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Spectrum Asset Management Inc

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Total assets under management

$640,063,728

More info

Total clients

305

41% high-net worth

Total advisors

9

of 11 employees

Firm size

Team

4-10 advisors or $500M+ in AUM

Average clients per advisor

34

Average account size

$2,098,570

Client services

Financial planning Portfolio management Selection of other advisers Newsletters or periodicals

Fee options

Percentage

$0 - $750,000: 1.65% Maximum (Emerging Wealth Management) $750,001 - $5,000,000: 1.00% (Emerging Wealth Management) $5,000,001 - $10,000,000: 0.60% (Emerging Wealth Management) $10,000,001+: 0.40% (Emerging Wealth Management) $0 - $5,000,000: 1.00% first $5,000,000 (Equity & Balanced/Investment Consulting Services) $5,000,001 - $10,000,000: 0.60% next $5,000,000 (Equity & Balanced/Investment Consulting Services) $10,000,001+: 0.40% above $10,000,000 (Equity & Balanced/Investment Consulting Services) $0 - $1,000,000: 0.60% first $1,000,000 (Fixed Income and Fixed Income Plus) $1,000,001 - $8,000,000: 0.40% next $7,000,000 (Fixed Income and Fixed Income Plus) $8,000,001 - $25,000,000: 0.25% next $17,000,000 (Fixed Income and Fixed Income Plus) $25,000,001+: 0.20% above $25,000,000 (Fixed Income and Fixed Income Plus) $0 - $3,000,000: 0.30% first $3,000,000 (Cash Management) $3,000,001 - $10,000,000: 0.20% next $7,000,000 (Cash Management) $10,000,001+: 0.15% above $10,000,000 (Cash Management)

Project-based

Financial planning fees are agreed upon prior to contract; may charge additional fees for extraordinary planning or consultation services

Other

Account minimum: $1,000,000 generally encouraged minimum asset level Fee-only: Fee-only basis for discretionary investment advisory services

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Main office location

Spectrum Asset Management Inc

1301 Dove Street, Suite 720

Newport Beach CA 92660-2453, United States

Number of offices

3

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Website 949-717-3400

Advisors at this firm

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Ryan K

Series 65

Newport Beach, CA

Spectrum Asset Management Inc
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Lisa S

CFP®, Series 63, Series 65

Gunter, TX

Spectrum Asset Management Inc
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Michael O

CFP®, Series 63

Paia,, HI

Spectrum Asset Management Inc
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Nancy H

CFP®

Newport Beach, CA

Spectrum Asset Management Inc
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Mitchel N

CFA®

Newport Beach, CA

Spectrum Asset Management Inc
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Ty N

Series 65

Newport Beach, CA

Spectrum Asset Management Inc
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Tony J

Series 63, Series 65

Newport Beach, CA

Spectrum Asset Management Inc
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Garrett P

Series 65, Series 66

Newport Beach, CA

Spectrum Asset Management Inc
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