Spectrum Asset Management, INC.

Public-record details

Address

2 High Ridge Park, Stamford, CT 06905

Phone

(203) 322-0189

Listed under

% of assets managed

CRD number

300463

Registration

SEC registered since 1987-09-28

Compensation (Form ADV 5.E)

Percentage of assets under management

Commissions

None reported (Form ADV Item 5.E)

Services (Form ADV 5.G)

Portfolio management for individuals/small businesses

Regulatory assets under management

$18.3 billion

Accounts managed

74

Clients reported (Form ADV 5.D)

74

Individual / high-net-worth clients

0 / 1

Employees

27

Other business activities (Form ADV 6.A)

None reported

Disclosures reported on Form ADV

Yes — see IAPD for details

Latest Form ADV filing

2026-08-05

SEC registered investment adviser, CRD 300463, per the SEC IAPD compilation report of 2026-09-29. Source: SEC Investment Adviser Public Disclosure (IAPD) (record). Data as of 2026-09-30.

Read the official record

• SEC IAPD summary for CRD 300463 — registration, Form ADV, the Part 2 brochure (fees, conflicts, minimums), and details of the disclosures reported on Form ADV.
• FINRA BrokerCheck — look up the individual advisers at this firm.
• Firm website (as listed on Form ADV)

Figures are what the firm reported on Form ADV Part 1A. “No commissions reported” means the firm did not check commissions as a form of compensation in Item 5.E; check Item 6.A activities and the Part 2 brochure for other conflicts. A “Yes” for disclosures is a public-record fact from Form ADV Item 11; it can relate to the firm or its advisory affiliates, can be old, and does not by itself describe the outcome. We do not rate or rank advisers.