Asset manager · Stamford, CT
Spectrum Asset Management, Inc.
SEC-registered investment adviser · CRD 300463 · SEC 801-30405
At a glance
Spectrum Asset Management, Inc. is an SEC-registered investment adviser based in Stamford, Connecticut, with $18.3 billion in regulatory assets under management as of its Form ADV filed August 5, 2026. Its largest client group by assets is investment companies, and it reports 1 individual clients. By Form ADV it is a asset manager, ranked 384th of 3,218 asset managers and 922nd of 17,210 SEC-registered advisers by assets.
Main office 203-322-0189samipfd.comAs filed on Form ADV
- Regulatory AUM
- $18B
- Rank among asset managers
- #384 of 3,218
- Rank among all SEC RIAs
- #922 of 17,210
- Rank in Connecticut
- #38 of 507
- Individual clients
- 1
- High-net-worth clients
- 1
- Accounts
- 74
- Discretionary
- 76% of AUM
- Employees
- 27
- Advisory staff
- 14
- Offices
- 4
Owners and executives on its Form ADV
- Joseph A. HanczorManaging Director & Chief Compliance Officer
- Mark A. LiebPresident & Chief Executive Officer
- Lewis P. JacobyExecutive Director & Chief Investment Officer
- Jean M. OrlandoFinancial Operations Principal & Chief Financial Officer
- Matthew R. ByerExecutive Director & Chief Operating Officer
Custody and brokerage
3 custodians
- Merrill / Bank of America$1.6B47%
- Morgan Stanley$1.1B33%
- Universal - Investment Gesellschaft MBH$697M21%
Other RIAs using Merrill / Bank of AmericaOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
Spectrum Asset Management, Inc. is a hybrid RIA: 20 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Principal Funds Distributor, Inc., Principal Securities, Inc. and Sami Brokerage LLC.
- Principal Funds Distributor, Inc. ↗CRD 43261
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- Principal Securities, Inc. ↗CRD 1137
- Sami Brokerage LLC ↗CRD 18217
An introducing broker-dealer: its trades clear through National Financial Services (Fidelity), which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 7 | $8.1B | 44% |
| Corporations or other businesses | 50 | $5.4B | 30% |
| Pooled investment vehicles | 10 | $4.3B | 24% |
| Insurance companies | 6 | $485M | 3% |
| High-net-worth individuals | 1 | $5M | <1% |
Private funds
Spectrum Asset Management, Inc. reports 1 private funds with $33M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Spectrum Asset Management, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗samipfd.com ↗
AtlasMembers
The full record on Spectrum Asset Management, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 6 years of filings
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- Growth over one, three and five years
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- Rank against 428 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Spectrum Asset Management, Inc. manage?
Spectrum Asset Management, Inc. reports $18.3 billion in regulatory assets under management across 74 accounts, 76% of it on a discretionary basis, on its Form ADV filed August 5, 2026.
What kind of firm is Spectrum Asset Management, Inc.?
Spectrum Asset Management, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Spectrum Asset Management, Inc.’s clients?
By assets, its largest client types are investment companies ($8.1 billion, 7 clients); corporations or other businesses ($5.4 billion, 50 clients); pooled investment vehicles ($4.3 billion, 10 clients).
Does Spectrum Asset Management, Inc. manage private funds?
Yes. It reports 1 private funds with $33 million in gross assets, including other private funds.
Does Spectrum Asset Management, Inc. have any disciplinary history?
Spectrum Asset Management, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Spectrum Asset Management, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-05), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →