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0001632078-23-000002.txt : 20230127 0001632078-23-000002.hdr.sgml : 20230127 20230126210556 ACCESSION NUMBER: 0001632078-23-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230127 DATE AS OF CHANGE: 20230126 EFFECTIVENESS DATE: 20230127 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: 23559458 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 X0202 13F-HR LIVE false true false 0001632078 XXXXXXXX 12-31-2022 12-31-2022 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 01-26-2023 0 108 206299477 false INFORMATION TABLE 2 F13F.xml 4Q22 13F HOLDINGS REPORT ABBOTT LABS COM 002824100 2016513 18367 SH SOLE Spectrum Asset Management Inc. 18367 0 0 ABBVIE INC COM 00287Y109 4156845 25721 SH SOLE Spectrum Asset Management Inc. 25721 0 0 ABRDN ASIA PACIFIC INCOME FU COM 003009107 29783 11207 SH SOLE Spectrum Asset Management Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3320824 12445 SH SOLE Spectrum Asset Management Inc. 12445 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 308598 917 SH SOLE Spectrum Asset Management Inc. 917 0 0 ALKERMES PLC SHS G01767105 290958 11135 SH SOLE Spectrum Asset Management Inc. 11135 0 0 ALPHABET INC CAP STK CL A 02079K305 419975 4760 SH SOLE Spectrum Asset Management Inc. 4760 0 0 AMERICOLD REALTY TRUST INC COM 03064D108 2918334 102290 SH SOLE Spectrum Asset Management Inc. 102290 0 0 APPLE INC COM 037833100 2571366 19790 SH SOLE Spectrum Asset Management Inc. 19790 0 0 APPLE INC PUT 037833100 28020 2000 PRN Put SOLE Spectrum Asset Management Inc. 2000 0 0 BANK AMERICA CORP COM 060505104 216376 6533 SH SOLE Spectrum Asset Management Inc. 6533 0 0 BANK AMERICA CORP COM 060505104 14341 433 SH DFND Spectrum Asset Management Inc. 0 0 433 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2810990 9100 SH SOLE Spectrum Asset Management Inc. 9100 0 0 BORGWARNER INC COM 099724106 2329871 57885 SH SOLE Spectrum Asset Management Inc. 57885 0 0 BP PLC SPONSORED ADR 055622104 273439 7828 SH SOLE Spectrum Asset Management Inc. 7828 0 0 BUNGE LIMITED COM G16962105 2996592 30035 SH SOLE Spectrum Asset Management Inc. 30035 0 0 CF INDS HLDGS INC COM 125269100 1946394 22845 SH SOLE Spectrum Asset Management Inc. 22845 0 0 CHESAPEAKE ENERGY CORP COM 165167735 3230050 34228 SH SOLE Spectrum Asset Management Inc. 34228 0 0 CHEVRON CORP NEW COM 166764100 9052072 50432 SH SOLE Spectrum Asset Management Inc. 50432 0 0 CHEVRON CORP NEW COM 166764100 18846 105 SH DFND Spectrum Asset Management Inc. 0 0 105 CISCO SYS INC COM 17275R102 3691867 77495 SH SOLE Spectrum Asset Management Inc. 77495 0 0 CISCO SYS INC COM 17275R102 12196 256 SH DFND Spectrum Asset Management Inc. 0 0 256 COSTCO WHSL CORP NEW COM 22160K105 888902 1947 SH SOLE Spectrum Asset Management Inc. 1947 0 0 DANAHER CORPORATION COM 235851102 812950 3060 SH SOLE Spectrum Asset Management Inc. 3060 0 0 DEERE & CO COM 244199105 1346205 3131 SH SOLE Spectrum Asset Management Inc. 3131 0 0 DISNEY WALT CO COM 254687106 291656 3357 SH SOLE Spectrum Asset Management Inc. 3357 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 3145830 30545 SH SOLE Spectrum Asset Management Inc. 30545 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 17302 168 SH DFND Spectrum Asset Management Inc. 0 0 168 EDISON INTL COM 281020107 295255 4588 SH SOLE Spectrum Asset Management Inc. 4588 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 204133 2736 SH SOLE Spectrum Asset Management Inc. 2736 0 0 EMERSON ELEC CO COM 291011104 2757402 28705 SH SOLE Spectrum Asset Management Inc. 28705 0 0 EOG RES INC COM 26875P101 860401 6643 SH SOLE Spectrum Asset Management Inc. 6643 0 0 EXXON MOBIL CORP COM 30231G102 6825888 61885 SH SOLE Spectrum Asset Management Inc. 61885 0 0 EXXON MOBIL CORP COM 30231G102 18200 165 SH DFND Spectrum Asset Management Inc. 0 0 165 GENERAL DYNAMICS CORP COM 369550108 3678231 14825 SH SOLE Spectrum Asset Management Inc. 14825 0 0 GENERAL DYNAMICS CORP COM 369550108 12406 50 SH DFND Spectrum Asset Management Inc. 0 0 50 GLOBAL X FDS GLBL X MLP ETF 37954Y343 425989 10317 SH SOLE Spectrum Asset Management Inc. 10317 0 0 HONEYWELL INTL INC COM 438516106 4885397 22797 SH SOLE Spectrum Asset Management Inc. 22797 0 0 INMODE LTD SHS M5425M103 290776 8145 SH SOLE Spectrum Asset Management Inc. 8145 0 0 INTEL CORP COM 458140100 1989866 75288 SH SOLE Spectrum Asset Management Inc. 75288 0 0 INTEL CORP CALL 458140100 19100 10000 PRN Call SOLE Spectrum Asset Management Inc. 10000 0 0 INTEL CORP CALL 458140100 6872 260 SH DFND Spectrum Asset Management Inc. 0 0 260 INTUIT COM 461202103 673740 1731 SH SOLE Spectrum Asset Management Inc. 1731 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 7189908 50902 SH SOLE Spectrum Asset Management Inc. 50902 0 0 ISHARES GOLD TR ISHARES NEW 464285204 4582656 132485 SH SOLE Spectrum Asset Management Inc. 132485 0 0 ISHARES INC MSCI EMERG MRKT 464286533 248327 4681 SH SOLE Spectrum Asset Management Inc. 4681 0 0 ISHARES TR US TREAS BD ETF 46429B267 18638785 820369 SH SOLE Spectrum Asset Management Inc. 820369 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 5480067 64662 SH SOLE Spectrum Asset Management Inc. 64662 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 3799454 52697 SH SOLE Spectrum Asset Management Inc. 52697 0 0 ISHARES TR CORE TOTAL USD 46434V613 976284 21729 SH SOLE Spectrum Asset Management Inc. 21729 0 0 ISHARES TR IBONDS 23 TRM TS 46436E882 896687 36296 SH SOLE Spectrum Asset Management Inc. 36296 0 0 ISHARES TR CORE S&P500 ETF 464287200 526277 1370 SH SOLE Spectrum Asset Management Inc. 1370 0 0 ISHARES TR RUS 1000 ETF 464287622 518604 2463 SH SOLE Spectrum Asset Management Inc. 2463 0 0 ISHARES TR EAFE VALUE ETF 464288877 305010 6648 SH SOLE Spectrum Asset Management Inc. 6648 0 0 ISHARES TR EAFE GRWTH ETF 464288885 257311 3072 SH SOLE Spectrum Asset Management Inc. 3072 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 243510 3000 SH SOLE Spectrum Asset Management Inc. 3000 0 0 KINDER MORGAN INC DEL COM 49456B101 2478002 137058 SH SOLE Spectrum Asset Management Inc. 137058 0 0 MARRIOTT INTL INC NEW CL A 571903202 300758 2020 SH SOLE Spectrum Asset Management Inc. 2020 0 0 MCDONALDS CORP COM 580135101 405516 1539 SH SOLE Spectrum Asset Management Inc. 1539 0 0 MCKESSON CORP COM 58155Q103 225396 600 SH SOLE Spectrum Asset Management Inc. 600 0 0 MEDTRONIC PLC SHS G5960L103 1563428 19936 SH SOLE Spectrum Asset Management Inc. 19936 0 0 MEDTRONIC PLC SHS G5960L103 12074 154 SH DFND Spectrum Asset Management Inc. 0 0 154 MICROSOFT CORP COM 594918104 3005371 12532 SH SOLE Spectrum Asset Management Inc. 12532 0 0 MICROSOFT CORP COM 594918104 8154 34 SH DFND Spectrum Asset Management Inc. 0 0 34 MORNINGSTAR INC COM 617700109 389862 1800 SH SOLE Spectrum Asset Management Inc. 1800 0 0 NIKE INC CL B 654106103 466146 3984 SH SOLE Spectrum Asset Management Inc. 3984 0 0 NORTHROP GRUMMAN CORP COM 666807102 313180 574 SH SOLE Spectrum Asset Management Inc. 574 0 0 ORACLE CORP COM 68389X105 2530670 30960 SH SOLE Spectrum Asset Management Inc. 30960 0 0 PEPSICO INC COM 713448108 504522 2771 SH SOLE Spectrum Asset Management Inc. 2771 0 0 PFIZER INC COM 717081103 343820 6710 SH SOLE Spectrum Asset Management Inc. 6710 0 0 PFIZER INC COM 717081103 16909 330 SH DFND Spectrum Asset Management Inc. 0 0 330 PIONEER NAT RES CO COM 723787107 211718 927 SH SOLE Spectrum Asset Management Inc. 927 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 5906863 368488 SH SOLE Spectrum Asset Management Inc. 368488 0 0 PUBLIC STORAGE COM 74460D109 1190808 4250 SH SOLE Spectrum Asset Management Inc. 4250 0 0 QUALCOMM INC COM 747525103 1413389 12856 SH SOLE Spectrum Asset Management Inc. 12856 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 363495 3602 SH SOLE Spectrum Asset Management Inc. 3602 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 17661 175 SH DFND Spectrum Asset Management Inc. 0 0 175 ROCKWELL AUTOMATION INC COM 773903109 956873 3715 SH SOLE Spectrum Asset Management Inc. 3715 0 0 SCHLUMBERGER LTD COM STK 806857108 200952 3747 SH SOLE Spectrum Asset Management Inc. 3747 0 0 SCHWAB CHARLES CORP COM 808513105 3842111 46146 SH SOLE Spectrum Asset Management Inc. 46146 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15847639 240043 SH SOLE Spectrum Asset Management Inc. 240043 0 0 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 8622438 175146 SH SOLE Spectrum Asset Management Inc. 175146 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 6648025 119655 SH SOLE Spectrum Asset Management Inc. 119655 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1998759 62054 SH SOLE Spectrum Asset Management Inc. 62054 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1655067 36935 SH SOLE Spectrum Asset Management Inc. 36935 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 8751828 100055 SH SOLE Spectrum Asset Management Inc. 100055 0 0 SEMPRA COM 816851109 3057642 19656 SH SOLE Spectrum Asset Management Inc. 19656 0 0 SHELL PLC SPON ADS 780259305 358785 6300 SH SOLE Spectrum Asset Management Inc. 6300 0 0 SPDR GOLD TR GOLD SHS 78463V107 1891316 11149 SH SOLE Spectrum Asset Management Inc. 11149 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 234106 7885 SH SOLE Spectrum Asset Management Inc. 7885 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1092318 2843 SH SOLE Spectrum Asset Management Inc. 2843 0 0 SPROTT PHYSICAL GOLD TR UNIT 85207H104 252108 17880 SH SOLE Spectrum Asset Management Inc. 17880 0 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 319959 38830 SH SOLE Spectrum Asset Management Inc. 38830 0 0 STRYKER CORPORATION COM 863667101 847549 3456 SH SOLE Spectrum Asset Management Inc. 3456 0 0 TENON MEDICAL INC COM 88066N105 206211 130513 SH SOLE Spectrum Asset Management Inc. 130513 0 0 TESLA INC COM 88160R101 655723 5323 SH SOLE Spectrum Asset Management Inc. 5323 0 0 TEXAS INSTRS INC COM 882508104 280874 1700 SH SOLE Spectrum Asset Management Inc. 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 532831 1005 SH SOLE Spectrum Asset Management Inc. 1005 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2545386 11944 SH SOLE Spectrum Asset Management Inc. 11944 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 369382 1932 SH SOLE Spectrum Asset Management Inc. 1932 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 297584 2120 SH SOLE Spectrum Asset Management Inc. 2120 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 3299439 18934 SH SOLE Spectrum Asset Management Inc. 18934 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 849524 20241 SH SOLE Spectrum Asset Management Inc. 20241 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1324647 33620 SH SOLE Spectrum Asset Management Inc. 33620 0 0 VISA INC COM CL A 92826C839 380992 1834 SH SOLE Spectrum Asset Management Inc. 1834 0 0 VOLITIONRX LTD COM 928661107 135098 55596 SH SOLE Spectrum Asset Management Inc. 55596 0 0 WALMART INC COM 931142103 1148894 8071 SH SOLE Spectrum Asset Management Inc. 8071 0 0 WELLS FARGO CO NEW COM 949746101 264044 6395 SH SOLE Spectrum Asset Management Inc. 6395 0 0