Filed: 10/18/2023ACC: 0001632078-23-000008
📋 What this filing means
SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 91 equity positions with a total reported market value of $190.41M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
91
Positions
$190.41M
Total AUM (reported)
9.58M
Total Shares
Allocation by class
COM$83.61M43.9%
US TREAS BD ETF$17.31M9.1%
US LCAP VA ETF$14.69M7.7%
ISHARES NEW$7.73M4.1%
SHS$7.01M3.7%
US LCAP GR ETF$6.66M3.5%
ESG AWR MSCI USA$5.79M3.0%
Portfolio Concentration
Top 3$39.73M20.9%
4–10$40.03M21.0%
11–25$53.26M28.0%
Rest$57.40M30.1%
Top 3 weight
20.9%
Top 10 weight
41.9%
Voting Authority Distribution
Total shares with voting rights: 9.58M
Sole
Full voting authority
9.58M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
1.96K
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole91
Shared0
Other0
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings91
Rows:
ISHARES TR
SOLEShares785.34K
TypeSH
Market value$17.31M
9.09%
Sole
785.34K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares227.83K
TypeSH
Market value$14.69M
7.71%
Sole
227.83K
Shared
0.00
None
0.00
ISHARES GOLD TR
SOLEShares221.02K
TypeSH
Market value$7.73M
4.06%
Sole
221.02K
Shared
0.00
None
0.00
CHEVRON CORP NEW
SOLEShares43.71K
TypeSH
Market value$7.37M
3.87%
Sole
43.60K
Shared
0.00
None
105.00
SCHWAB STRATEGIC TR
SOLEShares91.58K
TypeSH
Market value$6.66M
3.50%
Sole
91.58K
Shared
0.00
None
0.00
MEDTRONIC PLC
SOLEShares81.54K
TypeSH
Market value$6.45M
3.39%
Sole
81.38K
Shared
0.00
None
168.00
ISHARES TR
SOLEShares61.44K
TypeSH
Market value$5.79M
3.04%
Sole
61.44K
Shared
0.00
None
0.00
INVESCO EXCHANGE TRADED FD T
SOLEShares34.17K
TypeSH
Market value$4.84M
2.54%
Sole
34.17K
Shared
0.00
None
0.00
CISCO SYS INC
SOLEShares84.98K
TypeSH
Market value$4.57M
2.40%
Sole
84.66K
Shared
0.00
None
323.00
EXXON MOBIL CORP
SOLEShares36.98K
TypeSH
Market value$4.35M
2.28%
Sole
36.81K
Shared
0.00
None
165.00
SCHWAB CHARLES FAMILY FD
SOLEShares4.34M
TypeSH
Market value$4.34M
2.28%
Sole
4.34M
Shared
0.00
None
0.00
ISHARES TR
SOLEShares53.68K
TypeSH
Market value$3.91M
2.05%
Sole
53.68K
Shared
0.00
None
0.00
MICROSOFT CORP
SOLEShares12.30K
TypeSH
Market value$3.88M
2.04%
Sole
12.27K
Shared
0.00
None
34.00
HONEYWELL INTL INC
SOLEShares21.01K
TypeSH
Market value$3.88M
2.04%
Sole
21.01K
Shared
0.00
None
0.00
INTEL CORP
SOLEShares107.83K
TypeSH
Market value$3.83M
2.01%
Sole
107.57K
Shared
0.00
None
260.00
WALMART INC
SOLEShares23.82K
TypeSH
Market value$3.81M
2.00%
Sole
23.82K
Shared
0.00
None
0.00
SCHWAB CHARLES CORP
SOLEShares68.41K
TypeSH
Market value$3.76M
1.97%
Sole
68.41K
Shared
0.00
None
0.00
SELECT SECTOR SPDR TR
SOLEShares39.76K
TypeSH
Market value$3.59M
1.89%
Sole
39.76K
Shared
0.00
None
0.00
ACCENTURE PLC IRELAND
SOLEShares11.31K
TypeSH
Market value$3.47M
1.82%
Sole
11.31K
Shared
0.00
None
0.00
APPLE INC
SOLEShares20K
TypeSH
Market value$3.42M
1.80%
Sole
20K
Shared
0.00
None
0.00
ABBVIE INC
SOLEShares22.59K
TypeSH
Market value$3.37M
1.77%
Sole
22.59K
Shared
0.00
None
0.00
CF INDS HLDGS INC
SOLEShares36.64K
TypeSH
Market value$3.14M
1.65%
Sole
36.64K
Shared
0.00
None
0.00
BUNGE LIMITED
SOLEShares27.64K
TypeSH
Market value$2.99M
1.57%
Sole
27.64K
Shared
0.00
None
0.00
GENERAL DYNAMICS CORP
SOLEShares13.45K
TypeSH
Market value$2.97M
1.56%
Sole
13.38K
Shared
0.00
None
70.00
ORACLE CORP
SOLEShares27.21K
TypeSH
Market value$2.88M
1.51%
Sole
27.21K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
ISHARES TRSOLE | US TREAS BD ETF | 785.34K | SH | $17.31M 9.09% | 785.34K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP VA ETF | 227.83K | SH | $14.69M 7.71% | 227.83K | 0.00 | 0.00 |
ISHARES GOLD TRSOLE | ISHARES NEW | 221.02K | SH | $7.73M 4.06% | 221.02K | 0.00 | 0.00 |
CHEVRON CORP NEWSOLE | COM | 43.71K | SH | $7.37M 3.87% | 43.60K | 0.00 | 105.00 |
SCHWAB STRATEGIC TRSOLE | US LCAP GR ETF | 91.58K | SH | $6.66M 3.50% | 91.58K | 0.00 | 0.00 |
MEDTRONIC PLCSOLE | SHS | 81.54K | SH | $6.45M 3.39% | 81.38K | 0.00 | 168.00 |
ISHARES TRSOLE | ESG AWR MSCI USA | 61.44K | SH | $5.79M 3.04% | 61.44K | 0.00 | 0.00 |
INVESCO EXCHANGE TRADED FD TSOLE | S&P500 EQL WGT | 34.17K | SH | $4.84M 2.54% | 34.17K | 0.00 | 0.00 |
CISCO SYS INCSOLE | COM | 84.98K | SH | $4.57M 2.40% | 84.66K | 0.00 | 323.00 |
EXXON MOBIL CORPSOLE | COM | 36.98K | SH | $4.35M 2.28% | 36.81K | 0.00 | 165.00 |
SCHWAB CHARLES FAMILY FDSOLE | AMT TAX FREE MNY | 4.34M | SH | $4.34M 2.28% | 4.34M | 0.00 | 0.00 |
ISHARES TRSOLE | MSCI USA MIN VOL | 53.68K | SH | $3.91M 2.05% | 53.68K | 0.00 | 0.00 |
MICROSOFT CORPSOLE | COM | 12.30K | SH | $3.88M 2.04% | 12.27K | 0.00 | 34.00 |
HONEYWELL INTL INCSOLE | COM | 21.01K | SH | $3.88M 2.04% | 21.01K | 0.00 | 0.00 |
INTEL CORPSOLE | COM | 107.83K | SH | $3.83M 2.01% | 107.57K | 0.00 | 260.00 |
WALMART INCSOLE | COM | 23.82K | SH | $3.81M 2.00% | 23.82K | 0.00 | 0.00 |
SCHWAB CHARLES CORPSOLE | COM | 68.41K | SH | $3.76M 1.97% | 68.41K | 0.00 | 0.00 |
SELECT SECTOR SPDR TRSOLE | ENERGY | 39.76K | SH | $3.59M 1.89% | 39.76K | 0.00 | 0.00 |
ACCENTURE PLC IRELANDSOLE | SHS CLASS A | 11.31K | SH | $3.47M 1.82% | 11.31K | 0.00 | 0.00 |
APPLE INCSOLE | COM | 20K | SH | $3.42M 1.80% | 20K | 0.00 | 0.00 |
ABBVIE INCSOLE | COM | 22.59K | SH | $3.37M 1.77% | 22.59K | 0.00 | 0.00 |
CF INDS HLDGS INCSOLE | COM | 36.64K | SH | $3.14M 1.65% | 36.64K | 0.00 | 0.00 |
BUNGE LIMITEDSOLE | COM | 27.64K | SH | $2.99M 1.57% | 27.64K | 0.00 | 0.00 |
GENERAL DYNAMICS CORPSOLE | COM | 13.45K | SH | $2.97M 1.56% | 13.38K | 0.00 | 70.00 |
ORACLE CORPSOLE | COM | 27.21K | SH | $2.88M 1.51% | 27.21K | 0.00 | 0.00 |
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