SEC-Registered Investment Adviser
Spectrum Asset Management, INC.
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated August 5, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- September 28, 1987
- Principal office
- 2 High Ridge Park, Stamford, CT 06905
- Organized as
- Corporation, CT
- Fiscal year end
- December
- Other offices
- 3
- Website
- HTTPS://WWW.SAMIPFD.COM
Scale
- Regulatory AUM
- $18.3B
- Discretionary / non-discretionary
- $13.9B / $4.4B
- Attributable to non-US clients
- $5.6B
- Accounts
- 74
- Clients
- 0
- Employees
- 27, 14 in advisory roles
- Private funds advised
- 1
- Private fund gross assets
- $33.3M
- Fund types
- 1 other private funds
- Funds with Form D records
- 1 issuer in AltStreet's ledger, $252.1M reported sold across them
- Client assets in custody
- $33.3M (1 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients
- Compensated by
- a percentage of assets under management
- Client types
- high net worth individuals (1); investment companies (7); pooled investment vehicles (10); insurance companies (6); corporations or other businesses (50)
- Related persons include
- a broker-dealer, another investment adviser, a commodity pool operator or commodity trading advisor, a banking or thrift institution, a trust company, an insurance company or agency, a pension consultant, a sponsor or syndicator of limited partnerships and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 2 broker-dealers, 17 investment advisers
- Wrap fee program
- Sponsors or manages a wrap fee program
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a violation (Item 11D(2))
- other regulator order, denial, suspension or revocation (Item 11D(4))
Form D activity of the funds this firm advises, by year
1 issuer in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from January 9, 2019 to January 22, 2026. 1 offering is still raising on the latest filing. Reported sold across them: $252.1M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.
| First notice | Offerings | Reported sold | Investors |
|---|---|---|---|
| 2019 | 1 | $252.1M | 14 |
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.