Spectrum Asset Management Inc
● SEC registered since 1987CRD 111007SEC# 801-30377Newport Beach, CA
Reg. AUM
$657.3M
Employees
12
Accounts
932
Location
Newport Beach, CA
Spectrum Asset Management Inc assets under management
Spectrum Asset Management Inc is a registered investment adviser overseen by the SEC based in Newport Beach, CA. The firm has been registered since 1987. It reports $657.3 million in regulatory assets under management and employs 12 people.
Spectrum Asset Management Inc owners & executives
6 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Kelly Family Trust Dtd 08/28/1984 Control | Shareholder | 10-25% | 1990 |
| Marc Duane Kelly | Shareholder | 5-10% | 1990 |
| Roland Duane Kelly Control | Trustee Of Kelly Family Trust Dtd 08/28/1984 | Under 5% | 1990 |
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Join to unlock · $37/moFrequently asked questions
How much does Spectrum Asset Management Inc manage?
Spectrum Asset Management Inc reports $657.3 million in regulatory assets under management on its Form ADV.
How many employees does Spectrum Asset Management Inc have?
Spectrum Asset Management Inc reports 12 employees.
Where is Spectrum Asset Management Inc located?
Spectrum Asset Management Inc is based in Newport Beach, CA and has been SEC-registered since 1987.
Does Spectrum Asset Management Inc disclose fund performance?
Spectrum Asset Management Inc is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 1301 Dove Street, Suite 720, Newport Beach, CA 92660-2453 |
| Phone | 949-717-3400 |
| Fax | 949-717-3410 |
| Office hours | 7:30a.m.-4:00p.m. |
| SEC region | Los Angeles Regional Office (LARO) |
| CIK | 1632078 |
| Discloses disciplinary history | No |
Regulatory AUM
$657.3M▲ 3%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 42%
Larger than 58% of 16,271 advisers
EmployeesTop 35%
More than 65% of 16,825 advisers
Assets under management
$657.3Mregulatory AUM
Discretionary $657.3M