Institutional Manager · CIK 0001632078
Spectrum Asset Management, Inc. (NB/CA)
NEWPORT BEACH, CA · File #028-16433
Latest AUM
$299.8M
Positions
119
Top-10 Concentration
45.2%
Filings
9
Portfolio Value Over Time
2024-03
2024-06
2024-09
2024-12
2025-03
2025-06
2025-09
2025-12
Biggest QoQ Changes
Ranked by conviction flow (share change × current price) so mark-to-market moves don't dominate. Price effect column shows how much of the $ change was just the stock moving.
| Action | Issuer | Ticker / CUSIP | Δ Shares | Flow ($) | Price Effect |
|---|---|---|---|---|---|
| NEW | SERIES PORTFOLIOS TR | 81752T486 | +545,921 | +$13.9M | $0 |
| REDUCE | MICROSOFT CORP | MSFT | -11,994 | -$5.8M | -$412,752 |
| NEW | FIRST TR EXCHNG TRADED FD VI | 33740U406 | +119,993 | +$5.4M | $0 |
| REDUCE | CISCO SYS INC | CSCO | -63,940 | -$4.9M | +$553,335 |
| REDUCE | EXXON MOBIL CORP | XOM | -40,828 | -$4.9M | +$310,967 |
| NEW | ETF OPPORTUNITIES TRUST | 26923Q747 | +177,524 | +$4.9M | $0 |
| REDUCE | CHEVRON CORP NEW | CVX | -31,434 | -$4.8M | -$90,599 |
| REDUCE | MEDTRONIC PLC | MDT | -40,657 | -$3.9M | +$33,537 |
| REDUCE | DUKE ENERGY CORP NEW | DUKB | -33,467 | -$3.9M | -$220,151 |
| ADD | SCHWAB STRATEGIC TR | 808524854 | +145,370 | +$3.6M | -$3,973 |
Sector Allocation
Filing History
- 13F HOLDINGS REPORTQ/E Dec 2025119 pos · $299.8M
- 13F HOLDINGS REPORTQ/E Sep 2025120 pos · $284.4M
- 13F HOLDINGS REPORTQ/E Jun 2025107 pos · $230.1M
- 13F HOLDINGS REPORTQ/E Mar 202593 pos · $225.1M
- 13F HOLDINGS REPORTQ/E Dec 2024104 pos · $222.6M
- 13F HOLDINGS REPORTQ/E Sep 2024106 pos · $236.4M
- 13F HOLDINGS REPORTQ/E Jun 2024104 pos · $216.2M
- 13F HOLDINGS REPORTQ/E Mar 2024115 pos · $233.2M
- 13F HOLDINGS REPORTQ/E Dec 2023103 pos · $190.4M
Top 20 Holdings — Dec 2025
| # | Issuer | Ticker | Shares | Value | % of Portfolio |
|---|---|---|---|---|---|
| 1 | VANGUARD BD INDEX FDS | 92203C303 | 452,395 | $22.5M | 8.28% |
| 2 | INVESCO EXCHANGE TRADED FD T | IVZ | 73,245 | $14.0M | 5.15% |
| 3 | SERIES PORTFOLIOS TR | 81752T486 | 545,921 | $13.9M | 5.12% |
| 4 | ISHARES GOLD TR | IAU | 168,524 | $13.7M | 5.03% |
| 5 | SCHWAB STRATEGIC TR | 808524409 | 408,908 | $12.1M | 4.45% |
| 6 | FIRST TR EXCHNG TRADED FD VI | 33740F680 | 259,689 | $11.7M | 4.28% |
| 7 | ISHARES TR | 46429B697 | 122,762 | $11.6M | 4.25% |
| 8 | FIRST TR EXCHNG TRADED FD VI | 33740F615 | 234,763 | $9.8M | 3.59% |
| 9 | SCHWAB STRATEGIC TR | 808524300 | 213,707 | $7.0M | 2.56% |
| 10 | FIRST TR EXCHNG TRADED FD VI | 33740F771 | 139,441 | $6.7M | 2.44% |
| 11 | FIRST TR EXCHNG TRADED FD VI | 33740F730 | 135,514 | $6.1M | 2.25% |
| 12 | VANGUARD INTL EQUITY INDEX F | 922042874 | 73,289 | $6.1M | 2.25% |
| 13 | ALPHABET INC | GOOG | 19,157 | $6.0M | 2.21% |
| 14 | MICROSOFT CORP | MSFT | 12,013 | $5.8M | 2.13% |
| 15 | VANGUARD WHITEHALL FDS | 921946794 | 63,263 | $5.7M | 2.09% |
| 16 | SCHWAB STRATEGIC TR | 808524854 | 224,809 | $5.6M | 2.07% |
| 17 | SCHWAB STRATEGIC TR | 808524805 | 230,986 | $5.6M | 2.04% |
| 18 | FIRST TR EXCHNG TRADED FD VI | 33740U406 | 119,993 | $5.4M | 1.99% |
| 19 | WALMART INC | WMT | 44,624 | $5.0M | 1.83% |
| 20 | ETF OPPORTUNITIES TRUST | 26923Q747 | 177,524 | $4.9M | 1.80% |