0001632078-23-000006.txt : 20230802
0001632078-23-000006.hdr.sgml : 20230802
20230802141930
ACCESSION NUMBER: 0001632078-23-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230630
FILED AS OF DATE: 20230802
DATE AS OF CHANGE: 20230802
EFFECTIVENESS DATE: 20230802
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: 231134877
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
06-30-2023
06-30-2023
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
08-02-2023
0
101
201045703
false
INFORMATION TABLE
2
F13F.xml
2Q23 13F-HR HOLDINGS REPORT
ABBOTT LABS
COM
002824100
1768741
16224
SH
SOLE
Spectrum Asset Management Inc.
16224
0
0
ABBVIE INC
COM
00287Y109
3110675
23088
SH
SOLE
Spectrum Asset Management Inc.
23088
0
0
ABRDN ASIA PACIFIC INCOME FU
COM
003009107
30260
11207
SH
SOLE
Spectrum Asset Management Inc.
11207
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
3563791
11549
SH
SOLE
Spectrum Asset Management Inc.
11549
0
0
ADOBE SYSTEMS INCORPORATED
COM
00724F101
448404
917
SH
SOLE
Spectrum Asset Management Inc.
917
0
0
ALKERMES PLC
SHS
G01767105
348526
11135
SH
SOLE
Spectrum Asset Management Inc.
11135
0
0
ALPHABET INC
CAP STK CL A
02079K305
750519
6270
SH
SOLE
Spectrum Asset Management Inc.
6270
0
0
AMERICOLD REALTY TRUST INC
COM
03064D108
2964101
91147
SH
SOLE
Spectrum Asset Management Inc.
91147
0
0
APPLE INC
COM
037833100
3911894
20168
SH
SOLE
Spectrum Asset Management Inc.
20168
0
0
APPLE INC
PUT
037833100
6394
3300
PRN
Put
SOLE
Spectrum Asset Management Inc.
3300
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
2824162
8282
SH
SOLE
Spectrum Asset Management Inc.
8282
0
0
BORGWARNER INC
COM
099724106
2636641
53908
SH
SOLE
Spectrum Asset Management Inc.
53908
0
0
BUNGE LIMITED
COM
G16962105
2526410
26777
SH
SOLE
Spectrum Asset Management Inc.
26777
0
0
CF INDS HLDGS INC
COM
125269100
1817763
26185
SH
SOLE
Spectrum Asset Management Inc.
26185
0
0
CHESAPEAKE ENERGY CORP
COM
165167735
2713299
32425
SH
SOLE
Spectrum Asset Management Inc.
32425
0
0
CHEVRON CORP NEW
COM
166764100
6927347
44025
SH
SOLE
Spectrum Asset Management Inc.
44025
0
0
CHEVRON CORP NEW
COM
166764100
16522
105
SH
DFND
Spectrum Asset Management Inc.
0
0
105
CISCO SYS INC
COM
17275R102
4594155
88793
SH
SOLE
Spectrum Asset Management Inc.
88793
0
0
CISCO SYS INC
COM
17275R102
16713
323
SH
DFND
Spectrum Asset Management Inc.
0
0
323
CONOCOPHILLIPS
COM
20825C104
837791
8086
SH
SOLE
Spectrum Asset Management Inc.
8086
0
0
CONOCOPHILLIPS
COM
20825C104
15749
152
SH
DFND
Spectrum Asset Management Inc.
0
0
152
COSTCO WHSL CORP NEW
COM
22160K105
1092540
2029
SH
SOLE
Spectrum Asset Management Inc.
2029
0
0
DEERE & CO
COM
244199105
1272564
3131
SH
SOLE
Spectrum Asset Management Inc.
3131
0
0
DISNEY WALT CO
COM
254687106
299714
3357
SH
SOLE
Spectrum Asset Management Inc.
3357
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
2944370
32810
SH
SOLE
Spectrum Asset Management Inc.
32810
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
16243
181
SH
DFND
Spectrum Asset Management Inc.
0
0
181
EDWARDS LIFESCIENCES CORP
COM
28176E108
258087
2736
SH
SOLE
Spectrum Asset Management Inc.
2736
0
0
EMERSON ELEC CO
COM
291011104
2342186
25912
SH
SOLE
Spectrum Asset Management Inc.
25912
0
0
EXXON MOBIL CORP
COM
30231G102
4011785
37406
SH
SOLE
Spectrum Asset Management Inc.
37406
0
0
EXXON MOBIL CORP
COM
30231G102
17697
165
SH
DFND
Spectrum Asset Management Inc.
0
0
165
GENERAL DYNAMICS CORP
COM
369550108
2923889
13590
SH
SOLE
Spectrum Asset Management Inc.
13590
0
0
GENERAL DYNAMICS CORP
COM
369550108
15061
70
SH
DFND
Spectrum Asset Management Inc.
0
0
70
GLOBAL X FDS
GLBL X MLP ETF
37954Y343
315193
7342
SH
SOLE
Spectrum Asset Management Inc.
7342
0
0
HEARTBEAM INC
COM
42238H108
103389
42900
SH
SOLE
Spectrum Asset Management Inc.
42900
0
0
HONEYWELL INTL INC
COM
438516106
4424730
21324
SH
SOLE
Spectrum Asset Management Inc.
21324
0
0
IDEXX LABS INC
COM
45168D104
288281
574
SH
SOLE
Spectrum Asset Management Inc.
574
0
0
INMODE LTD
SHS
M5425M103
312993
8380
SH
SOLE
Spectrum Asset Management Inc.
8380
0
0
INTEL CORP
COM
458140100
3103775
92816
SH
SOLE
Spectrum Asset Management Inc.
92816
0
0
INTEL CORP
CALL
458140100
42953
10000
PRN
Call
SOLE
Spectrum Asset Management Inc.
10000
0
0
INTEL CORP
COM
458140100
8695
260
SH
DFND
Spectrum Asset Management Inc.
0
0
260
INTUIT
COM
461202103
838946
1831
SH
SOLE
Spectrum Asset Management Inc.
1831
0
0
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
5103173
34103
SH
SOLE
Spectrum Asset Management Inc.
34103
0
0
ISHARES GOLD TR
ISHARES NEW
464285204
8180036
224788
SH
SOLE
Spectrum Asset Management Inc.
224788
0
0
ISHARES TR
US TREAS BD ETF
46429B267
28379542
1239281
SH
SOLE
Spectrum Asset Management Inc.
1239281
0
0
ISHARES TR
ESG AWR MSCI USA
46435G425
6192163
63535
SH
SOLE
Spectrum Asset Management Inc.
63535
0
0
ISHARES TR
MSCI USA MIN VOL
46429B697
3983791
53596
SH
SOLE
Spectrum Asset Management Inc.
53596
0
0
ISHARES TR
IBONDS 23 TRM TS
46436E882
1016615
40976
SH
SOLE
Spectrum Asset Management Inc.
40976
0
0
ISHARES TR
20 YR TR BD ETF
464287432
656243
6375
SH
SOLE
Spectrum Asset Management Inc.
6375
0
0
ISHARES TR
CORE S&P500 ETF
464287200
599376
1345
SH
SOLE
Spectrum Asset Management Inc.
1345
0
0
ISHARES TR
RUS 1000 ETF
464287622
593437
2435
SH
SOLE
Spectrum Asset Management Inc.
2435
0
0
ISHARES TR
CORE TOTAL USD
46434V613
302967
6663
SH
SOLE
Spectrum Asset Management Inc.
6663
0
0
ISHARES TR
EAFE VALUE ETF
464288877
264521
5405
SH
SOLE
Spectrum Asset Management Inc.
5405
0
0
ISHARES TR
IBONDS 25 TRM TS
46436E866
255541
11048
SH
SOLE
Spectrum Asset Management Inc.
11048
0
0
ISHARES TR
1 3 YR TREAS BD
464287457
243240
3000
SH
SOLE
Spectrum Asset Management Inc.
3000
0
0
ISHARES TR
EAFE GRWTH ETF
464288885
232324
2435
SH
SOLE
Spectrum Asset Management Inc.
2435
0
0
MARRIOTT INTL INC NEW
CL A
571903202
371054
2020
SH
SOLE
Spectrum Asset Management Inc.
2020
0
0
MCDONALDS CORP
COM
580135101
540928
1813
SH
SOLE
Spectrum Asset Management Inc.
1813
0
0
MCKESSON CORP
COM
58155Q103
256710
600
SH
SOLE
Spectrum Asset Management Inc.
600
0
0
MEDTRONIC PLC
SHS
G5960L103
2415541
27198
SH
SOLE
Spectrum Asset Management Inc.
27198
0
0
MEDTRONIC PLC
SHS
G5960L103
14908
168
SH
DFND
Spectrum Asset Management Inc.
0
0
168
MICROSOFT CORP
COM
594918104
4272483
12546
SH
SOLE
Spectrum Asset Management Inc.
12546
0
0
MICROSOFT CORP
COM
594918104
11579
34
SH
DFND
Spectrum Asset Management Inc.
0
0
34
MORNINGSTAR INC
COM
617700109
352926
1800
SH
SOLE
Spectrum Asset Management Inc.
1800
0
0
NIKE INC
CL B
654106103
441048
3984
SH
SOLE
Spectrum Asset Management Inc.
3984
0
0
NORTHROP GRUMMAN CORP
COM
666807102
261630
574
SH
SOLE
Spectrum Asset Management Inc.
574
0
0
NVIDIA CORPORATION
COM
67066G104
223844
529
SH
SOLE
Spectrum Asset Management Inc.
529
0
0
ORACLE CORP
COM
68389X105
3348930
28121
SH
SOLE
Spectrum Asset Management Inc.
28121
0
0
PEPSICO INC
COM
713448108
455204
2458
SH
SOLE
Spectrum Asset Management Inc.
2458
0
0
PFIZER INC
COM
717081103
246123
6710
SH
SOLE
Spectrum Asset Management Inc.
6710
0
0
PFIZER INC
COM
717081103
12105
330
SH
DFND
Spectrum Asset Management Inc.
0
0
330
PROSHARES TR
SHORT S&P 500 NE
74347B425
9154568
659551
SH
SOLE
Spectrum Asset Management Inc.
659551
0
0
QUALCOMM INC
COM
747525103
1315988
11055
SH
SOLE
Spectrum Asset Management Inc.
11055
0
0
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
354909
3623
SH
SOLE
Spectrum Asset Management Inc.
3623
0
0
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
17143
175
SH
DFND
Spectrum Asset Management Inc.
0
0
175
ROCKWELL AUTOMATION INC
COM
773903109
1233791
3745
SH
SOLE
Spectrum Asset Management Inc.
3745
0
0
SCHLUMBERGER LTD
COM STK
806857108
978979
19914
SH
SOLE
Spectrum Asset Management Inc.
19914
0
0
SCHWAB CHARLES CORP
COM
808513105
3734324
65884
SH
SOLE
Spectrum Asset Management Inc.
65884
0
0
SCHWAB STRATEGIC TR
US LCAP VA ETF
808524409
15803213
235552
SH
SOLE
Spectrum Asset Management Inc.
235552
0
0
SCHWAB STRATEGIC TR
US LCAP GR ETF
808524300
7053035
94103
SH
SOLE
Spectrum Asset Management Inc.
94103
0
0
SCHWAB STRATEGIC TR
INTL EQTY ETF
808524805
2301279
64552
SH
SOLE
Spectrum Asset Management Inc.
64552
0
0
SCHWAB STRATEGIC TR
US BRD MKT ETF
808524102
1972889
38160
SH
SOLE
Spectrum Asset Management Inc.
38160
0
0
SCHWAB STRATEGIC TR
INT-TRM U.S TRES
808524854
346439
7030
SH
SOLE
Spectrum Asset Management Inc.
7030
0
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
212426
4420
SH
SOLE
Spectrum Asset Management Inc.
4420
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
3205779
39495
SH
SOLE
Spectrum Asset Management Inc.
39495
0
0
SEMPRA
COM
816851109
2925088
20091
SH
SOLE
Spectrum Asset Management Inc.
20091
0
0
SPDR GOLD TR
GOLD SHS
78463V107
223551
1254
SH
SOLE
Spectrum Asset Management Inc.
1254
0
0
SPDR INDEX SHS FDS
PORTFOLIO DEVLPD
78463X889
256578
7885
SH
SOLE
Spectrum Asset Management Inc.
7885
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1144792
2573
SH
SOLE
Spectrum Asset Management Inc.
2573
0
0
TENON MEDICAL INC
COM
88066N105
58834
213786
SH
SOLE
Spectrum Asset Management Inc.
213786
0
0
TESLA INC
COM
88160R101
1354213
5173
SH
SOLE
Spectrum Asset Management Inc.
5173
0
0
TEXAS INSTRS INC
COM
882508104
326737
1815
SH
SOLE
Spectrum Asset Management Inc.
1815
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
554178
1153
SH
SOLE
Spectrum Asset Management Inc.
1153
0
0
VANGUARD INDEX FDS
GROWTH ETF
922908736
2557676
9039
SH
SOLE
Spectrum Asset Management Inc.
9039
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
425805
1933
SH
SOLE
Spectrum Asset Management Inc.
1933
0
0
VANGUARD SCOTTSDALE FDS
VNG RUS1000IDX
92206C730
3332594
16534
SH
SOLE
Spectrum Asset Management Inc.
16534
0
0
VANGUARD TAX-MANAGED FDS
VAN FTSE DEV MKT
921943858
918852
19897
SH
SOLE
Spectrum Asset Management Inc.
19897
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
1539958
41408
SH
SOLE
Spectrum Asset Management Inc.
41408
0
0
VICI PPTYS INC
COM
925652109
13763
433
SH
DFND
Spectrum Asset Management Inc.
0
0
433
VISA INC
COM CL A
92826C839
435786
1835
SH
SOLE
Spectrum Asset Management Inc.
1835
0
0
VOLITIONRX LTD
COM
928661107
77279
55596
SH
SOLE
Spectrum Asset Management Inc.
55596
0
0
WALMART INC
COM
931142103
1524327
9698
SH
SOLE
Spectrum Asset Management Inc.
9698
0
0