SPECTRUM ASSET MANAGEMENT, INC. (NB/CA)

Filed: 4/22/2026ACC: 0001632078-26-000005

📋 What this filing means

SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 109 equity positions with a total reported market value of $314.79M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

109

Positions

$314.79M

Total AUM (reported)

5.73M

Total Shares

Allocation by class

COM$107.01M34.0%

FT VEST US EQT$29.43M9.4%

VANGUARD ULTRA$23.23M7.4%

US LCAP VA ETF$14.49M4.6%

S&P500 EQL WGT$14.36M4.6%

ISHARES NEW$14.13M4.5%

HEDGEYE CAPITAL$10.00M3.2%

Portfolio Concentration

Top 3$70.73M22.5%

4–10$73.97M23.5%

11–25$74.49M23.7%

Rest$95.59M30.4%

Top 3 weight

22.5%

Top 10 weight

46.0%

Voting Authority Distribution

Total shares with voting rights: 5.73M

Sole

Full voting authority

5.73M

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

2.42K

% of voting shares0.0%

Investment Discretion (by position count)

Sole97

Shared0

Other12

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings109

Rows:

WELLS FARGO & CO

SOLE

COM

Shares414.69K

TypeSH

Market value$33.01M

10.49%

Sole

414.69K

Shared

0.00

None

0.00

VANGUARD BD INDEX FDS

SOLE

VANGUARD ULTRA

Shares466.56K

TypeSH

Market value$23.23M

7.38%

Sole

466.56K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LCAP VA ETF

Shares475.10K

TypeSH

Market value$14.49M

4.60%

Sole

475.10K

Shared

0.00

None

0.00

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL WGT

Shares74.84K

TypeSH

Market value$14.36M

4.56%

Sole

74.84K

Shared

0.00

None

0.00

ISHARES GOLD TR

SOLE

ISHARES NEW

Shares160.33K

TypeSH

Market value$14.13M

4.49%

Sole

160.33K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares255.37K

TypeSH

Market value$11.23M

3.57%

Sole

255.37K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares248.22K

TypeSH

Market value$10.52M

3.34%

Sole

248.22K

Shared

0.00

None

0.00

ETF OPPORTUNITIES TRUST

SOLE

HEDGEYE CAPITAL

Shares346.49K

TypeSH

Market value$10.00M

3.18%

Sole

346.49K

Shared

0.00

None

0.00

EXXON MOBIL CORP

DFND

COM

Shares40.45K

TypeSH

Market value$6.86M

2.18%

Sole

40.32K

Shared

0.00

None

132.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST INTER EQ

Shares250.67K

TypeSH

Market value$6.86M

2.18%

Sole

250.67K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US

Shares144.02K

TypeSH

Market value$6.82M

2.17%

Sole

144.02K

Shared

0.00

None

0.00

CHEVRON CORPORATION

DFND

COM

Shares32.32K

TypeSH

Market value$6.69M

2.12%

Sole

32.23K

Shared

0.00

None

91.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares134.69K

TypeSH

Market value$6.05M

1.92%

Sole

134.69K

Shared

0.00

None

0.00

ALPHABET INC

SOLE

CAP STK CL C

Shares18.95K

TypeSH

Market value$5.44M

1.73%

Sole

18.95K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST U.S.

Shares119.20K

TypeSH

Market value$5.28M

1.68%

Sole

119.20K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LCAP GR ETF

Shares174.42K

TypeSH

Market value$5.08M

1.61%

Sole

174.42K

Shared

0.00

None

0.00

WALMART INC

SOLE

COM

Shares40.54K

TypeSH

Market value$5.05M

1.60%

Sole

40.54K

Shared

0.00

None

0.00

EMCOR GROUP INC

SOLE

COM

Shares6.35K

TypeSH

Market value$4.69M

1.49%

Sole

6.35K

Shared

0.00

None

0.00

ISHARES TR

SOLE

MSCI USA MIN VOL

Shares49.28K

TypeSH

Market value$4.57M

1.45%

Sole

49.28K

Shared

0.00

None

0.00

L3HARRIS TECHNOLOGIES INC

SOLE

COM

Shares12.73K

TypeSH

Market value$4.39M

1.40%

Sole

12.73K

Shared

0.00

None

0.00

CISCO SYS INC

DFND

COM

Shares55.15K

TypeSH

Market value$4.28M

1.36%

Sole

54.82K

Shared

0.00

None

323.00

SCHWAB STRATEGIC TR

SOLE

INTL EQTY ETF

Shares169.54K

TypeSH

Market value$4.20M

1.33%

Sole

169.54K

Shared

0.00

None

0.00

NOVARTIS AG

DFND

HONEYWELL INTL INC

SOLE

COM

Shares17.72K

TypeSH

Market value$4.01M

1.27%

Sole

17.72K

Shared

0.00

None

0.00

ABBVIE INC

SOLE

COM

Shares18.13K

TypeSH

Market value$3.94M

1.25%

Sole

18.13K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
WELLS FARGO & COSOLE	COM	414.69K	SH	$33.01M 10.49%	414.69K	0.00
VANGUARD BD INDEX FDSSOLE	VANGUARD ULTRA	466.56K	SH	$23.23M 7.38%	466.56K	0.00
SCHWAB STRATEGIC TRSOLE	US LCAP VA ETF	475.10K	SH	$14.49M 4.60%	475.10K	0.00
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL WGT	74.84K	SH	$14.36M 4.56%	74.84K	0.00
ISHARES GOLD TRSOLE	ISHARES NEW	160.33K	SH	$14.13M 4.49%	160.33K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	255.37K	SH	$11.23M 3.57%	255.37K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	248.22K	SH	$10.52M 3.34%	248.22K	0.00
ETF OPPORTUNITIES TRUSTSOLE	HEDGEYE CAPITAL	346.49K	SH	$10.00M 3.18%	346.49K	0.00
EXXON MOBIL CORPDFND	COM	40.45K	SH	$6.86M 2.18%	40.32K	132.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST INTER EQ	250.67K	SH	$6.86M 2.18%	250.67K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US	144.02K	SH	$6.82M 2.17%	144.02K	0.00
CHEVRON CORPORATIONDFND	COM	32.32K	SH	$6.69M 2.12%	32.23K	91.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	134.69K	SH	$6.05M 1.92%	134.69K	0.00
ALPHABET INCSOLE	CAP STK CL C	18.95K	SH	$5.44M 1.73%	18.95K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST U.S.	119.20K	SH	$5.28M 1.68%	119.20K	0.00
SCHWAB STRATEGIC TRSOLE	US LCAP GR ETF	174.42K	SH	$5.08M 1.61%	174.42K	0.00
WALMART INCSOLE	COM	40.54K	SH	$5.05M 1.60%	40.54K	0.00
EMCOR GROUP INCSOLE	COM	6.35K	SH	$4.69M 1.49%	6.35K	0.00
ISHARES TRSOLE	MSCI USA MIN VOL	49.28K	SH	$4.57M 1.45%	49.28K	0.00
L3HARRIS TECHNOLOGIES INCSOLE	COM	12.73K	SH	$4.39M 1.40%	12.73K	0.00
CISCO SYS INCDFND	COM	55.15K	SH	$4.28M 1.36%	54.82K	323.00
SCHWAB STRATEGIC TRSOLE	INTL EQTY ETF	169.54K	SH	$4.20M 1.33%	169.54K	0.00
NOVARTIS AGDFND	SPONSORED ADR	26.27K	SH	$4.01M 1.27%	26.13K	144.00
HONEYWELL INTL INCSOLE	COM	17.72K	SH	$4.01M 1.27%	17.72K	0.00
ABBVIE INCSOLE	COM	18.13K	SH	$3.94M 1.25%	18.13K	0.00

Page 1 of 5

…