Institutional
    SEC Registered

    Spectrum Asset Management, Inc.

    Registered investment advisor · Stamford, Connecticut · CRD #300463

    Assets Under Management
    $18.3B
    Client Accounts
    74
    Employees
    27
    CRD Number
    300463
    Registration
    SEC Registered

    Source: SEC Form ADV filings. Data as of 2026-07-06.

    About Spectrum Asset Management, Inc.

    Spectrum Asset Management, Inc. was founded in 1987 to specialize in the management of diversified preferred security portfolios for institutional investors. Spectrum is one of the largest money managers in the world specializing in the preferred and capital securities market. Spectrum has been a wholly owned and independently run affiliate of Principal Global Investors, a member of the Principal Financial Group®, since 2001

    Fee Structure

    Percentage of assets under management Yes
    Fixed fees Not reported
    Hourly charges Yes
    Performance-based fees Yes

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    Frequently Asked Questions

    What is Spectrum Asset Management, Inc.'s AUM?

    Spectrum Asset Management, Inc. reports approximately $18.3B in regulatory assets under management, based on its most recent SEC Form ADV filing.

    Where is Spectrum Asset Management, Inc. headquartered?

    Spectrum Asset Management, Inc. is headquartered in Stamford, Connecticut.

    What is Spectrum Asset Management, Inc.'s CRD number?

    Spectrum Asset Management, Inc.'s CRD number is 300463. You can use it to look up the firm's full regulatory record on the SEC's Investment Adviser Public Disclosure site.

    How many accounts does Spectrum Asset Management, Inc. manage?

    Spectrum Asset Management, Inc. manages approximately 74 client accounts according to its latest SEC filing.

    Is Spectrum Asset Management, Inc. SEC registered?

    Yes, Spectrum Asset Management, Inc. is registered with the SEC as an investment adviser with an approved registration status.

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