SPECTRUM ASSET MANAGEMENT, INC. (NB/CA)

Filed: 1/26/2026ACC: 0001632078-26-000003

📋 What this filing means

SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 108 equity positions with a total reported market value of $299.81M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

108

Positions

$299.81M

Total AUM (reported)

5.77M

Total Shares

Allocation by class

COM$70.67M23.6%

FT VEST US EQT$29.24M9.8%

VANGUARD ULTRA$22.55M7.5%

S&P500 EQL WGT$14.03M4.7%

ELDRIDGE AAA CLO$13.93M4.6%

ISHARES NEW$13.68M4.6%

US LCAP VA ETF$12.11M4.0%

Portfolio Concentration

Top 3$50.50M16.8%

4–10$72.41M24.2%

11–25$78.48M26.2%

Rest$98.41M32.8%

Top 3 weight

16.8%

Top 10 weight

41.0%

Voting Authority Distribution

Total shares with voting rights: 5.77M

Sole

Full voting authority

5.77M

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

2.24K

% of voting shares0.0%

Investment Discretion (by position count)

Sole108

Shared0

Other0

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings108

Rows:

VANGUARD BD INDEX FDS

SOLE

VANGUARD ULTRA

Shares452.39K

TypeSH

Market value$22.55M

7.52%

Sole

452.39K

Shared

0.00

None

0.00

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL WGT

Shares73.25K

TypeSH

Market value$14.03M

4.68%

Sole

73.25K

Shared

0.00

None

0.00

SERIES PORTFOLIOS TR

SOLE

ELDRIDGE AAA CLO

Shares545.92K

TypeSH

Market value$13.93M

4.65%

Sole

545.92K

Shared

0.00

None

0.00

ISHARES GOLD TR

SOLE

ISHARES NEW

Shares168.52K

TypeSH

Market value$13.68M

4.56%

Sole

168.52K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LCAP VA ETF

Shares408.91K

TypeSH

Market value$12.11M

4.04%

Sole

408.91K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares259.69K

TypeSH

Market value$11.66M

3.89%

Sole

259.69K

Shared

0.00

None

0.00

ISHARES TR

SOLE

MSCI USA MIN VOL

Shares122.76K

TypeSH

Market value$11.56M

3.86%

Sole

122.76K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares234.76K

TypeSH

Market value$9.78M

3.26%

Sole

234.76K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LCAP GR ETF

Shares213.71K

TypeSH

Market value$6.97M

2.33%

Sole

213.71K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US

Shares139.44K

TypeSH

Market value$6.65M

2.22%

Sole

139.44K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares135.51K

TypeSH

Market value$6.13M

2.04%

Sole

135.51K

Shared

0.00

None

0.00

VANGUARD INTL EQUITY INDEX F

SOLE

FTSE EUROPE ETF

Shares73.29K

TypeSH

Market value$6.13M

2.04%

Sole

73.29K

Shared

0.00

None

0.00

ALPHABET INC

SOLE

CAP STK CL C

Shares19.16K

TypeSH

Market value$6.01M

2.01%

Sole

19.16K

Shared

0.00

None

0.00

MICROSOFT CORP

SOLE

COM

Shares12.05K

TypeSH

Market value$5.83M

1.94%

Sole

12.01K

Shared

0.00

None

34.00

VANGUARD WHITEHALL FDS

SOLE

INTL HIGH ETF

Shares63.26K

TypeSH

Market value$5.69M

1.90%

Sole

63.26K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

INT-TRM U.S TRES

Shares224.81K

TypeSH

Market value$5.64M

1.88%

Sole

224.81K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

INTL EQTY ETF

Shares230.99K

TypeSH

Market value$5.55M

1.85%

Sole

230.99K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST U.S.

Shares119.99K

TypeSH

Market value$5.41M

1.80%

Sole

119.99K

Shared

0.00

None

0.00

WALMART INC

SOLE

COM

Shares44.62K

TypeSH

Market value$4.97M

1.66%

Sole

44.62K

Shared

0.00

None

0.00

ETF OPPORTUNITIES TRUST

SOLE

HEDGEYE CAPITAL

Shares177.52K

TypeSH

Market value$4.91M

1.64%

Sole

177.52K

Shared

0.00

None

0.00

CISCO SYS INC

SOLE

COM

Shares61.94K

TypeSH

Market value$4.77M

1.59%

Sole

61.62K

Shared

0.00

None

323.00

EXXON MOBIL CORP

SOLE

COM

Shares38.86K

TypeSH

Market value$4.68M

1.56%

Sole

38.72K

Shared

0.00

None

144.00

CHEVRON CORP NEW

SOLE

COM

Shares30.06K

TypeSH

Market value$4.58M

1.53%

Sole

29.97K

Shared

0.00

None

91.00

ABBVIE INC

SOLE

COM

Shares18.09K

TypeSH

Market value$4.13M

1.38%

Sole

18.09K

Shared

0.00

None

0.00

HONEYWELL INTL INC

SOLE

COM

Shares20.75K

TypeSH

Market value$4.05M

1.35%

Sole

20.75K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
VANGUARD BD INDEX FDSSOLE	VANGUARD ULTRA	452.39K	SH	$22.55M 7.52%	452.39K	0.00
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL WGT	73.25K	SH	$14.03M 4.68%	73.25K	0.00
SERIES PORTFOLIOS TRSOLE	ELDRIDGE AAA CLO	545.92K	SH	$13.93M 4.65%	545.92K	0.00
ISHARES GOLD TRSOLE	ISHARES NEW	168.52K	SH	$13.68M 4.56%	168.52K	0.00
SCHWAB STRATEGIC TRSOLE	US LCAP VA ETF	408.91K	SH	$12.11M 4.04%	408.91K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	259.69K	SH	$11.66M 3.89%	259.69K	0.00
ISHARES TRSOLE	MSCI USA MIN VOL	122.76K	SH	$11.56M 3.86%	122.76K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	234.76K	SH	$9.78M 3.26%	234.76K	0.00
SCHWAB STRATEGIC TRSOLE	US LCAP GR ETF	213.71K	SH	$6.97M 2.33%	213.71K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US	139.44K	SH	$6.65M 2.22%	139.44K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	135.51K	SH	$6.13M 2.04%	135.51K	0.00
VANGUARD INTL EQUITY INDEX FSOLE	FTSE EUROPE ETF	73.29K	SH	$6.13M 2.04%	73.29K	0.00
ALPHABET INCSOLE	CAP STK CL C	19.16K	SH	$6.01M 2.01%	19.16K	0.00
MICROSOFT CORPSOLE	COM	12.05K	SH	$5.83M 1.94%	12.01K	34.00
VANGUARD WHITEHALL FDSSOLE	INTL HIGH ETF	63.26K	SH	$5.69M 1.90%	63.26K	0.00
SCHWAB STRATEGIC TRSOLE	INT-TRM U.S TRES	224.81K	SH	$5.64M 1.88%	224.81K	0.00
SCHWAB STRATEGIC TRSOLE	INTL EQTY ETF	230.99K	SH	$5.55M 1.85%	230.99K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST U.S.	119.99K	SH	$5.41M 1.80%	119.99K	0.00
WALMART INCSOLE	COM	44.62K	SH	$4.97M 1.66%	44.62K	0.00
ETF OPPORTUNITIES TRUSTSOLE	HEDGEYE CAPITAL	177.52K	SH	$4.91M 1.64%	177.52K	0.00
CISCO SYS INCSOLE	COM	61.94K	SH	$4.77M 1.59%	61.62K	323.00
EXXON MOBIL CORPSOLE	COM	38.86K	SH	$4.68M 1.56%	38.72K	144.00
CHEVRON CORP NEWSOLE	COM	30.06K	SH	$4.58M 1.53%	29.97K	91.00
ABBVIE INCSOLE	COM	18.09K	SH	$4.13M 1.38%	18.09K	0.00
HONEYWELL INTL INCSOLE	COM	20.75K	SH	$4.05M 1.35%	20.75K	0.00

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