Filed: 1/27/2023ACC: 0001632078-23-000002
📋 What this filing means
SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 98 equity positions with a total reported market value of $206.30M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
98
Positions
$206.30M
Total AUM (reported)
3.80M
Total Shares
Allocation by class
COM$87.72M42.5%
US TREAS BD ETF$18.64M9.0%
US LCAP VA ETF$15.85M7.7%
ENERGY$8.75M4.2%
INT-TRM U.S TRES$8.62M4.2%
S&P500 EQL WGT$7.19M3.5%
US LCAP GR ETF$6.65M3.2%
Portfolio Concentration
Top 3$43.56M21.1%
4–10$49.44M24.0%
11–25$53.66M26.0%
Rest$59.64M28.9%
Top 3 weight
21.1%
Top 10 weight
45.1%
Voting Authority Distribution
Total shares with voting rights: 3.80M
Sole
Full voting authority
3.80M
shares
% of voting shares99.9%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
2.13K
shares
% of voting shares0.1%
Investment Discretion (by position count)
Sole97
Shared0
Other1
Dominant voting typeSole · 99.9% of voting shares
Institutional Holdings98
Rows:
ISHARES TR
SOLEShares820.37K
TypeSH
Market value$18.64M
9.03%
Sole
820.37K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares240.04K
TypeSH
Market value$15.85M
7.68%
Sole
240.04K
Shared
0.00
None
0.00
CHEVRON CORP NEW
SOLEShares50.54K
TypeSH
Market value$9.07M
4.40%
Sole
50.43K
Shared
0.00
None
105.00
SELECT SECTOR SPDR TR
SOLEShares100.06K
TypeSH
Market value$8.75M
4.24%
Sole
100.06K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares175.15K
TypeSH
Market value$8.62M
4.18%
Sole
175.15K
Shared
0.00
None
0.00
INVESCO EXCHANGE TRADED FD T
SOLEShares50.90K
TypeSH
Market value$7.19M
3.49%
Sole
50.90K
Shared
0.00
None
0.00
EXXON MOBIL CORP
SOLEShares62.05K
TypeSH
Market value$6.84M
3.32%
Sole
61.88K
Shared
0.00
None
165.00
SCHWAB STRATEGIC TR
SOLEShares119.66K
TypeSH
Market value$6.65M
3.22%
Sole
119.66K
Shared
0.00
None
0.00
PROSHARES TR
SOLEShares368.49K
TypeSH
Market value$5.91M
2.86%
Sole
368.49K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares64.66K
TypeSH
Market value$5.48M
2.66%
Sole
64.66K
Shared
0.00
None
0.00
HONEYWELL INTL INC
SOLEShares22.80K
TypeSH
Market value$4.89M
2.37%
Sole
22.80K
Shared
0.00
None
0.00
ISHARES GOLD TR
SOLEShares132.49K
TypeSH
Market value$4.58M
2.22%
Sole
132.49K
Shared
0.00
None
0.00
ABBVIE INC
SOLEShares25.72K
TypeSH
Market value$4.16M
2.01%
Sole
25.72K
Shared
0.00
None
0.00
SCHWAB CHARLES CORP
SOLEShares46.15K
TypeSH
Market value$3.84M
1.86%
Sole
46.15K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares52.70K
TypeSH
Market value$3.80M
1.84%
Sole
52.70K
Shared
0.00
None
0.00
CISCO SYS INC
SOLEShares77.75K
TypeSH
Market value$3.70M
1.80%
Sole
77.50K
Shared
0.00
None
256.00
GENERAL DYNAMICS CORP
SOLEShares14.88K
TypeSH
Market value$3.69M
1.79%
Sole
14.82K
Shared
0.00
None
50.00
ACCENTURE PLC IRELAND
SOLEShares12.45K
TypeSH
Market value$3.32M
1.61%
Sole
12.45K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
SOLEShares18.93K
TypeSH
Market value$3.30M
1.60%
Sole
18.93K
Shared
0.00
None
0.00
CHESAPEAKE ENERGY CORP
SOLEShares34.23K
TypeSH
Market value$3.23M
1.57%
Sole
34.23K
Shared
0.00
None
0.00
DUKE ENERGY CORP NEW
SOLEShares30.71K
TypeSH
Market value$3.16M
1.53%
Sole
30.55K
Shared
0.00
None
168.00
SEMPRA
SOLEShares19.66K
TypeSH
Market value$3.06M
1.48%
Sole
19.66K
Shared
0.00
None
0.00
MICROSOFT CORP
SOLEShares12.57K
TypeSH
Market value$3.01M
1.46%
Sole
12.53K
Shared
0.00
None
34.00
BUNGE LIMITED
SOLEShares30.04K
TypeSH
Market value$3.00M
1.45%
Sole
30.04K
Shared
0.00
None
0.00
AMERICOLD REALTY TRUST INC
SOLEShares102.29K
TypeSH
Market value$2.92M
1.41%
Sole
102.29K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
ISHARES TRSOLE | US TREAS BD ETF | 820.37K | SH | $18.64M 9.03% | 820.37K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP VA ETF | 240.04K | SH | $15.85M 7.68% | 240.04K | 0.00 | 0.00 |
CHEVRON CORP NEWSOLE | COM | 50.54K | SH | $9.07M 4.40% | 50.43K | 0.00 | 105.00 |
SELECT SECTOR SPDR TRSOLE | ENERGY | 100.06K | SH | $8.75M 4.24% | 100.06K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | INT-TRM U.S TRES | 175.15K | SH | $8.62M 4.18% | 175.15K | 0.00 | 0.00 |
INVESCO EXCHANGE TRADED FD TSOLE | S&P500 EQL WGT | 50.90K | SH | $7.19M 3.49% | 50.90K | 0.00 | 0.00 |
EXXON MOBIL CORPSOLE | COM | 62.05K | SH | $6.84M 3.32% | 61.88K | 0.00 | 165.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP GR ETF | 119.66K | SH | $6.65M 3.22% | 119.66K | 0.00 | 0.00 |
PROSHARES TRSOLE | SHORT S&P 500 NE | 368.49K | SH | $5.91M 2.86% | 368.49K | 0.00 | 0.00 |
ISHARES TRSOLE | ESG AWR MSCI USA | 64.66K | SH | $5.48M 2.66% | 64.66K | 0.00 | 0.00 |
HONEYWELL INTL INCSOLE | COM | 22.80K | SH | $4.89M 2.37% | 22.80K | 0.00 | 0.00 |
ISHARES GOLD TRSOLE | ISHARES NEW | 132.49K | SH | $4.58M 2.22% | 132.49K | 0.00 | 0.00 |
ABBVIE INCSOLE | COM | 25.72K | SH | $4.16M 2.01% | 25.72K | 0.00 | 0.00 |
SCHWAB CHARLES CORPSOLE | COM | 46.15K | SH | $3.84M 1.86% | 46.15K | 0.00 | 0.00 |
ISHARES TRSOLE | MSCI USA MIN VOL | 52.70K | SH | $3.80M 1.84% | 52.70K | 0.00 | 0.00 |
CISCO SYS INCSOLE | COM | 77.75K | SH | $3.70M 1.80% | 77.50K | 0.00 | 256.00 |
GENERAL DYNAMICS CORPSOLE | COM | 14.88K | SH | $3.69M 1.79% | 14.82K | 0.00 | 50.00 |
ACCENTURE PLC IRELANDSOLE | SHS CLASS A | 12.45K | SH | $3.32M 1.61% | 12.45K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSSOLE | VNG RUS1000IDX | 18.93K | SH | $3.30M 1.60% | 18.93K | 0.00 | 0.00 |
CHESAPEAKE ENERGY CORPSOLE | COM | 34.23K | SH | $3.23M 1.57% | 34.23K | 0.00 | 0.00 |
DUKE ENERGY CORP NEWSOLE | COM NEW | 30.71K | SH | $3.16M 1.53% | 30.55K | 0.00 | 168.00 |
SEMPRASOLE | COM | 19.66K | SH | $3.06M 1.48% | 19.66K | 0.00 | 0.00 |
MICROSOFT CORPSOLE | COM | 12.57K | SH | $3.01M 1.46% | 12.53K | 0.00 | 34.00 |
BUNGE LIMITEDSOLE | COM | 30.04K | SH | $3.00M 1.45% | 30.04K | 0.00 | 0.00 |
AMERICOLD REALTY TRUST INCSOLE | COM | 102.29K | SH | $2.92M 1.41% | 102.29K | 0.00 | 0.00 |
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