Spectrum Asset Management, Inc. (NB/CA) — 13F Holdings & Portfolio
CIK 1632078 · latest 13F-HR filed 2026-04-22
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.
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AUM
$314.8M
Long-equity book
Holdings
121
Distinct positions
Period
2026-03-31
Filed 2026-04-22
Q/Q Activity
+17 / −15 / ↑30 / ↓33
vs 2025-12-31
Firm Profile & Key People
| Name | Title / Status | Ownership | Type |
|---|
Top Adds (vs prior quarter)
- ETF OPPORTUNITIES TRUST$5.1M +103.8%
- SCHWAB STRATEGIC TR$2.4M +19.7%
- EXXON MOBIL CORP$2.2M +46.7%
- CHEVRON CORPORATION$2.1M +45.9%
- SELECT SECTOR SPDR TR$1.1M +44.0%
Top Trims
- SERIES PORTFOLIOS TR-$11.0M -78.8%
- ISHARES TR-$7.0M -60.5%
- ISHARES INC-$2.3M -77.0%
- ISHARES INC-$2.2M -73.0%
- SCHWAB STRATEGIC TR-$2.2M -38.5%
New Positions
- WELLS FARGO & CO$33.0M
- FIRST TR EXCHNG TRADED FD VI$6.9M
- FREEPORT MCMORAN INC$3.2M
- ILLUMINA INC$2.8M
- FIRST TR EXCHNG TRADED FD VI$1.7M
Exited Positions
- VANGUARD INTL EQUITY INDEX F$6.1M
- VANGUARD WHITEHALL FDS$5.7M
- ABBOTT LABS$2.7M
- FRANKLIN TEMPLETON ETF TR$2.3M
- CHENIERE ENERGY INC$1.9M
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 | $33.0M | 10.49% | 414,694 | SH |
| 2 | VANGUARD BD INDEX FDS | VUSB | 92203C303 | $23.2M | 7.38% | 466,556 | SH |
| 3 | SCHWAB STRATEGIC TR | SCHV | 808524409 | $14.5M | 4.60% | 475,103 | SH |
| 4 | INVESCO EXCHANGE TRADED FD T | RSP | 46137V357 | $14.4M | 4.56% | 74,837 | SH |
| 5 | ISHARES GOLD TR | IAU | 464285204 | $14.1M | 4.49% | 160,326 | SH |
| 6 | FIRST TR EXCHNG TRADED FD VI | DSEP | 33740F680 | $11.2M | 3.57% | 255,370 | SH |
| 7 | FIRST TR EXCHNG TRADED FD VI | DMAR | 33740F615 | $10.5M | 3.34% | 248,216 | SH |
| 8 | ETF OPPORTUNITIES TRUST | HECA | 26923Q747 | $10.0M | 3.18% | 346,494 | SH |
| 9 | FIRST TR EXCHNG TRADED FD VI | YMAR | 33740F573 | $6.9M | 2.18% | 250,672 | SH |
| 10 | EXXON MOBIL CORP | XOM | 30231G102 | $6.8M | 2.17% | 40,320 | SH |
| 11 | FIRST TR EXCHNG TRADED FD VI | DFEB | 33740F771 | $6.8M | 2.17% | 144,016 | SH |
| 12 | CHEVRON CORPORATION | CVX | 166764100 | $6.7M | 2.12% | 32,228 | SH |
| 13 | FIRST TR EXCHNG TRADED FD VI | DMAY | 33740F730 | $6.1M | 1.92% | 134,686 | SH |
| 14 | ALPHABET INC | GOOG | 02079K107 | $5.4M | 1.73% | 18,948 | SH |
| 15 | FIRST TR EXCHNG TRADED FD VI | DDEC | 33740U406 | $5.3M | 1.68% | 119,203 | SH |
| 16 | SCHWAB STRATEGIC TR | SCHG | 808524300 | $5.1M | 1.61% | 174,423 | SH |
| 17 | WALMART INC | WMT | 931142103 | $5.0M | 1.60% | 40,544 | SH |
| 18 | EMCOR GROUP INC | EME | 29084Q100 | $4.7M | 1.49% | 6,349 | SH |
| 19 | ISHARES TR | USMV | 46429B697 | $4.6M | 1.45% | 49,279 | SH |
| 20 | L3HARRIS TECHNOLOGIES INC | LHX | 502431109 | $4.4M | 1.40% | 12,733 | SH |
| 21 | CISCO SYS INC | CSCO | 17275R102 | $4.3M | 1.35% | 54,824 | SH |
| 22 | SCHWAB STRATEGIC TR | SCHF | 808524805 | $4.2M | 1.33% | 169,543 | SH |
| 23 | HONEYWELL INTL INC | HON | 438516106 | $4.0M | 1.27% | 17,720 | SH |
| 24 | NOVARTIS AG | NVS | 66987V109 | $4.0M | 1.27% | 26,131 | SH |
| 25 | ABBVIE INC | ABBV | 00287Y109 | $3.9M | 1.25% | 18,130 | SH |
| 26 | DUKE ENERGY CORP NEW | DUK | 26441C204 | $3.8M | 1.22% | 29,324 | SH |
| 27 | MICROSOFT CORP | MSFT | 594918104 | $3.8M | 1.20% | 10,190 | SH |
| 28 | SCHWAB CHARLES CORP | SCHW | 808513105 | $3.8M | 1.20% | 40,038 | SH |
| 29 | SELECT SECTOR SPDR TR | XLE | 81369Y506 | $3.6M | 1.14% | 58,671 | SH |
| 30 | GOLDMAN SACHS PHYSICAL GOLD | AAAU | 38150K103 | $3.6M | 1.13% | 77,204 | SH |
| 31 | SCHWAB STRATEGIC TR | SCHR | 808524854 | $3.5M | 1.10% | 139,109 | SH |
| 32 | ISHARES INC | SCJ | 464286582 | $3.3M | 1.05% | 33,898 | SH |
| 33 | FREEPORT MCMORAN INC | FCX | 35671D857 | $3.2M | 1.01% | 54,312 | SH |
| 34 | MEDTRONIC PLC | MDT | G5960L103 | $3.1M | 1.00% | 36,022 | SH |
| 35 | EMERSON ELEC CO | EMR | 291011104 | $3.1M | 0.99% | 23,818 | SH |
| 36 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $3.1M | 0.98% | 6,445 | SH |
| 37 | SERIES PORTFOLIOS TR | CLOX | 81752T486 | $3.0M | 0.94% | 115,403 | SH |
| 38 | EDWARDS LIFESCIENCES CORP | EW | 28176E108 | $2.9M | 0.92% | 35,995 | SH |
| 39 | ILLUMINA INC | ILMN | 452327109 | $2.8M | 0.88% | 22,436 | SH |
| 40 | LINDE PLC | LIN | G54950103 | $2.3M | 0.75% | 4,732 | SH |
| 41 | ORACLE CORP | ORCL | 68389X105 | $2.3M | 0.74% | 15,888 | SH |
| 42 | ISHARES TR | ESGU | 46435G425 | $2.3M | 0.73% | 16,331 | SH |
| 43 | SCHWAB STRATEGIC TR | SCHB | 808524102 | $2.3M | 0.72% | 89,859 | SH |
| 44 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $2.2M | 0.70% | 3,393 | SH |
| 45 | BERKSHIRE HATHAWAY INC DEL | BRK.A | 084670108 | $2.2M | 0.68% | 3 | SH |
| 46 | FIRST TR EXCHNG TRADED FD VI | DJAN | 33740F631 | $1.7M | 0.55% | 40,692 | SH |
| 47 | ALPHABET INC | GOOGL | 02079K305 | $1.5M | 0.49% | 5,357 | SH |
| 48 | COSTCO WHOLESALE CORPORATION | COST | 22160K105 | $1.4M | 0.45% | 1,412 | SH |
| 49 | MCKESSON CORP | MCK | 58155Q103 | $1.4M | 0.44% | 1,600 | SH |
| 50 | FIRST TR EXCHNG TRADED FD VI | DNOV | 33740F839 | $1.4M | 0.43% | 28,381 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-03-31 | 2026-04-22 | $314.8M | 121 | 0001632078-26-000005 |
| 2025-12-31 | 2026-01-26 | $299.8M | 119 | 0001632078-26-000003 |