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0001632078-22-000007.txt : 20220714 0001632078-22-000007.hdr.sgml : 20220714 20220713181209 ACCESSION NUMBER: 0001632078-22-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220714 DATE AS OF CHANGE: 20220713 EFFECTIVENESS DATE: 20220714 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: 221081883 BUSINESS ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-717-3400 MAIL ADDRESS: STREET 1: 1301 DOVE STREET, SUITE 720 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001632078 XXXXXXXX 06-30-2022 06-30-2022 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 720 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Tony Jung COO 9497173400 Tony Jung Newport Beach CA 07-13-2022 0 102 202511 false INFORMATION TABLE 2 F13F.xml 2Q22 13F-HR HOLDINGS REPORT ABBOTT LABS COM 002824100 1846 16992 SH SOLE Spectrum Asset Management Inc. 16992 0 0 ABBVIE INC COM 00287Y109 3691 24099 SH SOLE Spectrum Asset Management Inc. 24099 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3198 11519 SH SOLE Spectrum Asset Management Inc. 11519 0 0 ALPHABET INC CAP STK CL A 02079K305 519 238 SH SOLE Spectrum Asset Management Inc. 238 0 0 ALPHABET INC CAP STK CL C 02079K107 307 140 SH SOLE Spectrum Asset Management Inc. 140 0 0 ALTRIA GROUP INC COM 02209S103 308 7214 SH SOLE Spectrum Asset Management Inc. 7214 0 0 ALTRIA GROUP INC COM 02209S103 8 199 SH DFND Spectrum Asset Management Inc. 0 0 199 AMERICOLD REALTY TRUST INC COM 03064D108 2581 85300 SH SOLE Spectrum Asset Management Inc. 85300 0 0 APPLE INC COM 037833100 2861 20927 SH SOLE Spectrum Asset Management Inc. 20927 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 509 1069 SH SOLE Spectrum Asset Management Inc. 1069 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1792 8060 SH SOLE Spectrum Asset Management Inc. 8060 0 0 BORGWARNER INC COM 099724106 582 17440 SH SOLE Spectrum Asset Management Inc. 17440 0 0 BP PLC SPONSORED ADR 055622104 303 10677 SH SOLE Spectrum Asset Management Inc. 10677 0 0 BUNGE LIMITED COM G16962105 2585 28500 SH SOLE Spectrum Asset Management Inc. 28500 0 0 CF INDS HLDGS INC COM 125269100 2577 30060 SH SOLE Spectrum Asset Management Inc. 30060 0 0 CHESAPEAKE ENERGY CORP COM 165167735 835 10295 SH SOLE Spectrum Asset Management Inc. 10295 0 0 CHEVRON CORP NEW COM 166764100 7558 52203 SH SOLE Spectrum Asset Management Inc. 52203 0 0 CHEVRON CORP NEW COM 166764100 15 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 2536 59480 SH SOLE Spectrum Asset Management Inc. 59480 0 0 CISCO SYS INC COM 17275R102 11 256 SH DFND Spectrum Asset Management Inc. 0 0 256 COSTCO WHSL CORP NEW COM 22160K105 1011 2110 SH SOLE Spectrum Asset Management Inc. 2110 0 0 DANAHER CORPORATION COM 235851102 777 3060 SH SOLE Spectrum Asset Management Inc. 3060 0 0 DEERE & CO COM 244199105 950 3161 SH SOLE Spectrum Asset Management Inc. 3161 0 0 DISNEY WALT CO COM 254687106 315 3337 SH SOLE Spectrum Asset Management Inc. 3337 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 2970 27700 SH SOLE Spectrum Asset Management Inc. 27700 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 17 156 SH DFND Spectrum Asset Management Inc. 0 0 156 EDISON INTL COM 281020107 288 4559 SH SOLE Spectrum Asset Management Inc. 4559 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 260 2736 SH SOLE Spectrum Asset Management Inc. 2736 0 0 EMERSON ELEC CO COM 291011104 1851 23270 SH SOLE Spectrum Asset Management Inc. 23270 0 0 EXXON MOBIL CORP COM 30231G102 5416 63245 SH SOLE Spectrum Asset Management Inc. 63245 0 0 EXXON MOBIL CORP COM 30231G102 14 165 SH DFND Spectrum Asset Management Inc. 0 0 165 GENERAL DYNAMICS CORP COM 369550108 2842 12772 SH SOLE Spectrum Asset Management Inc. 12772 0 0 GENERAL DYNAMICS CORP COM 369550108 11 50 SH DFND Spectrum Asset Management Inc. 0 0 50 GLOBAL X FDS GLBL X MLP ETF 37954Y343 566 15357 SH SOLE Spectrum Asset Management Inc. 15357 0 0 HONEYWELL INTL INC COM 438516106 3153 18142 SH SOLE Spectrum Asset Management Inc. 18142 0 0 INTEL CORP COM 458140100 1644 43943 SH SOLE Spectrum Asset Management Inc. 43943 0 0 INTEL CORP COM 458140100 10 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INTUIT COM 461202103 667 1731 SH SOLE Spectrum Asset Management Inc. 1731 0 0 ISHARES GOLD TR ISHARES NEW 464285204 6515 189888 SH SOLE Spectrum Asset Management Inc. 189888 0 0 ISHARES TR US TREAS BD ETF 46429B267 30098 1259328 SH SOLE Spectrum Asset Management Inc. 1259328 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 8222 97993 SH SOLE Spectrum Asset Management Inc. 97993 0 0 ISHARES TR CORE TOTAL USD 46434V613 3114 66510 SH SOLE Spectrum Asset Management Inc. 66510 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 2056 29278 SH SOLE Spectrum Asset Management Inc. 29278 0 0 ISHARES TR IBONDS 23 TRM TS 46436E882 1018 40820 SH SOLE Spectrum Asset Management Inc. 40820 0 0 ISHARES TR CORE S&P500 ETF 464287200 521 1375 SH SOLE Spectrum Asset Management Inc. 1375 0 0 ISHARES TR RUS 1000 ETF 464287622 513 2468 SH SOLE Spectrum Asset Management Inc. 2468 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 344 4150 SH SOLE Spectrum Asset Management Inc. 4150 0 0 ISHARES TR EAFE VALUE ETF 464288877 303 6976 SH SOLE Spectrum Asset Management Inc. 6976 0 0 ISHARES TR TIPS BD ETF 464287176 285 2505 SH SOLE Spectrum Asset Management Inc. 2505 0 0 ISHARES TR EAFE GRWTH ETF 464288885 239 2975 SH SOLE Spectrum Asset Management Inc. 2975 0 0 ISHARES TR 20 YR TR BD ETF 464287432 215 1875 SH SOLE Spectrum Asset Management Inc. 1875 0 0 ISHARES TR IBONDS 22 TRM TS 46436E809 209 8263 SH SOLE Spectrum Asset Management Inc. 8263 0 0 KINDER MORGAN INC DEL COM 49456B101 2327 138819 SH SOLE Spectrum Asset Management Inc. 138819 0 0 M & T BK CORP COM 55261F104 214 1345 SH SOLE Spectrum Asset Management Inc. 1345 0 0 MARRIOTT INTL INC NEW CL A 571903202 275 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 355 1438 SH SOLE Spectrum Asset Management Inc. 1438 0 0 MEDTRONIC PLC SHS G5960L103 2772 30651 SH SOLE Spectrum Asset Management Inc. 30651 0 0 MEDTRONIC PLC SHS G5960L103 12 132 SH DFND Spectrum Asset Management Inc. 0 0 132 MICROSOFT CORP COM 594918104 3268 12724 SH SOLE Spectrum Asset Management Inc. 12724 0 0 MICROSOFT CORP COM 594918104 9 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 436 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 457 4454 SH SOLE Spectrum Asset Management Inc. 4454 0 0 NORTHROP GRUMMAN CORP COM 666807102 275 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 NVIDIA CORPORATION COM 67066G104 476 3137 SH SOLE Spectrum Asset Management Inc. 3137 0 0 ORACLE CORP COM 68389X105 1745 24970 SH SOLE Spectrum Asset Management Inc. 24970 0 0 PEPSICO INC COM 713448108 543 3260 SH SOLE Spectrum Asset Management Inc. 3260 0 0 PFIZER INC COM 717081103 351 6700 SH SOLE Spectrum Asset Management Inc. 6700 0 0 PFIZER INC COM 717081103 15 288 SH DFND Spectrum Asset Management Inc. 0 0 288 PIONEER NAT RES CO COM 723787107 205 917 SH SOLE Spectrum Asset Management Inc. 917 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 16331 989778 SH SOLE Spectrum Asset Management Inc. 989778 0 0 PUBLIC STORAGE COM 74460D109 1323 4230 SH SOLE Spectrum Asset Management Inc. 4230 0 0 QUALCOMM INC COM 747525103 1651 12925 SH SOLE Spectrum Asset Management Inc. 12925 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 346 3601 SH SOLE Spectrum Asset Management Inc. 3601 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 16 171 SH DFND Spectrum Asset Management Inc. 0 0 171 ROCKWELL AUTOMATION INC COM 773903109 739 3710 SH SOLE Spectrum Asset Management Inc. 3710 0 0 SCHLUMBERGER LTD COM STK 806857108 787 21895 SH SOLE Spectrum Asset Management Inc. 21895 0 0 SCHWAB CHARLES CORP COM 808513105 2556 40460 SH SOLE Spectrum Asset Management Inc. 40460 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15276 244737 SH SOLE Spectrum Asset Management Inc. 244737 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 6585 113558 SH SOLE Spectrum Asset Management Inc. 113558 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1960 62317 SH SOLE Spectrum Asset Management Inc. 62317 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1636 37016 SH SOLE Spectrum Asset Management Inc. 37016 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 7186 100485 SH SOLE Spectrum Asset Management Inc. 100485 0 0 SEMPRA COM 816851109 2943 19584 SH SOLE Spectrum Asset Management Inc. 19584 0 0 SHELL PLC SPON ADS 780259305 329 6300 SH SOLE Spectrum Asset Management Inc. 6300 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 255 8825 SH SOLE Spectrum Asset Management Inc. 8825 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1077 2843 SH SOLE Spectrum Asset Management Inc. 2843 0 0 SPDR SER TR S&P BIOTECH 78464A870 2134 28731 SH SOLE Spectrum Asset Management Inc. 28731 0 0 STRYKER CORPORATION COM 863667101 683 3421 SH SOLE Spectrum Asset Management Inc. 3421 0 0 TESLA INC COM 88160R101 1317 1955 SH SOLE Spectrum Asset Management Inc. 1955 0 0 TEXAS INSTRS INC COM 882508104 261 1700 SH SOLE Spectrum Asset Management Inc. 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 519 1010 SH SOLE Spectrum Asset Management Inc. 1010 0 0 VANECK ETF TRUST OIL SERVICES ETF 92189H607 1578 6784 SH SOLE Spectrum Asset Management Inc. 6784 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2757 12368 SH SOLE Spectrum Asset Management Inc. 12368 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 415 2202 SH SOLE Spectrum Asset Management Inc. 2202 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 466 2700 SH SOLE Spectrum Asset Management Inc. 2700 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1614 21160 SH SOLE Spectrum Asset Management Inc. 21160 0 0 VANGUARD TAX-MANAGED INTL FD VAN FTSE DEV MKT 921943858 874 21410 SH SOLE Spectrum Asset Management Inc. 21410 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2305 45421 SH SOLE Spectrum Asset Management Inc. 45421 0 0 VISA INC COM CL A 92826C839 430 2183 SH SOLE Spectrum Asset Management Inc. 2183 0 0 VOLITIONRX LTD COM 928661107 114 55596 SH SOLE Spectrum Asset Management Inc. 55596 0 0 WALMART INC COM 931142103 1031 8481 SH SOLE Spectrum Asset Management Inc. 8481 0 0 WELLS FARGO CO NEW COM 949746101 246 6281 SH SOLE Spectrum Asset Management Inc. 6281 0 0