DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••••• A•••• M••••••••• I••
Latest filing Mar 18, 2026
First filing on the tape Nov 10, 2011 · 30 filings
SEC status approved since Sep 4, 1987
RAUM
$657M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$572M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$82.2M
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$657M as of Mar 18, 2026
Mar 29, 2012$363M then
HNW client RAUM$476M as of Mar 18, 2026
Mar 26, 2018$294M then
State-registered IARs (5.B.3)8 as of Mar 18, 2026
Mar 22, 20134 then
Employees (5.A)12 as of Mar 18, 2026
Mar 22, 20138 then
Private funds: no history
RAUM +2.7% over the last fiscal year+2.0% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $82.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $705,222derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $217M, 150 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$476M72%
- Individuals$96.1M15%
- Insurance companies$65.3M9.9%
- Charitable organizations$12.3M1.9%
- Pension and profit-sharing plans$6.6M1.0%
- Corporations and businesses$929,1430.1%
- Individual clients
- 180reported
- HNW clients
- 126reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 932reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $217M for 150 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• L•• K•••• | Newport Beach, Ca | Feb 15, 2012 | 35 y | 0 |
| N•••• J••• H•••••Certified Financial Planner | Newport Beach, Ca | Mar 14, 2012 | 14 y | 0 |
| T••• K•••••• J••• | Newport Beach, Ca | Jan 2, 2013 | 27 y | 0 |
| M•••••• J•••• O•••••Certified Financial Planner | Newport Beach, Ca | Dec 17, 2013 | 38 y | 4 |
| L••• S•••••• S••••Certified Financial Planner | Gunter, Tx | Oct 27, 2016 | 33 y | 1 |
| T• E••• N••••••• | Newport Beach, Ca | Mar 5, 2018 | 14 y | 0 |
| M•••••• E••• N••••••••Chartered Financial Analyst | Newport Beach, Ca | Jun 29, 2018 | 23 y | 2 |
| G•••••• J•••• P••••••• | Newport Beach, Ca | Dec 9, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••• I•• S•••••••• to A••••••• A•••• M•••••••••Mar 1, 2016 · Other
Joined, latest
- L••• S•••••• S•••• from C•••••• S••••• • C••• I•••Oct 27, 2016 · Other
- M•••••• J•••• O••••• from O••••• F•••••••• G••••• I•••Dec 17, 2013 · Other
- J••••• I•• S•••••••• from B••••• P••••• A•••••••• L••Apr 22, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••• T•••• K•••••• · Chief Compliance Officer & Chief Operating Officercontrolsince 01/2013 · owns less than 5%
- K••••• R•••••• D•••• · Trustee Of K•••• F••••• T•••• D•• 0•••••••••controlsince 01/1990 · owns less than 5%
- K••••• R•••• L•• · Chief Executive Officer Of S••••••• Asset Management & Trustee Of R••• L•• K•••• S••••••• P••••••• T•••• D•• 0•••••••••controlsince 12/1999 · owns less than 5%
- K••••• M•••• D•••• · Shareholdersince 06/1990 · owns 5% to 10%
Entity owners
- K•••• F••••• T•••• D•• 0••••••••• · Shareholderdirect · owns 10% to 25%
- R••• L•• K•••• S••••••• P••••••• T•••• D•• 0••••••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S••••••• A•••• M••••••••• I•• as a related person
- 110329 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 941 to 932Dec 18, 2025 to Mar 18, 2026
- Advisory employees · 9 to 11Dec 18, 2025 to Mar 18, 2026
- Advisory activities · 5 to 6Dec 18, 2025 to Mar 18, 2026
- HNW clients · 125 to 126Dec 18, 2025 to Mar 18, 2026
- Assets in custody · $225M to $217MDec 18, 2025 to Mar 18, 2026
- Employees · 11 to 12Dec 18, 2025 to Mar 18, 2026
- State-registered IARs · 7 to 8Dec 18, 2025 to Mar 18, 2026
- Discretionary RAUM · $640M to $657MDec 18, 2025 to Mar 18, 2026
- HNW RAUM · $457M to $476MDec 18, 2025 to Mar 18, 2026
- Individual RAUM · $85.0M to $96.1MDec 18, 2025 to Mar 18, 2026
- Pension RAUM · $6.5M to $6.6MDec 18, 2025 to Mar 18, 2026
- RAUM · $640M to $657MDec 18, 2025 to Mar 18, 2026
- Accounts · 921 to 941Aug 6, 2024 to Mar 26, 2025
- Advisory activities · 4 to 5Aug 6, 2024 to Mar 26, 2025
- HNW clients · 127 to 125Aug 6, 2024 to Mar 26, 2025
- Individual clients · 177 to 180Aug 6, 2024 to Mar 26, 2025
- Assets in custody · $222M to $225MAug 6, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 101-250Aug 6, 2024 to Mar 26, 2025
- State-registered IARs · 8 to 7Aug 6, 2024 to Mar 26, 2025
- Discretionary RAUM · $635M to $640MAug 6, 2024 to Mar 26, 2025
- HNW RAUM · $476M to $457MAug 6, 2024 to Mar 26, 2025
- Individual RAUM · $80.4M to $85.0MAug 6, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $11.7M to $0Aug 6, 2024 to Mar 26, 2025
- Pension RAUM · $5.8M to $6.5MAug 6, 2024 to Mar 26, 2025
- RAUM · $646M to $640MAug 6, 2024 to Mar 26, 2025
- Accounts · 903 to 921Mar 15, 2023 to Mar 18, 2024
- HNW clients · 126 to 127Mar 15, 2023 to Mar 18, 2024
- Individual clients · 190 to 177Mar 15, 2023 to Mar 18, 2024
- Assets in custody · $201M to $222MMar 15, 2023 to Mar 18, 2024
- Discretionary RAUM · $605M to $635MMar 15, 2023 to Mar 18, 2024
- HNW RAUM · $454M to $476MMar 15, 2023 to Mar 18, 2024
- Individual RAUM · $72.9M to $80.4MMar 15, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $15.0M to $11.7MMar 15, 2023 to Mar 18, 2024
- Pension RAUM · $8.0M to $5.8MMar 15, 2023 to Mar 18, 2024
- RAUM · $620M to $646MMar 15, 2023 to Mar 18, 2024
- Wrap assets (manager) · 20295285.0 to unsetMar 15, 2023 to Mar 18, 2024
- Wrap assets (sponsor) · 0.0 to unsetMar 15, 2023 to Mar 18, 2024
- Accounts · 909 to 903Nov 8, 2022 to Mar 15, 2023
- HNW clients · 114 to 126Nov 8, 2022 to Mar 15, 2023
- Individual clients · 205 to 190Nov 8, 2022 to Mar 15, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- s••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-717-3400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/spectrum-asset-management-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- MYS•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-717-3400reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $82.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026