This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

SPECTRUM ASSET MANAGEMENT, INC.

Current firm class

asset managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Feb 9, 1993earliest registration or exam on IAPD

Years in industry

33derivedfrom the industry start date

Years at current firm

7derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Feb 9, 1993

First registration

Aug 13, 2012

Dual registered

no

IAPD individual key

1555933

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9d40bf7b-765a-7880-90eb-663f0743fba4

First observed

Aug 13, 2012

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.