Investment adviser · CRD 300463

SPECTRUM ASSET MANAGEMENT, INC.

Investment adviser filing (IA)

STAMFORD, CT, United States · Form ADV filed Aug 5, 2026

Regulatory AUM: $18.3B
Client accounts: 74
Employees: 27
Advisory professionals: 14

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	7	$8,083,367,608	44.2%
Corporations & businesses	50	$5,415,300,221	29.6%
Pooled investment vehicles	10	$4,307,704,040	23.5%
Insurance companies	6	$485,455,288	2.7%
High-net-worth individuals	Fewer than 5	$4,524,455	0.0%

Filing source

Form ADV 2123986 · Aug 5, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

SPECTRUM CAPITAL SECURITIES INSTITUTIONAL FUND LLCOther Private Fund · Last reported Aug 5, 2026$33.3MGross asset value

Form D fundraising filings

Spectrum Capital Securities Institutional Fund, LLC

Fund administrator APEX GROUP LTD. HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor COHEN & COMPANY, LTD. CLEVELAND, Ohio, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHEN & COMPANY, LTD.
PCAOB 925

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

Fund details & source

Fund ID: 805-6304244998
Reported beneficial owners: 9
Minimum commitment: $1M
Form D file number: 021-330041

Form ADV 2123986 · Aug 5, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Aug 5, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets

Principal office

2 HIGH RIDGE PARK
STAMFORD, CT, 06905, United States

CRD 300463

Filing source

Form ADV 2123986 · Aug 5, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.