SPECTRUM ASSET MANAGEMENT, INC. (NB/CA)

Filed: 8/3/2026ACC: 0001632078-26-000009

📋 What this filing means

SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 116 equity positions with a total reported market value of $360.45M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

116

Positions

$360.45M

Total AUM (reported)

6.05M

Total Shares

Allocation by class

COM$110.79M30.7%

FT VEST US EQT$42.30M11.7%

S&P500 EQL WGT$26.80M7.4%

VANGUARD ULTRA$24.29M6.7%

US LCAP VA ETF$18.27M5.1%

ISHARES NEW$12.05M3.3%

IBOXX INV CP ETF$9.48M2.6%

Portfolio Concentration

Top 3$84.73M23.5%

4–10$83.05M23.0%

11–25$81.48M22.6%

Rest$111.19M30.8%

Top 3 weight

23.5%

Top 10 weight

46.5%

Voting Authority Distribution

Total shares with voting rights: 6.05M

Sole

Full voting authority

6.05M

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

2.52K

% of voting shares0.0%

Investment Discretion (by position count)

Sole102

Shared0

Other14

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings116

Rows:

WELLS FARGO & CO

SOLE

COM

Shares407.19K

TypeSH

Market value$33.65M

9.34%

Sole

407.19K

Shared

0.00

None

0.00

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL WGT

Shares125.94K

TypeSH

Market value$26.80M

7.43%

Sole

125.94K

Shared

0.00

None

0.00

VANGUARD BD INDEX FDS

SOLE

VANGUARD ULTRA

Shares487.87K

TypeSH

Market value$24.29M

6.74%

Sole

487.87K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LCAP VA ETF

Shares524.86K

TypeSH

Market value$18.27M

5.07%

Sole

524.86K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares273.26K

TypeSH

Market value$12.88M

3.57%

Sole

273.26K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares254.82K

TypeSH

Market value$12.09M

3.35%

Sole

254.82K

Shared

0.00

None

0.00

ISHARES GOLD TR

SOLE

ISHARES NEW

Shares159.60K

TypeSH

Market value$12.05M

3.34%

Sole

159.60K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares246.98K

TypeSH

Market value$11.05M

3.07%

Sole

246.98K

Shared

0.00

None

0.00

ISHARES TR

SOLE

IBOXX INV CP ETF

Shares86.91K

TypeSH

Market value$9.48M

2.63%

Sole

86.91K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST INTER EQ

Shares252.51K

TypeSH

Market value$7.24M

2.01%

Sole

252.51K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US

Shares139.88K

TypeSH

Market value$7.06M

1.96%

Sole

139.88K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

INTL EQTY ETF

Shares245.93K

TypeSH

Market value$6.81M

1.89%

Sole

245.93K

Shared

0.00

None

0.00

ALPHABET INC

SOLE

CAP STK CL C

Shares18.83K

TypeSH

Market value$6.65M

1.85%

Sole

18.83K

Shared

0.00

None

0.00

CISCO SYS INC

DFND

COM

Shares54.77K

TypeSH

Market value$6.43M

1.78%

Sole

54.45K

Shared

0.00

None

323.00

SCHWAB STRATEGIC TR

SOLE

US LCAP GR ETF

Shares181.12K

TypeSH

Market value$6.13M

1.70%

Sole

181.12K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST U.S.

Shares118.32K

TypeSH

Market value$5.61M

1.56%

Sole

118.32K

Shared

0.00

None

0.00

EXXON MOBIL CORP

DFND

COM

Shares40.28K

TypeSH

Market value$5.51M

1.53%

Sole

40.15K

Shared

0.00

None

132.00

CHEVRON CORPORATION

DFND

COM

Shares32.32K

TypeSH

Market value$5.36M

1.49%

Sole

32.23K

Shared

0.00

None

91.00

ISHARES TR

SOLE

MSCI USA MIN ETF

Shares52.59K

TypeSH

Market value$5.07M

1.41%

Sole

52.59K

Shared

0.00

None

0.00

EMCOR GROUP INC

SOLE

COM

Shares5.53K

TypeSH

Market value$4.59M

1.27%

Sole

5.53K

Shared

0.00

None

0.00

WALMART INC

SOLE

COM

Shares40.43K

TypeSH

Market value$4.58M

1.27%

Sole

40.43K

Shared

0.00

None

0.00

ABBVIE INC

SOLE

COM

Shares18.16K

TypeSH

Market value$4.57M

1.27%

Sole

18.16K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares92.17K

TypeSH

Market value$4.54M

1.26%

Sole

92.17K

Shared

0.00

None

0.00

ISHARES TR

SOLE

0-3 MTH TREASURY

Shares43.37K

TypeSH

Market value$4.37M

1.21%

Sole

43.37K

Shared

0.00

None

0.00

ISHARES INC

SOLE

MSCI EMRG CHN

Shares41.06K

TypeSH

Market value$4.20M

1.17%

Sole

41.06K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
WELLS FARGO & COSOLE	COM	407.19K	SH	$33.65M 9.34%	407.19K	0.00
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL WGT	125.94K	SH	$26.80M 7.43%	125.94K	0.00
VANGUARD BD INDEX FDSSOLE	VANGUARD ULTRA	487.87K	SH	$24.29M 6.74%	487.87K	0.00
SCHWAB STRATEGIC TRSOLE	US LCAP VA ETF	524.86K	SH	$18.27M 5.07%	524.86K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	273.26K	SH	$12.88M 3.57%	273.26K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	254.82K	SH	$12.09M 3.35%	254.82K	0.00
ISHARES GOLD TRSOLE	ISHARES NEW	159.60K	SH	$12.05M 3.34%	159.60K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	246.98K	SH	$11.05M 3.07%	246.98K	0.00
ISHARES TRSOLE	IBOXX INV CP ETF	86.91K	SH	$9.48M 2.63%	86.91K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST INTER EQ	252.51K	SH	$7.24M 2.01%	252.51K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US	139.88K	SH	$7.06M 1.96%	139.88K	0.00
SCHWAB STRATEGIC TRSOLE	INTL EQTY ETF	245.93K	SH	$6.81M 1.89%	245.93K	0.00
ALPHABET INCSOLE	CAP STK CL C	18.83K	SH	$6.65M 1.85%	18.83K	0.00
CISCO SYS INCDFND	COM	54.77K	SH	$6.43M 1.78%	54.45K	323.00
SCHWAB STRATEGIC TRSOLE	US LCAP GR ETF	181.12K	SH	$6.13M 1.70%	181.12K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST U.S.	118.32K	SH	$5.61M 1.56%	118.32K	0.00
EXXON MOBIL CORPDFND	COM	40.28K	SH	$5.51M 1.53%	40.15K	132.00
CHEVRON CORPORATIONDFND	COM	32.32K	SH	$5.36M 1.49%	32.23K	91.00
ISHARES TRSOLE	MSCI USA MIN ETF	52.59K	SH	$5.07M 1.41%	52.59K	0.00
EMCOR GROUP INCSOLE	COM	5.53K	SH	$4.59M 1.27%	5.53K	0.00
WALMART INCSOLE	COM	40.43K	SH	$4.58M 1.27%	40.43K	0.00
ABBVIE INCSOLE	COM	18.16K	SH	$4.57M 1.27%	18.16K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	92.17K	SH	$4.54M 1.26%	92.17K	0.00
ISHARES TRSOLE	0-3 MTH TREASURY	43.37K	SH	$4.37M 1.21%	43.37K	0.00
ISHARES INCSOLE	MSCI EMRG CHN	41.06K	SH	$4.20M 1.17%	41.06K	0.00

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