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Spectrum Asset Management, Inc. (NB/CA) — 13F Holdings & Portfolio

CIK 1632078 · latest 13F-HR filed 2026-08-03

Backtest portfolio

Spectrum Asset Management, Inc. (NB/CA) manages $360.4M in 13F-reported U.S. long-equity assets across 130 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are WFC (9.34%), RSP (7.43%), VUSB (6.74%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 14 new positions, exited 8, added to 50, and trimmed 27.

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.

Filer Information
Address
1301 DOVE STREET, SUITE 720
NEWPORT BEACH, CA 92660
Phone
(949) 717-3400
Filing Manager
Spectrum Asset Management, Inc. (NB/CA)
NEWPORT BEACH, CA
Signatory
Tony Jung
COO
Loading holdings…
AUM

$360.4M

Long-equity book

Holdings

130

Distinct positions

Period

2026-06-30

Filed 2026-08-03

Q/Q Activity

+14 / −8 / ↑50 / ↓27

vs 2026-03-31

Firm Profile & Key People
Name Title / Status Ownership Type

Top Adds (vs prior quarter)

  • INVESCO EXCHANGE TRADED FD T$12.4M +86.6%
  • FIRST TR EXCHNG TRADED FD VI$6.8M +112.8%
  • SCHWAB STRATEGIC TR$3.8M +26.1%
  • SCHWAB STRATEGIC TR$2.6M +62.3%
  • CISCO SYS INC$2.2M +50.4%
Show all 50 →

Top Trims

  • MEDTRONIC PLC-$2.7M -85.1%
  • ISHARES GOLD TR-$2.1M -14.7%
  • EXXON MOBIL CORP-$1.4M -19.8%
  • CHEVRON CORPORATION-$1.3M -19.9%
  • L3HARRIS TECHNOLOGIES INC-$695.6K -15.8%
Show all 27 →

New Positions

  • ISHARES TR$9.5M
  • FIRST TR EXCHNG TRADED FD VI$4.5M
  • ISHARES TR$4.4M
  • ISHARES INC$4.2M
  • HONEYWELL INTL INC$2.0M
Show all 14 →

Exited Positions

  • ETF OPPORTUNITIES TRUST$10.0M
  • HONEYWELL INTL INC$4.0M
  • GOLDMAN SACHS PHYSICAL GOLD$3.6M
  • ISHARES INC$826.7K
  • ELBIT SYS LTD$740.4K
Show all 8 →
All Holdings

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).

# Issuer Symbol CUSIP Value Weight Shares Type
1 WELLS FARGO & CO WFC 949746101 $33.7M 9.34% 407,194 SH
2 INVESCO EXCHANGE TRADED FD T RSP 46137V357 $26.8M 7.43% 125,941 SH
3 VANGUARD BD INDEX FDS VUSB 92203C303 $24.3M 6.74% 487,873 SH
4 SCHWAB STRATEGIC TR SCHV 808524409 $18.3M 5.07% 524,862 SH
5 FIRST TR EXCHNG TRADED FD VI DMAY 33740F730 $12.9M 3.57% 273,257 SH
6 FIRST TR EXCHNG TRADED FD VI DSEP 33740F680 $12.1M 3.35% 254,816 SH
7 ISHARES GOLD TR IAU 464285204 $12.1M 3.34% 159,602 SH
8 FIRST TR EXCHNG TRADED FD VI DMAR 33740F615 $11.0M 3.07% 246,980 SH
9 ISHARES TR LQD 464287242 $9.5M 2.63% 86,909 SH
10 FIRST TR EXCHNG TRADED FD VI YMAR 33740F573 $7.2M 2.01% 252,509 SH
11 FIRST TR EXCHNG TRADED FD VI DFEB 33740F771 $7.1M 1.96% 139,879 SH
12 SCHWAB STRATEGIC TR SCHF 808524805 $6.8M 1.89% 245,930 SH
13 ALPHABET INC GOOG 02079K107 $6.7M 1.85% 18,831 SH
14 CISCO SYS INC CSCO 17275R102 $6.4M 1.77% 54,449 SH
15 SCHWAB STRATEGIC TR SCHG 808524300 $6.1M 1.70% 181,120 SH
16 FIRST TR EXCHNG TRADED FD VI DDEC 33740U406 $5.6M 1.56% 118,323 SH
17 EXXON MOBIL CORP XOM 30231G102 $5.5M 1.52% 40,149 SH
18 CHEVRON CORPORATION CVX 166764100 $5.3M 1.48% 32,231 SH
19 ISHARES TR USMV 46429B697 $5.1M 1.41% 52,587 SH
20 EMCOR GROUP INC EME 29084Q100 $4.6M 1.27% 5,525 SH
21 WALMART INC WMT 931142103 $4.6M 1.27% 40,432 SH
22 ABBVIE INC ABBV 00287Y109 $4.6M 1.27% 18,159 SH
23 FIRST TR EXCHNG TRADED FD VI DJUN 33740F714 $4.5M 1.26% 92,169 SH
24 ISHARES TR SGOV 46436E718 $4.4M 1.21% 43,369 SH
25 ISHARES INC EMXC 46434G764 $4.2M 1.17% 41,062 SH
26 ILLUMINA INC ILMN 452327109 $4.1M 1.15% 23,586 SH
27 ISHARES INC SCJ 464286582 $3.7M 1.03% 35,337 SH
28 DUKE ENERGY CORP NEW DUK 26441C204 $3.7M 1.03% 29,317 SH
29 SCHWAB CHARLES CORP SCHW 808513105 $3.7M 1.03% 40,174 SH
30 L3HARRIS TECHNOLOGIES INC LHX 502431109 $3.7M 1.03% 12,730 SH
31 MICROSOFT CORP MSFT 594918104 $3.6M 1.00% 9,696 SH
32 NOVARTIS AG NVS 66987V109 $3.6M 0.99% 22,660 SH
33 FREEPORT MCMORAN INC FCX 35671D857 $3.5M 0.98% 55,922 SH
34 EMERSON ELEC CO EMR 291011104 $3.4M 0.94% 23,718 SH
35 EDWARDS LIFESCIENCES CORP EW 28176E108 $3.3M 0.90% 36,010 SH
36 SCHWAB STRATEGIC TR SCHR 808524854 $3.2M 0.89% 130,560 SH
37 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $3.2M 0.89% 6,423 SH
38 SELECT SECTOR SPDR TR XLE 81369Y506 $3.2M 0.88% 60,038 SH
39 SERIES PORTFOLIOS TR CLOX 81752T486 $3.2M 0.88% 124,361 SH
40 ISHARES TR ESGU 46435G425 $2.8M 0.78% 17,089 SH
41 SOLSTICE ADVANCED MATLS INC SOLS 83443Q103 $2.7M 0.74% 30,289 SH
42 LINDE PLC LIN G54950103 $2.4M 0.68% 4,717 SH
43 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $2.4M 0.67% 3,224 SH
44 SCHWAB STRATEGIC TR SCHB 808524102 $2.3M 0.64% 80,233 SH
45 ORACLE CORP ORCL 68389X105 $2.3M 0.64% 15,806 SH
46 BERKSHIRE HATHAWAY INC DEL BRK.A 084670108 $2.2M 0.62% 3 SH
47 HONEYWELL INTL INC HON 438516205 $2.0M 0.55% 8,865 SH
48 HONEYWELL AEROSPACE INC HONA 43849R105 $2.0M 0.54% 8,850 SH
49 FIRST TR EXCHNG TRADED FD VI DJAN 33740F631 $1.8M 0.51% 40,032 SH
50 ALPHABET INC GOOGL 02079K305 $1.8M 0.51% 5,096 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-08-03 $360.4M 130 0001632078-26-000009
2026-03-31 2026-04-22 $314.8M 121 0001632078-26-000005
2025-12-31 2026-01-26 $299.8M 119 0001632078-26-000003