$3.85M 115.13K 116.03K -0.8
$3.76M 17.69K 19.15K -7.6
$3.72M 63.31K 64.63K -2.0
$3.51M 27.45K NEW
$3.43M 27.33K 28.04K -2.5
$3.39M 17.28K 17.31K -0.1
$3.26M 59.89K 59.96K -0.1
$3.21M 27.95K 28.63K -2.4
$3.15M 11.55K 11.62K -0.6
$3.15M 36.11K 41.1K -12.2
$3.02M 8K 8.49K -5.8
$2.99M 27.74K 27.86K -0.4
$2.78M 52.15K 52.04K +0.2
$2.74M 21.64K 21.62K +0.1
$2.71M 27.79K 27.79K 0
$2.61M 10.83K 10.88K -0.5
$2.61M 18.45K 18.78K -1.7
$2.6M 18.77K 19.34K -2.9
$2.56M 24.66K 33.58K -26.6
$2.49M 46.18K 46.38K -0.4
$2.48M 17.82K 23.87K -25.3
$2.47M 26.2K 38.08K -31.2
$2.41M 8.1K 8.31K -2.5
$2.37M 18.34K 18.38K -0.2
$2.32M 138.48K 138.8K -0.2
$2.2M 28.46K 32.4K -12.2
$2.12M 42.33K 52.05K -18.7
$2.1M 17.8K 19.13K -7.0
$1.76M 17.92K 17.92K 0
$1.54M 30.21K 48.2K -37.3
Holdings list only includes long positions. Only includes long positions.

Calendar

2 Dec 21
31 Dec 21

Financial reports

No filings

Current reports

No filings

Registration and prospectus

No filings

Proxies

No filings

Other

No filings