SourcingSourcing

SPECTRUM ASSET MANAGEMENT, INC.

C32
CRD 300463·SEC 801-30405·STAMFORD, CT
AUM
$18.30B
$1B+
Est. Revenue
$183.0M
@ 1% on AUM
Est. EBITDA
$54.9M
@ 30% margin
Est. Deal Value
$439.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SPECTRUM ASSET MANAGEMENT, INC.
CRD
300463
SEC file #
801-30405
EIN
330171752
DBA names
—

Economics

AUM
$18.30B
AUM band
$1B+
AUM trajectory
'20'26
$18.49B → $18.30B▼ -1%
Client mix
Corporations50
Pooled Investment Vehicles10
Investment Companies7
Insurance Companies6
Individuals High Net Worth1

Operations

Employees (total)
27
Advisory staff (per ADV)
14
Advisory staff (5-yr trend)
'20'26
10 advisors → 14 advisors▲ +40%
Primary office
STAMFORD CT
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
samipfd.com

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PRINCIPAL GLOBAL INVESTORS
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
PRINCIPAL GLOBAL INVESTORS
BYER, MATTHEW, ROSS
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SAMIPFD.COM
Rdap Domain Creation Date
1998-12-09T05:00:00Z
Rdap Firm Age Years
28
Rdap Firm Age Band
20+y
Rdap Registrar
Amazon Registrar, Inc.

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
41,687
Form 5500 Compensation Trajectory 3y
202541,687
Form 5500 Plan Count Trajectory 3y
20252
Schedule C Total Compensation
41,687
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0001632078
Edgar Registered
Yes
Edgar Filing Count
50
Edgar First Filing Date
2015-02-09
Edgar Last Filing Date
2026-04-22
Edgar 13f Count
48
Edgar 13f Latest AUM Estimate
Filing Date2026-04-22
Accession0001632078-26-000005

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
4
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Fidelity8
Wells Fargo4
Morgan Stanley4
E*trade4
Jpmorgan3
Edgar Addresses
Mailing
1301 DOVE STREET, SUITE 720NEWPORT BEACH, CA 92660
Business
1301 DOVE STREET, SUITE 720NEWPORT BEACH, CA 92660
Edgar EIN
330171752
Edgar Recent Filings
13F-HR2026-04-22 · 0001632078-26-000005
13F-HR2026-01-26 · 0001632078-26-000003
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-12-08T05:00:00Z
Rdap Domain Last Changed
2026-05-14T11:06:33Z
Rdap Nameservers
Ns-1237.awsdns-26.orgNs-1821.awsdns-35.co.ukNs-337.awsdns-42.comNs-800.awsdns-36.net
Rdap Secure Dns Enabled
Yes
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
Yes

People (8)

8
BYER, MATTHEW, ROSS
IAR · Executive Officer · 2.5%
3120607
JACOBY, LEWIS, PHILLIP
Executive Officer · 2.5%
1238147
LIEB, MARK, ALAN
Executive Officer · 2.5%
853490
HANCZOR, JOSEPH, ANDREW
Executive Officer · 2.5%
5200684
ORLANDO, JEAN, MARIE
Executive Officer · 2.5%
1197909
STEVEN JAY SOLMONSON
IAR
1367437
ANDREW DEAN PURDY
IAR
4769845
KEVIN OBRIEN NUGENT
IAR
1555933