Spectrum Asset Management is an investment advisor in Newport Beach with $644.84 mm assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
SEC CIK
IRS number
330171752
SEC advisor number
801-30377
FINRA CRD number
111007
AUM ?
$644.84 mm
(as of 23 Mar 22)
Accounts
909
(as of 23 Mar 22)
Employees
12
(9 investment advisory or research)
Address
Spectrum Asset Management
1301 DOVE STREET, SUITE 970
NEWPORT BEACH
CA 92660
1301 DOVE STREET, SUITE 970
NEWPORT BEACH
CA 92660
Office hours
Monday - Friday, 7:30AM-4:00PM
Phone
949-717-3400
Brochures
Ownership
| Owner | Title | From | %Ownership |
|---|---|---|---|
| Kelly, Roland, Duane | Chairman of Spectrum Asset Management & Trustee of Kelly Family Trust DTD 08/28/1984 | 01/1990 | < 5% |
| Kelly, Ryan, Lee | Chief Executive Officer of Spectrum Asset Management & Trustee of Ryan Lee Kelly Separate Property Trust DTD 01/11/2006 | 12/1999 | < 5% |
| Kelly, Marc, Duane | Shareholder | 06/1990 | 5-10% |
| Jung, Tony, Kyuwhan | Chief Compliance Officer & Chief Operating Officer | 01/2013 | < 5% |
| Kelly Family Trust DTD 08/28/1984 | Shareholder | 01/1990 | 10-25% |
| Ryan Lee Kelly Separate Property Trust DTD 01/11/2006 | Shareholder | 01/2006 | > 75% |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
26 Jan 23
13F-HR
Quarterly holdings report by institutional manager
25 Oct 22
13F-HR
Quarterly holdings report by institutional manager
14 Jul 22
13F-HR
Quarterly holdings report by institutional manager
28 Apr 22
13F-HR
Quarterly holdings report by institutional manager
14 Feb 22
13F-HR
Quarterly holdings report by institutional manager
12 Nov 21
13F-HR/A
Quarterly holdings report by institutional manager (amended)
10 Sep 21
13F-HR
Quarterly holdings report by institutional manager
11 Aug 21
13F-HR
Quarterly holdings report by institutional manager
11 May 21
13F-HR
Quarterly holdings report by institutional manager
20 Jan 21