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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

SPECTRUM FINANCIAL INC

CRD 105618

VIRGINIA BEACH, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fd592e4b-42c3-fa9d-c754-0d8c2e4f61a2

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Mar 19, 2026
33 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.15 fund_share=0.81 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $236MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $236M
Private client RAUM: $34.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 15%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $118Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 454
Individual clients: 213
SEC number: 801-33311
CRD: 105618
Filings on the tape: 33
First filed: Mar 28, 2012
Latest filed: Mar 19, 2026
Organised: Corporation, VA
Website: investspectrum.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RALPH JOHN DOUDERA	n/a	VIRGINIA BEACH, VA	37	49	n/a	no
EMILY MICHELLE Frazier	n/a	VIRGINIA BEACH, VA	9	14	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COLLINS, MARY, K	CHIEF COMPLIANCE OFFICER	Na	yes	08/2004	Mar 28, 2012	Mar 19, 2024
DOUDERA, RALPH, JOHN	Ceo	E	yes	03/2003	Mar 28, 2012	Mar 19, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
HUNDREDFOLD ADVISORS, LLC	n/a	Asset manager	$148M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$236M	$236M	9	5	0	n/a	n/a
2024	Mar 26, 2025	$266M	$266M	9	5	0	n/a	n/a
2023	Mar 15, 2024	$292M	$292M	6	5	0	n/a	n/a
2022	Mar 15, 2023	$370M	$370M	6	4	0	n/a	n/a
2021	Mar 16, 2022	$403M	$403M	6	4	0	n/a	n/a
2020	Mar 26, 2021	$416M	$416M	5	3	0	n/a	n/a
2019	Mar 23, 2020	$146M	$146M	5	3	0	n/a	n/a
2018	Mar 27, 2019	$129M	$129M	5	3	0	n/a	n/a
2017	Mar 30, 2018	$155M	$155M	5	3	0	n/a	n/a
2016	Mar 27, 2017	$123M	$123M	5	3	n/a	n/a	n/a
2015	Mar 29, 2016	$118M	$118M	5	3	n/a	n/a	n/a
2014	Mar 24, 2015	$138M	$138M	5	2	n/a	n/a	n/a
2013	Mar 26, 2014	$192M	$192M	5	2	n/a	n/a	n/a
2012	Mar 26, 2013	$202M	$202M	5	2	n/a	n/a	n/a
2011	Mar 28, 2012	$217M	$217M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$236M	$266M	-11.2%	$370M	-13.9%	9	9	0	0

Relationships

Affiliated with (2)

→ HUNDREDFOLD ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← HUNDREDFOLD ADVISORS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (6)

← EMILY MICHELLE FrazierAdvisorregistration: current employment
Aug 4, 2017 to presentfactForm ADV
← RALPH JOHN DOUDERAAdvisorregistration: current employment
Jan 5, 1989 to presentfactForm ADV
← RALPH EDWARD SMITHAdvisorregistration: previous registration
Oct 10, 2007 to Nov 11, 2009factForm ADV
← DONALD BRENT PORTELLAdvisorregistration: previous registration
Apr 11, 1998 to Dec 31, 2005factForm ADV
← KIRK PACATTEAdvisorregistration: previous registration
Feb 1, 2002 to Dec 31, 2005factForm ADV
← DAVID WAYNE BARGETZIAdvisorregistration: previous registration
Feb 1, 2002 to Dec 31, 2005factForm ADV

Controls (2)

← COLLINS, MARY, KOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to Mar 19, 2024factForm ADV
← DOUDERA, RALPH, JOHNOwnerCEO, ownership code E, individual
Mar 28, 2012 to Mar 19, 2024factForm ADV

Dated events

Occurred
Mar 26, 2021
Regulatory AUM changed
Spectrum Financial Inc reported RAUM $415.8M, up 185% from $146.0M (2020-05-14 to 2021-03-26)
Form ADVobserved 5 days ago
$270M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd592e4b-42c3-fa9d-c754-0d8c2e4f61a2
First observed: Mar 28, 2012
Last observed: Mar 19, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds 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.

SPECTRUM FINANCIAL INC

CRD 105618

VIRGINIA BEACH, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fd592e4b-42c3-fa9d-c754-0d8c2e4f61a2

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RALPH JOHN DOUDERA

n/a

VIRGINIA BEACH, VA

n/a

EMILY MICHELLE Frazier

n/a

VIRGINIA BEACH, VA

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COLLINS, MARY, K

CHIEF COMPLIANCE OFFICER

yes

08/2004

Mar 28, 2012

Mar 19, 2024

DOUDERA, RALPH, JOHN

Ceo

yes

03/2003

Mar 28, 2012

Mar 19, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HUNDREDFOLD ADVISORS, LLC

n/a

Asset manager

$148M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$236M

n/a

2024

Mar 26, 2025

$266M

n/a

2023

Mar 15, 2024

$292M

n/a

2022

Mar 15, 2023

$370M

n/a

2021

Mar 16, 2022

$403M

n/a

2020

Mar 26, 2021

$416M

n/a

2019

Mar 23, 2020

$146M

n/a

2018

Mar 27, 2019

$129M

n/a

2017

Mar 30, 2018

$155M

n/a

2016

Mar 27, 2017

$123M

n/a

2015

Mar 29, 2016

$118M

n/a

2014

Mar 24, 2015

$138M

n/a

2013

Mar 26, 2014

$192M

n/a

2012

Mar 26, 2013

$202M

n/a

2011

Mar 28, 2012

$217M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$236M

$266M

-11.2%

$370M

-13.9%