Filed: 8/2/2023ACC: 0001632078-23-000006
📋 What this filing means
SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 90 equity positions with a total reported market value of $201.05M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
90
Positions
$201.05M
Total AUM (reported)
4.23M
Total Shares
Allocation by class
COM$80.35M40.0%
US TREAS BD ETF$28.38M14.1%
US LCAP VA ETF$15.80M7.9%
SHORT S&P 500 NE$9.15M4.6%
ISHARES NEW$8.18M4.1%
US LCAP GR ETF$7.05M3.5%
ESG AWR MSCI USA$6.19M3.1%
Portfolio Concentration
Top 3$53.34M26.5%
4–10$42.51M21.1%
11–25$51.41M25.6%
Rest$53.79M26.8%
Top 3 weight
26.5%
Top 10 weight
47.7%
Voting Authority Distribution
Total shares with voting rights: 4.23M
Sole
Full voting authority
4.23M
shares
% of voting shares99.9%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
2.40K
shares
% of voting shares0.1%
Investment Discretion (by position count)
Sole89
Shared0
Other1
Dominant voting typeSole · 99.9% of voting shares
Institutional Holdings90
Rows:
ISHARES TR
SOLEShares1.24M
TypeSH
Market value$28.38M
14.12%
Sole
1.24M
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares235.55K
TypeSH
Market value$15.80M
7.86%
Sole
235.55K
Shared
0.00
None
0.00
PROSHARES TR
SOLEShares659.55K
TypeSH
Market value$9.15M
4.55%
Sole
659.55K
Shared
0.00
None
0.00
ISHARES GOLD TR
SOLEShares224.79K
TypeSH
Market value$8.18M
4.07%
Sole
224.79K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares94.10K
TypeSH
Market value$7.05M
3.51%
Sole
94.10K
Shared
0.00
None
0.00
CHEVRON CORP NEW
SOLEShares44.13K
TypeSH
Market value$6.94M
3.45%
Sole
44.02K
Shared
0.00
None
105.00
ISHARES TR
SOLEShares63.53K
TypeSH
Market value$6.19M
3.08%
Sole
63.53K
Shared
0.00
None
0.00
INVESCO EXCHANGE TRADED FD T
SOLEShares34.10K
TypeSH
Market value$5.10M
2.54%
Sole
34.10K
Shared
0.00
None
0.00
CISCO SYS INC
SOLEShares89.12K
TypeSH
Market value$4.61M
2.29%
Sole
88.79K
Shared
0.00
None
323.00
HONEYWELL INTL INC
SOLEShares21.32K
TypeSH
Market value$4.42M
2.20%
Sole
21.32K
Shared
0.00
None
0.00
MICROSOFT CORP
SOLEShares12.58K
TypeSH
Market value$4.28M
2.13%
Sole
12.55K
Shared
0.00
None
34.00
EXXON MOBIL CORP
SOLEShares37.57K
TypeSH
Market value$4.03M
2.00%
Sole
37.41K
Shared
0.00
None
165.00
ISHARES TR
SOLEShares53.60K
TypeSH
Market value$3.98M
1.98%
Sole
53.60K
Shared
0.00
None
0.00
APPLE INC
SOLEShares20.17K
TypeSH
Market value$3.91M
1.95%
Sole
20.17K
Shared
0.00
None
0.00
SCHWAB CHARLES CORP
SOLEShares65.88K
TypeSH
Market value$3.73M
1.86%
Sole
65.88K
Shared
0.00
None
0.00
ACCENTURE PLC IRELAND
SOLEShares11.55K
TypeSH
Market value$3.56M
1.77%
Sole
11.55K
Shared
0.00
None
0.00
ORACLE CORP
SOLEShares28.12K
TypeSH
Market value$3.35M
1.67%
Sole
28.12K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
SOLEShares16.53K
TypeSH
Market value$3.33M
1.66%
Sole
16.53K
Shared
0.00
None
0.00
SELECT SECTOR SPDR TR
SOLEShares39.49K
TypeSH
Market value$3.21M
1.59%
Sole
39.49K
Shared
0.00
None
0.00
INTEL CORP
SOLEShares93.08K
TypeSH
Market value$3.11M
1.55%
Sole
92.82K
Shared
0.00
None
260.00
ABBVIE INC
SOLEShares23.09K
TypeSH
Market value$3.11M
1.55%
Sole
23.09K
Shared
0.00
None
0.00
AMERICOLD REALTY TRUST INC
SOLEShares91.15K
TypeSH
Market value$2.96M
1.47%
Sole
91.15K
Shared
0.00
None
0.00
DUKE ENERGY CORP NEW
SOLEShares32.99K
TypeSH
Market value$2.96M
1.47%
Sole
32.81K
Shared
0.00
None
181.00
GENERAL DYNAMICS CORP
SOLEShares13.66K
TypeSH
Market value$2.94M
1.46%
Sole
13.59K
Shared
0.00
None
70.00
SEMPRA
SOLEShares20.09K
TypeSH
Market value$2.93M
1.45%
Sole
20.09K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
ISHARES TRSOLE | US TREAS BD ETF | 1.24M | SH | $28.38M 14.12% | 1.24M | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP VA ETF | 235.55K | SH | $15.80M 7.86% | 235.55K | 0.00 | 0.00 |
PROSHARES TRSOLE | SHORT S&P 500 NE | 659.55K | SH | $9.15M 4.55% | 659.55K | 0.00 | 0.00 |
ISHARES GOLD TRSOLE | ISHARES NEW | 224.79K | SH | $8.18M 4.07% | 224.79K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP GR ETF | 94.10K | SH | $7.05M 3.51% | 94.10K | 0.00 | 0.00 |
CHEVRON CORP NEWSOLE | COM | 44.13K | SH | $6.94M 3.45% | 44.02K | 0.00 | 105.00 |
ISHARES TRSOLE | ESG AWR MSCI USA | 63.53K | SH | $6.19M 3.08% | 63.53K | 0.00 | 0.00 |
INVESCO EXCHANGE TRADED FD TSOLE | S&P500 EQL WGT | 34.10K | SH | $5.10M 2.54% | 34.10K | 0.00 | 0.00 |
CISCO SYS INCSOLE | COM | 89.12K | SH | $4.61M 2.29% | 88.79K | 0.00 | 323.00 |
HONEYWELL INTL INCSOLE | COM | 21.32K | SH | $4.42M 2.20% | 21.32K | 0.00 | 0.00 |
MICROSOFT CORPSOLE | COM | 12.58K | SH | $4.28M 2.13% | 12.55K | 0.00 | 34.00 |
EXXON MOBIL CORPSOLE | COM | 37.57K | SH | $4.03M 2.00% | 37.41K | 0.00 | 165.00 |
ISHARES TRSOLE | MSCI USA MIN VOL | 53.60K | SH | $3.98M 1.98% | 53.60K | 0.00 | 0.00 |
APPLE INCSOLE | COM | 20.17K | SH | $3.91M 1.95% | 20.17K | 0.00 | 0.00 |
SCHWAB CHARLES CORPSOLE | COM | 65.88K | SH | $3.73M 1.86% | 65.88K | 0.00 | 0.00 |
ACCENTURE PLC IRELANDSOLE | SHS CLASS A | 11.55K | SH | $3.56M 1.77% | 11.55K | 0.00 | 0.00 |
ORACLE CORPSOLE | COM | 28.12K | SH | $3.35M 1.67% | 28.12K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSSOLE | VNG RUS1000IDX | 16.53K | SH | $3.33M 1.66% | 16.53K | 0.00 | 0.00 |
SELECT SECTOR SPDR TRSOLE | ENERGY | 39.49K | SH | $3.21M 1.59% | 39.49K | 0.00 | 0.00 |
INTEL CORPSOLE | COM | 93.08K | SH | $3.11M 1.55% | 92.82K | 0.00 | 260.00 |
ABBVIE INCSOLE | COM | 23.09K | SH | $3.11M 1.55% | 23.09K | 0.00 | 0.00 |
AMERICOLD REALTY TRUST INCSOLE | COM | 91.15K | SH | $2.96M 1.47% | 91.15K | 0.00 | 0.00 |
DUKE ENERGY CORP NEWSOLE | COM NEW | 32.99K | SH | $2.96M 1.47% | 32.81K | 0.00 | 181.00 |
GENERAL DYNAMICS CORPSOLE | COM | 13.66K | SH | $2.94M 1.46% | 13.59K | 0.00 | 70.00 |
SEMPRASOLE | COM | 20.09K | SH | $2.93M 1.45% | 20.09K | 0.00 | 0.00 |
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