Filed: 4/17/2023ACC: 0001632078-23-000004
📋 What this filing means
SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 88 equity positions with a total reported market value of $202.09M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
88
Positions
$202.09M
Total AUM (reported)
4.32M
Total Shares
Allocation by class
COM$86.53M42.8%
US TREAS BD ETF$28.66M14.2%
US LCAP VA ETF$15.29M7.6%
SHORT S&P 500 NE$9.94M4.9%
ISHARES NEW$6.76M3.3%
US LCAP GR ETF$6.07M3.0%
ESG AWR MSCI USA$5.57M2.8%
Portfolio Concentration
Top 3$53.89M26.7%
4–10$40.75M20.2%
11–25$51.92M25.7%
Rest$55.53M27.5%
Top 3 weight
26.7%
Top 10 weight
46.8%
Voting Authority Distribution
Total shares with voting rights: 4.32M
Sole
Full voting authority
4.32M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
1.78K
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole88
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings88
Rows:
ISHARES TR
SOLEShares1.23M
TypeSH
Market value$28.66M
14.18%
Sole
1.23M
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares233.20K
TypeSH
Market value$15.29M
7.57%
Sole
233.20K
Shared
0.00
None
0.00
PROSHARES TR
SOLEShares662.46K
TypeSH
Market value$9.94M
4.92%
Sole
662.46K
Shared
0.00
None
0.00
CHEVRON CORP NEW
SOLEShares46.22K
TypeSH
Market value$7.54M
3.73%
Sole
46.12K
Shared
0.00
None
105.00
ISHARES GOLD TR
SOLEShares180.97K
TypeSH
Market value$6.76M
3.35%
Sole
180.97K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares93.20K
TypeSH
Market value$6.07M
3.01%
Sole
93.20K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares61.60K
TypeSH
Market value$5.57M
2.76%
Sole
61.60K
Shared
0.00
None
0.00
INVESCO EXCHANGE TRADED FD T
SOLEShares36.35K
TypeSH
Market value$5.26M
2.60%
Sole
36.35K
Shared
0.00
None
0.00
CISCO SYS INC
SOLEShares95.79K
TypeSH
Market value$5.01M
2.48%
Sole
95.46K
Shared
0.00
None
323.00
EXXON MOBIL CORP
SOLEShares41.33K
TypeSH
Market value$4.53M
2.24%
Sole
41.17K
Shared
0.00
None
165.00
HONEYWELL INTL INC
SOLEShares22.90K
TypeSH
Market value$4.38M
2.17%
Sole
22.90K
Shared
0.00
None
0.00
ABBVIE INC
SOLEShares25.48K
TypeSH
Market value$4.06M
2.01%
Sole
25.48K
Shared
0.00
None
0.00
MICROSOFT CORP
SOLEShares13.42K
TypeSH
Market value$3.87M
1.91%
Sole
13.38K
Shared
0.00
None
34.00
ISHARES TR
SOLEShares52.69K
TypeSH
Market value$3.83M
1.90%
Sole
52.69K
Shared
0.00
None
0.00
ACCENTURE PLC IRELAND
SOLEShares12.62K
TypeSH
Market value$3.61M
1.78%
Sole
12.62K
Shared
0.00
None
0.00
SCHWAB CHARLES CORP
SOLEShares67K
TypeSH
Market value$3.51M
1.74%
Sole
67K
Shared
0.00
None
0.00
DUKE ENERGY CORP NEW
SOLEShares36.25K
TypeSH
Market value$3.50M
1.73%
Sole
36.08K
Shared
0.00
None
168.00
GENERAL DYNAMICS CORP
SOLEShares14.90K
TypeSH
Market value$3.40M
1.68%
Sole
14.84K
Shared
0.00
None
70.00
APPLE INC
SOLEShares20.42K
TypeSH
Market value$3.37M
1.67%
Sole
20.42K
Shared
0.00
None
0.00
INTEL CORP
SOLEShares98.63K
TypeSH
Market value$3.22M
1.59%
Sole
98.37K
Shared
0.00
None
260.00
SELECT SECTOR SPDR TR
SOLEShares38.39K
TypeSH
Market value$3.18M
1.57%
Sole
38.39K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
SOLEShares16.62K
TypeSH
Market value$3.10M
1.53%
Sole
16.62K
Shared
0.00
None
0.00
SEMPRA
SOLEShares20.07K
TypeSH
Market value$3.06M
1.51%
Sole
20.07K
Shared
0.00
None
0.00
AMERICOLD REALTY TRUST INC
SOLEShares101.88K
TypeSH
Market value$2.92M
1.45%
Sole
101.88K
Shared
0.00
None
0.00
ORACLE CORP
SOLEShares31.41K
TypeSH
Market value$2.92M
1.44%
Sole
31.41K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
ISHARES TRSOLE | US TREAS BD ETF | 1.23M | SH | $28.66M 14.18% | 1.23M | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP VA ETF | 233.20K | SH | $15.29M 7.57% | 233.20K | 0.00 | 0.00 |
PROSHARES TRSOLE | SHORT S&P 500 NE | 662.46K | SH | $9.94M 4.92% | 662.46K | 0.00 | 0.00 |
CHEVRON CORP NEWSOLE | COM | 46.22K | SH | $7.54M 3.73% | 46.12K | 0.00 | 105.00 |
ISHARES GOLD TRSOLE | ISHARES NEW | 180.97K | SH | $6.76M 3.35% | 180.97K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP GR ETF | 93.20K | SH | $6.07M 3.01% | 93.20K | 0.00 | 0.00 |
ISHARES TRSOLE | ESG AWR MSCI USA | 61.60K | SH | $5.57M 2.76% | 61.60K | 0.00 | 0.00 |
INVESCO EXCHANGE TRADED FD TSOLE | S&P500 EQL WGT | 36.35K | SH | $5.26M 2.60% | 36.35K | 0.00 | 0.00 |
CISCO SYS INCSOLE | COM | 95.79K | SH | $5.01M 2.48% | 95.46K | 0.00 | 323.00 |
EXXON MOBIL CORPSOLE | COM | 41.33K | SH | $4.53M 2.24% | 41.17K | 0.00 | 165.00 |
HONEYWELL INTL INCSOLE | COM | 22.90K | SH | $4.38M 2.17% | 22.90K | 0.00 | 0.00 |
ABBVIE INCSOLE | COM | 25.48K | SH | $4.06M 2.01% | 25.48K | 0.00 | 0.00 |
MICROSOFT CORPSOLE | COM | 13.42K | SH | $3.87M 1.91% | 13.38K | 0.00 | 34.00 |
ISHARES TRSOLE | MSCI USA MIN VOL | 52.69K | SH | $3.83M 1.90% | 52.69K | 0.00 | 0.00 |
ACCENTURE PLC IRELANDSOLE | SHS CLASS A | 12.62K | SH | $3.61M 1.78% | 12.62K | 0.00 | 0.00 |
SCHWAB CHARLES CORPSOLE | COM | 67K | SH | $3.51M 1.74% | 67K | 0.00 | 0.00 |
DUKE ENERGY CORP NEWSOLE | COM NEW | 36.25K | SH | $3.50M 1.73% | 36.08K | 0.00 | 168.00 |
GENERAL DYNAMICS CORPSOLE | COM | 14.90K | SH | $3.40M 1.68% | 14.84K | 0.00 | 70.00 |
APPLE INCSOLE | COM | 20.42K | SH | $3.37M 1.67% | 20.42K | 0.00 | 0.00 |
INTEL CORPSOLE | COM | 98.63K | SH | $3.22M 1.59% | 98.37K | 0.00 | 260.00 |
SELECT SECTOR SPDR TRSOLE | ENERGY | 38.39K | SH | $3.18M 1.57% | 38.39K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSSOLE | VNG RUS1000IDX | 16.62K | SH | $3.10M 1.53% | 16.62K | 0.00 | 0.00 |
SEMPRASOLE | COM | 20.07K | SH | $3.06M 1.51% | 20.07K | 0.00 | 0.00 |
AMERICOLD REALTY TRUST INCSOLE | COM | 101.88K | SH | $2.92M 1.45% | 101.88K | 0.00 | 0.00 |
ORACLE CORPSOLE | COM | 31.41K | SH | $2.92M 1.44% | 31.41K | 0.00 | 0.00 |
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