Spectrum Asset Management, Inc.
Registered investment adviser · Stamford, CT · CRD #300463
Form ADV data as of 2026-09-01Regulatory assets
$18.30 billion
Total accounts
74
Employees
27
Disclosure events
2
Firm details
- Website: https://www.samipfd.com
- Telephone: 203-322-0189
- SEC file number: 801-30405
- Most recent Form ADV filing: 2026-08-05
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $13.91 billion |
| Non-discretionary regulatory assets under management | $4.38 billion |
| Total regulatory assets under management | $18.30 billion |
| Discretionary accounts | 51 |
| Non-discretionary accounts | 23 |
| Total accounts | 74 |
| Regulatory assets under management attributable to non-U.S. persons | $5.59 billion |
People
| Total employees (excluding clerical) | 27 |
| Employees performing investment advisory functions (including research) | 14 |
| Employees who are registered representatives of a broker-dealer | 20 |
| Employees registered as investment adviser representatives with a state | 3 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $33.3 million |
| Clients for whom the firm has custody | 1 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| Client funds and securities held in a related person's custody | $0 |
| Clients for whom a related person has custody | 0 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Executes agency cross transactions involving advisory client securities
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| High net worth individuals | 1 | $4.5 million |
| Investment companies | 7 | $8.08 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 10 | $4.31 billion |
| Insurance companies | 6 | $485.5 million |
| Corporations or other businesses not listed above | 50 | $5.42 billion |