SPECTRUM ASSET MANAGEMENT, INC. (NB/CA)

Filed: 10/19/2026ACC: 0001632078-26-000011

📋 What this filing means

SPECTRUM ASSET MANAGEMENT, INC. (NB/CA) filed this quarterly 13F‑HR report disclosing 112 equity positions with a total reported market value of $346.34M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

112

Positions

$346.34M

Total AUM (reported)

6.02M

Total Shares

Allocation by class

COM$101.86M29.4%

FT VEST US EQT$44.27M12.8%

VANGUARD ULTRA$23.35M6.7%

S&P500 EQL WGT$18.34M5.3%

US LCAP VA ETF$17.83M5.1%

ISHARES NEW$12.72M3.7%

INTL EQTY ETF$9.37M2.7%

Portfolio Concentration

Top 3$72.81M21.0%

4–10$84.60M24.4%

11–25$82.98M24.0%

Rest$105.96M30.6%

Top 3 weight

21.0%

Top 10 weight

45.4%

Voting Authority Distribution

Total shares with voting rights: 6.02M

Sole

Full voting authority

6.02M

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

2.41K

% of voting shares0.0%

Investment Discretion (by position count)

Sole101

Shared0

Other11

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings112

Rows:

WELLS FARGO & CO

SOLE

COM

Shares388.79K

TypeSH

Market value$31.12M

8.99%

Sole

388.79K

Shared

0.00

None

0.00

VANGUARD BD INDEX FDS

SOLE

VANGUARD ULTRA

Shares471.18K

TypeSH

Market value$23.35M

6.74%

Sole

471.18K

Shared

0.00

None

0.00

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL WGT

Shares88.15K

TypeSH

Market value$18.34M

5.29%

Sole

88.15K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LCAP VA ETF

Shares535.23K

TypeSH

Market value$17.83M

5.15%

Sole

535.23K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares272.75K

TypeSH

Market value$13.08M

3.78%

Sole

272.75K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares266.98K

TypeSH

Market value$13.05M

3.77%

Sole

266.98K

Shared

0.00

None

0.00

ISHARES GOLD TR

SOLE

ISHARES NEW

Shares162.90K

TypeSH

Market value$12.72M

3.67%

Sole

162.90K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares245.86K

TypeSH

Market value$11.24M

3.25%

Sole

245.86K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

INTL EQTY ETF

Shares341.22K

TypeSH

Market value$9.37M

2.71%

Sole

341.22K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST INTER EQ

Shares251.69K

TypeSH

Market value$7.31M

2.11%

Sole

251.69K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US

Shares137.61K

TypeSH

Market value$7.10M

2.05%

Sole

137.61K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LCAP GR ETF

Shares197.46K

TypeSH

Market value$7.09M

2.05%

Sole

197.46K

Shared

0.00

None

0.00

CHEVRON CORPORATION

DFND

COM

Shares31.91K

TypeSH

Market value$6.52M

1.88%

Sole

31.82K

Shared

0.00

None

91.00

EXXONMOBIL HOLDINGS CORP

DFND

COM SHS

Shares39.65K

TypeSH

Market value$6.45M

1.86%

Sole

39.52K

Shared

0.00

None

132.00

ILLUMINA INC

SOLE

COM

Shares23.11K

TypeSH

Market value$6.33M

1.83%

Sole

23.11K

Shared

0.00

None

0.00

CISCO SYS INC

DFND

COM

Shares53.56K

TypeSH

Market value$5.77M

1.66%

Sole

53.24K

Shared

0.00

None

323.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST U.S.

Shares115.65K

TypeSH

Market value$5.62M

1.62%

Sole

115.65K

Shared

0.00

None

0.00

ALPHABET INC

SOLE

CAP STK CL C

Shares16.01K

TypeSH

Market value$5.46M

1.58%

Sole

16.01K

Shared

0.00

None

0.00

SELECT SECTOR SPDR TR

SOLE

ST STR CARE ETF

Shares30.85K

TypeSH

Market value$5.20M

1.50%

Sole

30.85K

Shared

0.00

None

0.00

ISHARES TR

SOLE

MSCI USA MIN ETF

Shares52.79K

TypeSH

Market value$5.14M

1.49%

Sole

52.79K

Shared

0.00

None

0.00

MICROSOFT CORP

DFND

COM

Shares9.60K

TypeSH

Market value$4.92M

1.42%

Sole

9.54K

Shared

0.00

None

57.00

ABBVIE INC

SOLE

COM

Shares17.73K

TypeSH

Market value$4.64M

1.34%

Sole

17.73K

Shared

0.00

None

0.00

FIRST TR EXCHNG TRADED FD VI

SOLE

FT VEST US EQT

Shares90.01K

TypeSH

Market value$4.51M

1.30%

Sole

90.01K

Shared

0.00

None

0.00

WALMART INC

SOLE

COM

Shares40.30K

TypeSH

Market value$4.19M

1.21%

Sole

40.30K

Shared

0.00

None

0.00

EMCOR GROUP INC

SOLE

COM

Shares5.38K

TypeSH

Market value$4.06M

1.17%

Sole

5.38K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
WELLS FARGO & COSOLE	COM	388.79K	SH	$31.12M 8.99%	388.79K	0.00
VANGUARD BD INDEX FDSSOLE	VANGUARD ULTRA	471.18K	SH	$23.35M 6.74%	471.18K	0.00
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL WGT	88.15K	SH	$18.34M 5.29%	88.15K	0.00
SCHWAB STRATEGIC TRSOLE	US LCAP VA ETF	535.23K	SH	$17.83M 5.15%	535.23K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	272.75K	SH	$13.08M 3.78%	272.75K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	266.98K	SH	$13.05M 3.77%	266.98K	0.00
ISHARES GOLD TRSOLE	ISHARES NEW	162.90K	SH	$12.72M 3.67%	162.90K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	245.86K	SH	$11.24M 3.25%	245.86K	0.00
SCHWAB STRATEGIC TRSOLE	INTL EQTY ETF	341.22K	SH	$9.37M 2.71%	341.22K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST INTER EQ	251.69K	SH	$7.31M 2.11%	251.69K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US	137.61K	SH	$7.10M 2.05%	137.61K	0.00
SCHWAB STRATEGIC TRSOLE	US LCAP GR ETF	197.46K	SH	$7.09M 2.05%	197.46K	0.00
CHEVRON CORPORATIONDFND	COM	31.91K	SH	$6.52M 1.88%	31.82K	91.00
EXXONMOBIL HOLDINGS CORPDFND	COM SHS	39.65K	SH	$6.45M 1.86%	39.52K	132.00
ILLUMINA INCSOLE	COM	23.11K	SH	$6.33M 1.83%	23.11K	0.00
CISCO SYS INCDFND	COM	53.56K	SH	$5.77M 1.66%	53.24K	323.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST U.S.	115.65K	SH	$5.62M 1.62%	115.65K	0.00
ALPHABET INCSOLE	CAP STK CL C	16.01K	SH	$5.46M 1.58%	16.01K	0.00
SELECT SECTOR SPDR TRSOLE	ST STR CARE ETF	30.85K	SH	$5.20M 1.50%	30.85K	0.00
ISHARES TRSOLE	MSCI USA MIN ETF	52.79K	SH	$5.14M 1.49%	52.79K	0.00
MICROSOFT CORPDFND	COM	9.60K	SH	$4.92M 1.42%	9.54K	57.00
ABBVIE INCSOLE	COM	17.73K	SH	$4.64M 1.34%	17.73K	0.00
FIRST TR EXCHNG TRADED FD VISOLE	FT VEST US EQT	90.01K	SH	$4.51M 1.30%	90.01K	0.00
WALMART INCSOLE	COM	40.30K	SH	$4.19M 1.21%	40.30K	0.00
EMCOR GROUP INCSOLE	COM	5.38K	SH	$4.06M 1.17%	5.38K	0.00

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