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0001632078-22-000009.txt : 20221025 0001632078-22-000009.hdr.sgml : 20221025 20221025151657 ACCESSION NUMBER: 0001632078-22-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221025 DATE AS OF CHANGE: 20221025 EFFECTIVENESS DATE: 20221025 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: 221329199 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 09-30-2022 09-30-2022 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 720 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N TONY JUNG COO 949-717-3400 TONY JUNG NEWPORT BEACH CA 10-25-2022 0 100 195435 false INFORMATION TABLE 2 F13F.xml 3Q22 13F HOLDINGS REPORT ABBOTT LABS COM 002824100 1731 17887 SH SOLE Spectrum Asset Management Inc. 17887 0 0 ABBVIE INC COM 00287Y109 3398 25320 SH SOLE Spectrum Asset Management Inc. 25320 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 28 11207 SH SOLE Spectrum Asset Management Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3140 12204 SH SOLE Spectrum Asset Management Inc. 12204 0 0 ALPHABET INC CAP STK CL A 02079K305 461 4820 SH SOLE Spectrum Asset Management Inc. 4820 0 0 ALPHABET INC CAP STK CL C 02079K107 240 2496 SH SOLE Spectrum Asset Management Inc. 2496 0 0 ALTRIA GROUP INC COM 02209S103 286 6914 SH SOLE Spectrum Asset Management Inc. 6914 0 0 ALTRIA GROUP INC COM 02209S103 8 199 SH DFND Spectrum Asset Management Inc. 0 0 199 AMERICOLD REALTY TRUST INC COM 03064D108 2599 104710 SH SOLE Spectrum Asset Management Inc. 104710 0 0 APPLE INC COM 037833100 2861 20699 SH SOLE Spectrum Asset Management Inc. 20699 0 0 APPLE INC PUT 037833100 28 2000 PRN Put SOLE Spectrum Asset Management Inc. 2000 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 444 1069 SH SOLE Spectrum Asset Management Inc. 1069 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2410 9025 SH SOLE Spectrum Asset Management Inc. 9025 0 0 BORGWARNER INC COM 099724106 1793 57090 SH SOLE Spectrum Asset Management Inc. 57090 0 0 BP PLC SPONSORED ADR 055622104 298 10427 SH SOLE Spectrum Asset Management Inc. 10427 0 0 BUNGE LIMITED COM G16962105 2451 29680 SH SOLE Spectrum Asset Management Inc. 29680 0 0 CF INDS HLDGS INC COM 125269100 3639 37810 SH SOLE Spectrum Asset Management Inc. 37810 0 0 CHESAPEAKE ENERGY CORP COM 165167735 3171 33660 SH SOLE Spectrum Asset Management Inc. 33660 0 0 CHEVRON CORP NEW COM 166764100 7572 52705 SH SOLE Spectrum Asset Management Inc. 52705 0 0 CHEVRON CORP NEW COM 166764100 15 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 3049 76237 SH SOLE Spectrum Asset Management Inc. 76237 0 0 CISCO SYS INC COM 17275R102 10 256 SH DFND Spectrum Asset Management Inc. 0 0 256 COSTCO WHSL CORP NEW COM 22160K105 920 1947 SH SOLE Spectrum Asset Management Inc. 1947 0 0 DANAHER CORPORATION COM 235851102 791 3060 SH SOLE Spectrum Asset Management Inc. 3060 0 0 DEERE & CO COM 244199105 1059 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 2786 29950 SH SOLE Spectrum Asset Management Inc. 29950 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 15 156 SH DFND Spectrum Asset Management Inc. 0 0 156 EDISON INTL COM 281020107 262 4572 SH SOLE Spectrum Asset Management Inc. 4572 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 226 2736 SH SOLE Spectrum Asset Management Inc. 2736 0 0 EMERSON ELEC CO COM 291011104 2048 27970 SH SOLE Spectrum Asset Management Inc. 27970 0 0 EOG RES INC COM 26875P101 742 6643 SH SOLE Spectrum Asset Management Inc. 6643 0 0 EXXON MOBIL CORP COM 30231G102 5559 63668 SH SOLE Spectrum Asset Management Inc. 63668 0 0 EXXON MOBIL CORP COM 30231G102 14 165 SH DFND Spectrum Asset Management Inc. 0 0 165 GENERAL DYNAMICS CORP COM 369550108 3092 14575 SH SOLE Spectrum Asset Management Inc. 14575 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 407 10317 SH SOLE Spectrum Asset Management Inc. 10317 0 0 HONEYWELL INTL INC COM 438516106 3775 22607 SH SOLE Spectrum Asset Management Inc. 22607 0 0 INTEL CORP COM 458140100 1920 74523 SH SOLE Spectrum Asset Management Inc. 74523 0 0 INTEL CORP COM 458140100 7 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INTUIT COM 461202103 670 1731 SH SOLE Spectrum Asset Management Inc. 1731 0 0 ISHARES GOLD TR ISHARES NEW 464285204 6015 190772 SH SOLE Spectrum Asset Management Inc. 190772 0 0 ISHARES TR US TREAS BD ETF 46429B267 26553 1166652 SH SOLE Spectrum Asset Management Inc. 1166652 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 7515 94640 SH SOLE Spectrum Asset Management Inc. 94640 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 1670 25258 SH SOLE Spectrum Asset Management Inc. 25258 0 0 ISHARES TR CORE TOTAL USD 46434V613 1606 36099 SH SOLE Spectrum Asset Management Inc. 36099 0 0 ISHARES TR IBONDS 23 TRM TS 46436E882 900 36322 SH SOLE Spectrum Asset Management Inc. 36322 0 0 ISHARES TR CORE S&P500 ETF 464287200 495 1380 SH SOLE Spectrum Asset Management Inc. 1380 0 0 ISHARES TR RUS 1000 ETF 464287622 485 2457 SH SOLE Spectrum Asset Management Inc. 2457 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 244 3000 SH SOLE Spectrum Asset Management Inc. 3000 0 0 ISHARES TR EAFE VALUE ETF 464288877 232 6030 SH SOLE Spectrum Asset Management Inc. 6030 0 0 ISHARES TR EAFE GRWTH ETF 464288885 230 3174 SH SOLE Spectrum Asset Management Inc. 3174 0 0 ISHARES TR TIPS BD ETF 464287176 205 1954 SH SOLE Spectrum Asset Management Inc. 1954 0 0 KINDER MORGAN INC DEL COM 49456B101 2281 137049 SH SOLE Spectrum Asset Management Inc. 137049 0 0 M & T BK CORP COM 55261F104 220 1245 SH SOLE Spectrum Asset Management Inc. 1245 0 0 MARRIOTT INTL INC NEW CL A 571903202 283 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 332 1438 SH SOLE Spectrum Asset Management Inc. 1438 0 0 MCKESSON CORP COM 58155Q103 204 600 SH SOLE Spectrum Asset Management Inc. 600 0 0 MEDTRONIC PLC SHS G5960L103 3516 43181 SH SOLE Spectrum Asset Management Inc. 43181 0 0 MEDTRONIC PLC SHS G5960L103 13 154 SH DFND Spectrum Asset Management Inc. 0 0 154 MICROSOFT CORP COM 594918104 2914 12511 SH SOLE Spectrum Asset Management Inc. 12511 0 0 MICROSOFT CORP COM 594918104 8 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 382 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 372 4454 SH SOLE Spectrum Asset Management Inc. 4454 0 0 NORTHROP GRUMMAN CORP COM 666807102 270 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 NVIDIA CORPORATION COM 67066G104 381 3136 SH SOLE Spectrum Asset Management Inc. 3136 0 0 ORACLE CORP COM 68389X105 1875 30700 SH SOLE Spectrum Asset Management Inc. 30700 0 0 PEPSICO INC COM 713448108 532 3260 SH SOLE Spectrum Asset Management Inc. 3260 0 0 PFIZER INC COM 717081103 299 6835 SH SOLE Spectrum Asset Management Inc. 6835 0 0 PFIZER INC COM 717081103 14 330 SH DFND Spectrum Asset Management Inc. 0 0 330 PIONEER NAT RES CO COM 723787107 201 927 SH SOLE Spectrum Asset Management Inc. 927 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 16861 975768 SH SOLE Spectrum Asset Management Inc. 975768 0 0 PUBLIC STORAGE COM 74460D109 1234 4215 SH SOLE Spectrum Asset Management Inc. 4215 0 0 QUALCOMM INC COM 747525103 1473 13036 SH SOLE Spectrum Asset Management Inc. 13036 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 295 3601 SH SOLE Spectrum Asset Management Inc. 3601 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 14 175 SH DFND Spectrum Asset Management Inc. 0 0 175 ROCKWELL AUTOMATION INC COM 773903109 798 3710 SH SOLE Spectrum Asset Management Inc. 3710 0 0 SCHWAB CHARLES CORP COM 808513105 2997 41696 SH SOLE Spectrum Asset Management Inc. 41696 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 14277 244011 SH SOLE Spectrum Asset Management Inc. 244011 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 6254 112055 SH SOLE Spectrum Asset Management Inc. 112055 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1738 61782 SH SOLE Spectrum Asset Management Inc. 61782 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1521 36228 SH SOLE Spectrum Asset Management Inc. 36228 0 0 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 397 8080 SH SOLE Spectrum Asset Management Inc. 8080 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 7348 102028 SH SOLE Spectrum Asset Management Inc. 102028 0 0 SEMPRA COM 816851109 2967 19639 SH SOLE Spectrum Asset Management Inc. 19639 0 0 SHELL PLC SPON ADS 780259305 313 6300 SH SOLE Spectrum Asset Management Inc. 6300 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 203 7885 SH SOLE Spectrum Asset Management Inc. 7885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1020 2843 SH SOLE Spectrum Asset Management Inc. 2843 0 0 STRYKER CORPORATION COM 863667101 695 3421 SH SOLE Spectrum Asset Management Inc. 3421 0 0 TESLA INC COM 88160R101 1478 5573 SH SOLE Spectrum Asset Management Inc. 5573 0 0 TEXAS INSTRS INC COM 882508104 263 1700 SH SOLE Spectrum Asset Management Inc. 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 508 1005 SH SOLE Spectrum Asset Management Inc. 1005 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2648 12376 SH SOLE Spectrum Asset Management Inc. 12376 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 349 1944 SH SOLE Spectrum Asset Management Inc. 1944 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 720 4385 SH SOLE Spectrum Asset Management Inc. 4385 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 734 20175 SH SOLE Spectrum Asset Management Inc. 20175 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2236 58900 SH SOLE Spectrum Asset Management Inc. 58900 0 0 VISA INC COM CL A 92826C839 326 1833 SH SOLE Spectrum Asset Management Inc. 1833 0 0 WALMART INC COM 931142103 1022 7876 SH SOLE Spectrum Asset Management Inc. 7876 0 0 WELLS FARGO CO NEW COM 949746101 248 6163 SH SOLE Spectrum Asset Management Inc. 6163 0 0