Spectrum Asset Management, Inc. — 13F Holdings & Portfolio
CIK 1318293 · latest 13F-HR filed 2026-08-04
Spectrum Asset Management, Inc. manages $69.6M in 13F-reported U.S. long-equity assets across 4 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are PGX (77.11%), VRP (15.56%), WFCPL (5.71%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 0 new positions and exited 0; 3 existing positions rose in reported value and 0 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Long-equity book
Distinct positions
Filed 2026-08-04
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
3 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 100%Cumulative share of the portfolio held in the largest N positions.
As of the firm’s regulatory filing dated Dec 4, 2018.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BYER, MATTHEW ROSS Control | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER since Jan 2010 | Less than 5% | Individual |
| JACOBY, LEWIS PHILLIP Control | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER since Jan 2010 | Less than 5% | Individual |
| LIEB, MARK ALAN Control | PRESIDENT & CHIEF EXECUTIVE OFFICER since Jan 2010 | Less than 5% | Individual |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC Control | OWNER since May 2017 | 75% or more | Domestic Entity |
| HANCZOR, JOSEPH ANDREW | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER since Aug 2009 | Less than 5% | Individual |
| ORLANDO, JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER since Feb 2000 | Less than 5% | Individual |
| URCIUOLI, JOSEPH JOHN | MANAGING DIRECTOR & DIRECTOR OF RESEARCH since Jan 2010 | Less than 5% | Individual |
| PRINCIPAL FINANCIAL GROUP INC. Control Indirect owner via PRINCIPAL FINANCIAL SERVICES INC. | 100% OWNER since Oct 2001 | 75% or more | Domestic Entity |
| PRINCIPAL FINANCIAL SERVICES INC. Control Indirect owner via PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | 100% OWNER since Oct 2001 | 75% or more | Domestic Entity |
Ownership & leadership changes · 3 filings with changes since Mar 29, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
- No longer listedPRINCIPAL FINANCIAL SERVICES INC. · 100% OWNER · 75% or more · indirect via PRINCIPAL LIFE INSURANCE CO. · control person · listed since Oct 2001
- No longer listedPRINCIPAL LIFE INSURANCE CO. · 100% OWNER · 75% or more · indirect via PRINCIPAL GLOBAL INVESTORS, LLC · control person · listed since Oct 2001
- AddedPRINCIPAL FINANCIAL SERVICES INC. · 100% OWNER · 75% or more · indirect via PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC · control person
- No longer listedPRINCIPAL GLOBAL INVESTORS, LLC · OWNER · 75% or more · control person · listed since Oct 2001
- AddedPRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC · OWNER · 75% or more · control person
- ChangedHANCZOR, JOSEPH ANDREW · title CHIEF COMPLIANCE OFFICER → MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER
- ChangedORLANDO, JEAN MARIE · title FINANCIAL & OPERATIONS PRINCIPAL → FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER
- ListedBYER, MATTHEW ROSS · EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER · Less than 5% · control person
- ListedHANCZOR, JOSEPH ANDREW · CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedJACOBY, LEWIS PHILLIP · EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER · Less than 5% · control person
- ListedLIEB, MARK ALAN · PRESIDENT & CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- ListedORLANDO, JEAN MARIE · FINANCIAL & OPERATIONS PRINCIPAL · Less than 5%
- ListedPRINCIPAL FINANCIAL GROUP INC. · 100% OWNER · 75% or more · indirect via PRINCIPAL FINANCIAL SERVICES INC. · control person
- ListedPRINCIPAL FINANCIAL SERVICES INC. · 100% OWNER · 75% or more · indirect via PRINCIPAL LIFE INSURANCE CO. · control person
- ListedPRINCIPAL GLOBAL INVESTORS, LLC · OWNER · 75% or more · control person
- ListedPRINCIPAL LIFE INSURANCE CO. · 100% OWNER · 75% or more · indirect via PRINCIPAL GLOBAL INVESTORS, LLC · control person
- ListedURCIUOLI, JOSEPH JOHN · MANAGING DIRECTOR & DIRECTOR OF RESEARCH · Less than 5%
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- INVESCO EXCH TRADED FD TR II$11.2M +26.4%
- INVESCO EXCH TRADED FD TR II$8.3M +325.8%
- BANK OF AMER CORP$56.5K +5.3%
Spectrum Asset Management, Inc. Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-04 | $69.6M | 4 | 0001318293-26-000003 |
| 2026-03-31 | 2026-05-04 | $50.0M | 4 | 0001318293-26-000002 |
| 2025-12-31 | 2026-02-02 | $79.5M | 4 | 0001318293-26-000001 |
STAMFORD, CT 06905