Top Institutional Investors

Spectrum Advisors, Inc. — 13F Holdings & Portfolio

CIK 2153446 · latest 13F-HR filed 2026-11-03

Backtest portfolio

Spectrum Advisors, Inc. manages $142.6M in 13F-reported U.S. long-equity assets across 53 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are SPYM (14.22%), DFAI (9.93%), CLIP (8.89%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 3 new positions and exited 5; 17 existing positions rose in reported value and 10 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.

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AUM
$142.6M

Long-equity book

Holdings
53

Distinct positions

Period
2026-09-30

Filed 2026-11-03

Q/Q Activity
+3 / −5 / ↑17 / ↓10

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
SPYM14.2% · -35%DFAI9.9% · +8%CLIP8.9% · +2%SPMD6.4% · +7%BOND5.9% · +10%SPYG3.9% · +15%AVEM3.6% · -1%SPAB3.6% · -8%SPYV3.6% · +17%ZOCT2.7% · +467%ZJAN2.7% · +467%ZAPR2.7% · +466%ZJUL2.7% · +467%PYLD2.4% · +3%IWY2.3% · -1%SCEC2.2% · +2%XONE1.9% · +15%AVIG1.9% · +32%VNLA1.8% · +15%DFGX1.6% · -34%IVV1.4% · -1%IWX1.3% · +2%NVDA1.2% · +9%AAPL1.0% · 0%JAAA0.9% · +15%QQQ0.8% · +0%BRK.B0.8% · -0%ACYN0.5% · +4%BRK.A0.5% · 0%MSFT0.5% · -0%PHYS0.5% · 0%SPY0.5% · -28%EFV0.5% · -2%IWS0.4% · -3%EFG0.4% · -1%UNP0.4% · -2%DFAU0.3% · 0%IEMG0.3% · -3%PAYM0.3% · +119%SPYI0.3% · 0%DGCB0.3% · newSCNM0.2% · +2%SCHD0.2% · 0%XOM0.2% · newNSC0.2% · 0%VTWO0.2% · -16%JBL0.2% · 0%SIL0.2% · 0%WMT0.2% · -2%COST0.2% · +0%PEP0.2% · 0%LRCX0.1% · -1%NB0.1% · +24%

Box 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 value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated 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 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 62.7%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Dec 4, 2018.

Assets Under Management
$23.55B
Discretionary
$19.61B
Employees
21
Accounts
82
Address
2 HIGH RIDGE PARK
2ND FLOOR
STAMFORD, CT 06905
Phone
(203) 322-0189
Website
Name Title / Status Ownership Type
BYER, MATTHEW ROSS ControlEXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER
since Jan 2010
Less than 5%Individual
JACOBY, LEWIS PHILLIP ControlEXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER
since Jan 2010
Less than 5%Individual
LIEB, MARK ALAN ControlPRESIDENT & CHIEF EXECUTIVE OFFICER
since Jan 2010
Less than 5%Individual
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC ControlOWNER
since May 2017
75% or moreDomestic Entity
HANCZOR, JOSEPH ANDREWMANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER
since Aug 2009
Less than 5%Individual
ORLANDO, JEAN MARIEFINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER
since Feb 2000
Less than 5%Individual
URCIUOLI, JOSEPH JOHNMANAGING 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 moreDomestic Entity
PRINCIPAL FINANCIAL SERVICES INC. Control
Indirect owner via PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC
100% OWNER
since Oct 2001
75% or moreDomestic 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.

May 11, 2017 filing
  • 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
May 4, 2017 filing
  • 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
Mar 30, 2016 filing
  • 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
Mar 29, 2012 filing (earliest on record)
  • 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)

Show all 17 →

Top Trims

Show all 10 →

New Positions

Show all 3 →

Exited Positions

Show all 5 →

Spectrum Advisors, Inc. Holdings (2026-09-30)

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).

# Issuer Symbol CUSIP Value Weight Shares Type
1 SPDR SERIES TRUST SPYM 78464A854 $20.3M 14.22% 225,935 SH
2 DIMENSIONAL ETF TRUST DFAI 25434V203 $14.2M 9.93% 341,718 SH
3 GLOBAL X FDS CLIP 37960A438 $12.7M 8.89% 126,359 SH
4 SPDR SERIES TRUST SPMD 78464A847 $9.1M 6.36% 143,861 SH
5 PIMCO ETF TR BOND 72201R775 $8.5M 5.95% 97,503 SH
6 SPDR SERIES TRUST SPYG 78464A409 $5.6M 3.94% 45,650 SH
7 AMERICAN CENTY ETF TR AVEM 025072604 $5.2M 3.64% 55,179 SH
8 SPDR SERIES TRUST SPAB 78464A649 $5.1M 3.56% 208,654 SH
9 SPDR SERIES TRUST SPYV 78464A508 $5.1M 3.56% 83,100 SH
10 INNOVATOR ETFS TRUST ZOCT 45784N700 $3.8M 2.68% 135,923 SH
11 INNOVATOR ETFS TRUST ZJAN 45784N817 $3.8M 2.67% 133,942 SH
12 INNOVATOR ETFS TRUST ZAPR 45784N726 $3.8M 2.67% 140,742 SH
13 INNOVATOR ETFS TRUST ZJUL 45783Y251 $3.8M 2.66% 125,437 SH
14 PIMCO ETF TR PYLD 72201R585 $3.5M 2.43% 136,472 SH
15 ISHARES TR IWY 464289438 $3.3M 2.28% 11,046 SH
16 STERLING CAP FDS SCEC 85918D566 $3.2M 2.25% 134,890 SH
17 BONDBLOXX ETF TRUST XONE 09789C861 $2.7M 1.87% 54,293 SH
18 AMERICAN CENTY ETF TR AVIG 025072562 $2.6M 1.85% 67,059 SH
19 JANUS DETROIT STR TR VNLA 47103U886 $2.5M 1.78% 52,336 SH
20 DIMENSIONAL ETF TRUST DFGX 25434V575 $2.2M 1.58% 43,995 SH
21 ISHARES TR IVV 464287200 $2.0M 1.42% 2,635 SH
22 ISHARES TR IWX 464289420 $1.8M 1.26% 16,393 SH
23 NVIDIA CORPORATION NVDA 67066G104 $1.6M 1.16% 7,215 SH
24 APPLE INC AAPL 037833100 $1.4M 0.97% 4,166 SH
25 JANUS DETROIT STR TR JAAA 47103U845 $1.3M 0.94% 26,589 SH
26 INVESCO QQQ TR QQQ 46090E103 $1.1M 0.79% 1,516 SH
27 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $1.1M 0.76% 2,167 SH
28 FIRST TR EXCHANGE-TRADED FD ACYN 33733E690 $772.6K 0.54% 37,036 SH
29 BERKSHIRE HATHAWAY INC DEL BRK.A 084670108 $747.0K 0.52% 1 SH
30 MICROSOFT CORP MSFT 594918104 $686.8K 0.48% 1,339 SH
31 SPROTT ASSET MANAGEMENT LP PHYS 85207H104 $686.4K 0.48% 21,950 SH
32 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $668.8K 0.47% 877 SH
33 ISHARES TR EFV 464288877 $653.3K 0.46% 8,255 SH
34 ISHARES TR IWS 464287473 $636.9K 0.45% 3,963 SH
35 ISHARES TR EFG 464288885 $569.0K 0.40% 4,748 SH
36 UNION PAC CORP UNP 907818108 $541.5K 0.38% 1,990 SH
37 DIMENSIONAL ETF TRUST DFAU 25434V104 $469.1K 0.33% 8,959 SH
38 ISHARES INC IEMG 46434G103 $461.5K 0.32% 5,686 SH
39 ELEVATION SERIES TRUST PAYM 210322574 $447.5K 0.31% 17,625 SH
40 NEOS ETF TRUST SPYI 78433H303 $401.3K 0.28% 7,548 SH
41 DIMENSIONAL ETF TRUST DGCB 25434V567 $388.2K 0.27% 7,478 SH
42 STERLING CAP FDS SCNM 85917K470 $333.3K 0.23% 14,170 SH
43 SCHWAB STRATEGIC TR SCHD 808524797 $327.4K 0.23% 10,065 SH
44 EXXONMOBIL HOLDINGS CORP XOM 30233Q108 $320.9K 0.23% 1,972 SH
45 NORFOLK SOUTHN CORP NSC 655844108 $309.0K 0.22% 1,000 SH
46 VANGUARD SCOTTSDALE FDS VTWO 92206C664 $296.6K 0.21% 2,642 SH
47 JABIL INC JBL 466313103 $284.9K 0.20% 993 SH
48 GLOBAL X FDS SIL 37954Y848 $284.3K 0.20% 3,305 SH
49 WALMART INC WMT 931142103 $262.8K 0.18% 2,528 SH
50 COSTCO WHOLESALE CORPORATION COST 22160K105 $259.3K 0.18% 285 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-11-03 $142.6M 53 0001214659-26-013626
2026-06-30 2026-10-07 $141.4M 55 0001214659-26-012644
2026-03-31 2026-09-11 $126.6M 50 0001214659-26-011606
Filer Information
Address
2805 DALLAS PARKWAY, STE 200
PLANO, TX 75093
Phone
(972) 931-3700
Filing Manager
Spectrum Advisors, Inc.
PLANO, TX
Signatory
Zac Norris
CCO