0001632078-22-000002.txt : 20220214 0001632078-22-000002.hdr.sgml : 20220214 20220214155737 ACCESSION NUMBER: 0001632078-22-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 EFFECTIVENESS DATE: 20220214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Spectrum Asset Management, Inc. (NB/CA) CENTRAL INDEX KEY: 0001632078 IRS NUMBER: 330171752 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16433 FILM NUMBER: 22630974 BUSINESS ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 970 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-717-3400 MAIL ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 970 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001632078 XXXXXXXX 12-31-2021 12-31-2021 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 970 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Tony Jung 949-717-3400 Tony Jung Newport Beach CA 02-14-2022 0 136 354590 false INFORMATION TABLE 2 F13F.xml 4Q21 13F-HR HOLDINGS REPORT ABBOTT LABS COM 002824100 2480 17622 SH SOLE 17622 0 0 ABBVIE INC COM 00287Y109 3256 24046 SH SOLE 24046 0 0 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 43 11207 SH SOLE 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 4985 12025 SH SOLE 12025 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 353 622 SH SOLE 622 0 0 ADVANCED MICRO DEVICES INC COM 007903107 316 2195 SH SOLE 2195 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 309 12070 SH SOLE 12070 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 955 5984 SH SOLE 5984 0 0 ALPHABET INC CAP STK CL C 02079K107 414 143 SH SOLE 143 0 0 ALPHABET INC CAP STK CL A 02079K305 687 237 SH SOLE 237 0 0 ALTRIA GROUP INC COM 02209S103 9 199 SH DFND 0 0 199 ALTRIA GROUP INC COM 02209S103 342 7214 SH SOLE 7214 0 0 AMAZON COM INC COM 023135106 357 107 SH SOLE 107 0 0 AMERICOLD RLTY TR COM 03064D108 2569 78360 SH SOLE 78360 0 0 APPLE INC COM 037833100 3212 18087 SH SOLE 18087 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 879 1104 SH SOLE 1104 0 0 BADGER METER INC COM 056525108 979 9190 SH SOLE 9190 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3412 11410 SH SOLE 11410 0 0 BK OF AMERICA CORP COM 060505104 19 433 SH DFND 0 0 433 BK OF AMERICA CORP COM 060505104 244 5486 SH SOLE 5486 0 0 BORGWARNER INC COM 099724106 3609 80080 SH SOLE 80080 0 0 BP PLC SPONSORED ADR 055622104 304 11397 SH SOLE 11397 0 0 BUNGE LIMITED COM G16962105 2506 26840 SH SOLE 26840 0 0 CATERPILLAR INC COM 149123101 994 4810 SH SOLE 4810 0 0 CBRE GBL REAL ESTATE INC FD COM 12504G100 109 11150 SH SOLE 11150 0 0 CHEVRON CORP NEW COM 166764100 17 142 SH DFND 0 0 142 CHEVRON CORP NEW COM 166764100 6076 51777 SH SOLE 51777 0 0 CISCO SYS INC COM 17275R102 14 228 SH DFND 0 0 228 CISCO SYS INC COM 17275R102 4803 75800 SH SOLE 75800 0 0 COGNEX CORP COM 192422103 811 10429 SH SOLE 10429 0 0 COINBASE GLOBAL INC COM CL A 19260Q107 1490 5904 SH SOLE 5904 0 0 COSTCO WHSL CORP NEW COM 22160K105 1521 2679 SH SOLE 2679 0 0 CYRUSONE INC COM 23283R100 2553 28455 SH SOLE 28455 0 0 DANAHER CORPORATION COM 235851102 1049 3189 SH SOLE 3189 0 0 DEERE & CO COM 244199105 1213 3537 SH SOLE 3537 0 0 DISNEY WALT CO COM 254687106 521 3365 SH SOLE 3365 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 13 120 SH DFND 0 0 120 DUKE ENERGY CORP NEW COM NEW 26441C204 2906 27700 SH SOLE 27700 0 0 EDISON INTL COM 281020107 311 4559 SH SOLE 4559 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 347 2676 SH SOLE 2676 0 0 EMERSON ELEC CO COM 291011104 2437 26215 SH SOLE 26215 0 0 EXXON MOBIL CORP COM 30231G102 10 165 SH DFND 0 0 165 EXXON MOBIL CORP COM 30231G102 3869 63230 SH SOLE 63230 0 0 FORTIVE CORP COM 34959J108 906 11870 SH SOLE 11870 0 0 GENERAL DYNAMICS CORP COM 369550108 10 50 SH DFND 0 0 50 GENERAL DYNAMICS CORP COM 369550108 3473 16660 SH SOLE 16660 0 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 521 14907 SH SOLE 14907 0 0 GOLD TR ISHARES NEW 464285204 4313 123891 SH SOLE 123891 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 3065 8012 SH SOLE 8012 0 0 HONEYWELL INTL INC COM 438516106 3845 18442 SH SOLE 18442 0 0 IDEX CORP COM 45167R104 898 3801 SH SOLE 3801 0 0 ILLUMINA INC COM 452327109 301 790 SH SOLE 790 0 0 INTEL CORP COM 458140100 13 260 SH DFND 0 0 260 INTEL CORP COM 458140100 3090 59997 SH SOLE 59997 0 0 INTUIT COM 461202103 1170 1819 SH SOLE 1819 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 439 1104 SH SOLE 1104 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 205 2890 SH SOLE 2890 0 0 ISHARES TR CALIF MUN BD ETF 464288356 290 4650 SH SOLE 4650 0 0 ISHARES TR NATIONAL MUN ETF 464288414 297 2550 SH SOLE 2550 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 311 6357 SH SOLE 6357 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 355 4150 SH SOLE 4150 0 0 ISHARES TR RUS 1000 ETF 464287622 650 2458 SH SOLE 2458 0 0 ISHARES TR CORE S&P500 ETF 464287200 699 1466 SH SOLE 1466 0 0 ISHARES TR GLOBAL TECH ETF 464287291 807 12532 SH SOLE 12532 0 0 ISHARES TR CORE 1 5 YR USD 46432F859 1527 30277 SH SOLE 30277 0 0 ISHARES TR GLOBAL FINLS ETF 464287333 2623 32763 SH SOLE 32763 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 2687 33211 SH SOLE 33211 0 0 ISHARES TR CORE US AGGBD ET 464287226 3127 27414 SH SOLE 27414 0 0 ISHARES TR TIPS BD ETF 464287176 8122 62861 SH SOLE 62861 0 0 ISHARES TR CORE S&P SCP ETF 464287804 8500 74226 SH SOLE 74226 0 0 ISHARES TR EAFE VALUE ETF 464288877 8851 175658 SH SOLE 175658 0 0 ISHARES TR EAFE GRWTH ETF 464288885 10218 92644 SH SOLE 92644 0 0 ISHARES TR FALN ANGLS USD 46435G474 11875 396227 SH SOLE 396227 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 12735 118024 SH SOLE 118024 0 0 ISHARES TR US TREAS BD ETF 46429B267 17624 660554 SH SOLE 660554 0 0 ISHARES TR CORE TOTAL USD 46434V613 18871 356530 SH SOLE 356530 0 0 ISHARES U S ETF TR GSCI CMDTY STGY 46431W853 1054 34137 SH SOLE 34137 0 0 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 2124 42515 SH SOLE 42515 0 0 KINDER MORGAN INC DEL COM 49456B101 2188 137979 SH SOLE 137979 0 0 LILLY ELI & CO COM 532457108 13 46 SH DFND 0 0 46 LILLY ELI & CO COM 532457108 221 800 SH SOLE 800 0 0 LOCKHEED MARTIN CORP COM 539830109 1056 2972 SH SOLE 2972 0 0 M & T BK CORP COM 55261F104 237 1545 SH SOLE 1545 0 0 MARRIOTT INTL INC NEW CL A 571903202 334 2020 SH SOLE 2020 0 0 MCDONALDS CORP COM 580135101 2874 10722 SH SOLE 10722 0 0 MEDTRONIC PLC SHS G5960L103 12 117 SH DFND 0 0 117 MEDTRONIC PLC SHS G5960L103 2125 20541 SH SOLE 20541 0 0 MICROCHIP TECHNOLOGY INC. COM 595017104 1085 12463 SH SOLE 12463 0 0 MICROSOFT CORP COM 594918104 11 34 SH DFND 0 0 34 MICROSOFT CORP COM 594918104 5895 17527 SH SOLE 17527 0 0 MORNINGSTAR INC COM 617700109 616 1800 SH SOLE 1800 0 0 NIKE INC CL B 654106103 759 4557 SH SOLE 4557 0 0 NORTHROP GRUMMAN CORP COM 666807102 222 574 SH SOLE 574 0 0 NUCOR CORP COM 670346105 346 3030 SH SOLE 3030 0 0 NVIDIA CORPORATION COM 67066G104 950 3230 SH SOLE 3230 0 0 ORACLE CORP COM 68389X105 3121 35785 SH SOLE 35785 0 0 PEPSICO INC COM 713448108 566 3260 SH SOLE 3260 0 0 PFIZER INC COM 717081103 17 288 SH DFND 0 0 288 PFIZER INC COM 717081103 405 6855 SH SOLE 6855 0 0 PNC FINL SVCS GROUP INC COM 693475105 221 1100 SH SOLE 1100 0 0 PUBLIC STORAGE COM 74460D109 2571 6865 SH SOLE 6865 0 0 QUALCOMM INC COM 747525103 3285 17965 SH SOLE 17965 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 15 171 SH DFND 0 0 171 RAYTHEON TECHNOLOGIES CORP COM 75513E101 314 3649 SH SOLE 3649 0 0 ROCKWELL AUTOMATION INC COM 773903109 1061 3040 SH SOLE 3040 0 0 ROYAL BK CDA COM 780087102 212 2000 SH SOLE 2000 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 273 6300 SH SOLE 6300 0 0 SCHWAB CHARLES CORP COM 808513105 4881 58038 SH SOLE 58038 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 2854 25256 SH SOLE 25256 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 7457 191857 SH SOLE 191857 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 13751 83978 SH SOLE 83978 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 23435 320070 SH SOLE 320070 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 5130 92431 SH SOLE 92431 0 0 SEMPRA COM 816851109 2858 21602 SH SOLE 21602 0 0 SKYLINE CHAMPION CORPORATION COM 830830105 309 3910 SH SOLE 3910 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 812 22249 SH SOLE 22249 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1428 3006 SH SOLE 3006 0 0 STRYKER CORPORATION COM 863667101 917 3430 SH SOLE 3430 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 923 7670 SH SOLE 7670 0 0 TESLA INC COM 88160R101 1950 1845 SH SOLE 1845 0 0 TEXAS INSTRS INC COM 882508104 320 1700 SH SOLE 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 514 1024 SH SOLE 1024 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 2991 37000 SH SOLE 37000 0 0 VANGUARD BD INDEX FDS INTERMED TERM 921937819 5907 67412 SH SOLE 67412 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 864 3577 SH SOLE 3577 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 6553 20421 SH SOLE 20421 0 0 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 642 12484 SH SOLE 12484 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 643 2940 SH SOLE 2940 0 0 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 11161 211229 SH SOLE 211229 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 20888 257046 SH SOLE 257046 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1277 25006 SH SOLE 25006 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2352 45270 SH SOLE 45270 0 0 VISA INC COM CL A 92826C839 494 2282 SH SOLE 2282 0 0 VOLITIONRX LTD COM 928661107 175 55596 SH SOLE 55596 0 0 WALMART INC COM 931142103 2569 17754 SH SOLE 17754 0 0 WELLS FARGO CO NEW COM 949746101 631 13148 SH SOLE 13148 0 0