RIA Intel›Advisers›Connecticut›SPECTRUM ASSET MANAGEMENT, INC.

SPECTRUM ASSET MANAGEMENT, INC.

Advisory

N·STAMFORD, CT

Data as of Mar 20, 2026 · Source: SEC Form ADV

Total AUM

$18.3B

1-Year AUM Growth

-11.3%

3-Year CAGR

-10.9%

Employees

14

Assets Under Management

Total AUM$18.3B

Discretionary AUM$13.9B

Non-Discretionary AUM$4.4B

Discretionary %76%

Total Clients78

Team

Total Employees14

Investment Advisers27

Employee Growth (1Y)—

Filing History

Total Filings on Record22

First FilingFeb 7, 2019

Latest FilingMar 20, 2026

🔒 Full AUM trend chart and 22 historical filings spanning 7+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on SPECTRUM ASSET MANAGEMENT, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.