SourcingSourcing

SPECTRA INVESTMENT MANAGEMENT, LLC

C41
CRD 288145·SEC 801-110258·STUART, FL
AUM
$306.8M
$100M-$500M
Est. Revenue
$3.1M
@ 1% on AUM
Est. EBITDA
$921K
@ 30% margin
Est. Deal Value
$7.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SPECTRA INVESTMENT MANAGEMENT, LLC
CRD
288145
SEC file #
801-110258
EIN
—
DBA names
—

Economics

AUM
$306.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$102.2M → $306.8M▲ +200%
Client mix
Individuals High Net Worth29
Corporations9
Individuals Other6
Charitable Organizations4
Pension Profit Sharing Plans1

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
2 advisors → 3 advisors▲ +50%
Primary office
STUART FL
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
linkedin.com/company/spectrainvestmentmanagementllc(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Roads, Scott, Alan
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
Roads, Scott, Alan
Zaino, Julia, Elizabeth
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:spectra.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Fidelity4
E*trade4
Northern Trust2
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
6773684
Trust Company Affiliate
No

People (2)

2
Roads, Scott, Alan
IAR · Direct Owner · 87.5%
6773684
Zaino, Julia, Elizabeth
Direct Owner · 17.5%
7069103