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.
SEC-registered adviser
Spectrum Asset Management, Inc.
Latest filing Aug 5, 2026
First filing on the tape Feb 7, 2019 · 27 filings
SEC status approved since Sep 28, 1987
RAUM
$18B
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
0.0%
$4.5M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$4.6B
derived; firm RAUM over IAPD count
Employees
27
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$18B as of Aug 5, 2026
Mar 11, 2019$18B then
HNW client RAUM$4.5M as of Aug 5, 2026
Mar 29, 2023$9.4M then
State-registered IARs (5.B.3)3 as of Aug 5, 2026
Mar 11, 20193 then
Employees (5.A)27 as of Aug 5, 2026
Mar 11, 201921 then
Private funds1 as of Aug 5, 2026
Mar 11, 20191 then
RAUM -7.0% over the last fiscal year-5.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
- RAUM per advisor
- $4.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $247MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $33.3M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Investment companies$8.1B44%
- Corporations and businesses$5.4B30%
- Pooled investment vehicles$4.3B24%
- Insurance companies$485M2.7%
- High-net-worth individuals$4.5M0.0%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 74reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $5.3B managedreported
- Custody of client assets
- $33.3M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.68 institutional_share=0.03 related_bd=true related_bank=true bd_reps=20.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven Jay Solmonson | Stamford, Ct | Mar 6, 2019 | 29 y | 0 |
| Kevin Obrien Nugent | Stamford, Ct | Mar 6, 2019 | 33 y | 1 |
| Matthew Ross Byer | Stamford, Ct | Mar 6, 2019 | 19 y | 0 |
| Andrew Dean Purdy | Stamford, Ct | Oct 2, 2024 | 13 y | 1 |
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
none on the tape
Joined, latest
- Andrew Dean Purdy from Citigroup Global Markets Inc.Oct 2, 2024 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Spectrum Capital Securities Institutional Fund LLC | Other Private Fund | $121M | 10 | Mar 11, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Ross Matthew Byer · Executive Director & Chief Operating Officercontrolsince 01/2010 · owns less than 5%
- Phillip Lewis Jacoby · Executive Director & Chief Investment Officercontrolsince 01/2010 · owns less than 5%
- Alan Mark Lieb · President & Chief Executive Officercontrolsince 01/2010 · owns less than 5%
- Andrew Joseph Hanczor · Managing Director & Chief Compliance Officersince 08/2009 · owns less than 5%
- Marie Jean Orlando · Financial Operations Principal & Chief Financial Officersince 02/2000 · owns less than 5%
- John Joseph Urciuoli · Executive Director & Head Of Researchsince 01/2010 · owns less than 5%
Entity owners
- Principal Global Investors Holding Company (US), LLC · Ownerdirect · owns 75% or more
- Principal Financial Group Inc. · 100% Ownerindirect · owns 75% or more of Principal Financial Services Inc. · public reporting company
- Principal Financial Services Inc. · 100% Ownerindirect · owns 75% or more of Principal Global Investors Holding Company (US), LLC
Related persons
Schedule D 7.A
- Claritas Investments Ltd.investment adviserpooled vehicle sponsorn
- Delaware Charter Guarantee & Trust Company D/B/A Principal Trust Companyn
- Principal Origininvestment adviserpooled vehicle sponsornRAUM $4.6B
- Post Advisory Group, LLCinvestment adviserbankpooled vehicle sponsornRAUM $13B
- Principal Advised Servicesinvestment advisernRAUM $1.4B
- Principal Bankn
- Principal Funds Distributor, Inc.broker-dealern
- Principal Global Investors (Australia), Ltdinvestment advisern
- Principal Global Investors (Eu) Limitedinvestment advisern
- Principal Global Investors (Europe), Ltdinvestment advisern
- Principal Global Investors (Ireland), Ltdinvestment adviserpooled vehicle sponsorn
- Principal Global Investors (Japan), Ltdinvestment adviserpooled vehicle sponsorn
- Principal Global Investors (Singapore), Ltdinvestment advisern
- Principal Global Investors (Switzerland) Gmbhinvestment advisern
- Principal Global Investors Trust Companyn
- Principal Asset Managementinvestment adviserbankpooled vehicle sponsornRAUM $428B
- Principal Life Insurance Companyn
- Principal Real Estateinvestment adviserpooled vehicle sponsornRAUM $106B
- Principal Real Estate Kapitalverwaltungsgesellschaft Mbhinvestment adviserpooled vehicle sponsorn
- Principal Real Estate Limitedinvestment adviserpooled vehicle sponsorn
- Principal Real Estate S.A R.L.investment adviserpooled vehicle sponsorn
- Principal Real Estate Sasinvestment adviserpooled vehicle sponsorn
- Principal Real Estate Spezialfondsgesellschaft Mbhinvestment adviserpooled vehicle sponsorn
- Principal Securities, Inc.broker-dealerinvestment advisernRAUM $17B
- Spectrum Asset Management, Inc.broker-dealeryRAUM $24B
Advisers that list Spectrum Asset Management, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- Miami, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 78 to 74Feb 3, 2026 to Mar 20, 2026
- Advisory employees · 12 to 14Feb 3, 2026 to Mar 20, 2026
- BD registered reps · 23 to 20Feb 3, 2026 to Mar 20, 2026
- Corporate clients · 53 to 50Feb 3, 2026 to Mar 20, 2026
- Pooled vehicle clients · 9 to 10Feb 3, 2026 to Mar 20, 2026
- Assets in custody · $39.7M to $33.3MFeb 3, 2026 to Mar 20, 2026
- Employees · 26 to 27Feb 3, 2026 to Mar 20, 2026
- Discretionary RAUM · $15B to $14BFeb 3, 2026 to Mar 20, 2026
- HNW RAUM · $5.1M to $4.5MFeb 3, 2026 to Mar 20, 2026
- Non-discretionary RAUM · $4.6B to $4.4BFeb 3, 2026 to Mar 20, 2026
- Pooled vehicle RAUM · $4.7B to $4.3BFeb 3, 2026 to Mar 20, 2026
- RAUM · $20B to $18BFeb 3, 2026 to Mar 20, 2026
- Wrap assets (manager) · $5.7B to $5.3BFeb 3, 2026 to Mar 20, 2026
- Financial planning clients · 0 to 0Apr 10, 2025 to Nov 4, 2025
- Accounts · 81 to 78Apr 19, 2024 to Apr 10, 2025
- BD registered reps · 19 to 23Apr 19, 2024 to Apr 10, 2025
- Pension plan clients · 1.0 to unsetApr 19, 2024 to Apr 10, 2025
- Pooled vehicle clients · 7 to 9Apr 19, 2024 to Apr 10, 2025
- Assets in custody · $121M to $39.7MApr 19, 2024 to Apr 10, 2025
- Employees · 25 to 26Apr 19, 2024 to Apr 10, 2025
- Discretionary RAUM · $15B to $15BApr 19, 2024 to Apr 10, 2025
- HNW RAUM · $5.2M to $5.1MApr 19, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $4.5B to $4.6BApr 19, 2024 to Apr 10, 2025
- Pension RAUM · 1880664.0 to unsetApr 19, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $4.3B to $4.7BApr 19, 2024 to Apr 10, 2025
- RAUM · $19B to $20BApr 19, 2024 to Apr 10, 2025
- Wrap assets (manager) · $5.6B to $5.7BApr 19, 2024 to Apr 10, 2025
- BD registered reps · 20 to 19Apr 14, 2023 to Mar 29, 2024
- Corporate clients · 50 to 53Apr 14, 2023 to Mar 29, 2024
- HNW clients · 2 to 1Apr 14, 2023 to Mar 29, 2024
- Assets in custody · $111M to $121MApr 14, 2023 to Mar 29, 2024
- Employees · 24 to 25Apr 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $17B to $15BApr 14, 2023 to Mar 29, 2024
- HNW RAUM · $9.4M to $5.2MApr 14, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $4.4B to $4.5BApr 14, 2023 to Mar 29, 2024
- Pension RAUM · $70.4M to $1.9MApr 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.5B to $4.3BApr 14, 2023 to Mar 29, 2024
- RAUM · $21B to $19BApr 14, 2023 to Mar 29, 2024
- Wrap assets (manager) · $5.6B to $5.6BApr 14, 2023 to Mar 29, 2024
- Assets in custody · $119M to $111MMar 29, 2023 to Apr 6, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Spectrum Asset Management, Inc. · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- SAMIPFD.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-322-0189reportedpublic record, Form ADV, Aug 5, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $4.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026