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0001632078-22-000005.txt : 20220428 0001632078-22-000005.hdr.sgml : 20220428 20220428155454 ACCESSION NUMBER: 0001632078-22-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220428 DATE AS OF CHANGE: 20220428 EFFECTIVENESS DATE: 20220428 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: 22866256 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 03-31-2022 03-31-2022 Spectrum Asset Management, Inc. (NB/CA)

1301 DOVE STREET, SUITE 720 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-16433 N Tony Jung COO 9497173400 Tony Jung Newport Beach CA 04-28-2022 0 123 254859 false INFORMATION TABLE 2 F13F.xml 1Q22 13F-HR HOLDINGS REPORT ABBOTT LABS COM 002824100 2092 17672 SH SOLE Spectrum Asset Management, Inc. 17672 0 0 ABBVIE INC COM 00287Y109 3906 24098 SH SOLE Spectrum Asset Management, Inc. 24098 0 0 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 38 11207 SH SOLE Spectrum Asset Management, Inc. 11207 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 4023 11929 SH SOLE Spectrum Asset Management, Inc. 11929 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 252 12070 SH SOLE Spectrum Asset Management, Inc. 12070 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 755 5704 SH SOLE Spectrum Asset Management, Inc. 5704 0 0 ALPHABET INC CAP STK CL A 02079K305 659 237 SH SOLE Spectrum Asset Management, Inc. 237 0 0 ALPHABET INC CAP STK CL C 02079K107 433 155 SH SOLE Spectrum Asset Management, Inc. 155 0 0 ALTRIA GROUP INC COM 02209S103 377 7214 SH SOLE Spectrum Asset Management, Inc. 7214 0 0 ALTRIA GROUP INC COM 02209S103 10 199 SH DFND Spectrum Asset Management, Inc. 0 0 199 AMAZON COM INC COM 023135106 398 122 SH SOLE Spectrum Asset Management, Inc. 122 0 0 AMERICOLD RLTY TR COM 03064D108 2161 77520 SH SOLE Spectrum Asset Management, Inc. 77520 0 0 APPLE INC COM 037833100 4011 22971 SH SOLE Spectrum Asset Management, Inc. 22971 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 714 1069 SH SOLE Spectrum Asset Management, Inc. 1069 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4027 11410 SH SOLE Spectrum Asset Management, Inc. 11410 0 0 BIO-TECHNE CORP COM 09073M104 828 1911 SH SOLE Spectrum Asset Management, Inc. 1911 0 0 BK OF AMERICA CORP COM 060505104 226 5487 SH SOLE Spectrum Asset Management, Inc. 5487 0 0 BK OF AMERICA CORP COM 060505104 18 433 SH DFND Spectrum Asset Management, Inc. 0 0 433 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 213 16300 SH SOLE Spectrum Asset Management, Inc. 16300 0 0 BORGWARNER INC COM 099724106 2343 60235 SH SOLE Spectrum Asset Management, Inc. 60235 0 0 BP PLC SPONSORED ADR 055622104 317 10784 SH SOLE Spectrum Asset Management, Inc. 10784 0 0 BUNGE LIMITED COM G16962105 2944 26565 SH SOLE Spectrum Asset Management, Inc. 26565 0 0 CF INDS HLDGS INC COM 125269100 1564 15180 SH SOLE Spectrum Asset Management, Inc. 15180 0 0 CHEVRON CORP NEW COM 166764100 8499 52197 SH SOLE Spectrum Asset Management, Inc. 52197 0 0 CHEVRON CORP NEW COM 166764100 17 105 SH DFND Spectrum Asset Management, Inc. 0 0 105 CISCO SYS INC COM 17275R102 4193 75202 SH SOLE Spectrum Asset Management, Inc. 75202 0 0 CISCO SYS INC COM 17275R102 14 256 SH DFND Spectrum Asset Management, Inc. 0 0 256 COINBASE GLOBAL INC COM CL A 19260Q107 1947 10254 SH SOLE Spectrum Asset Management, Inc. 10254 0 0 COSTCO WHSL CORP NEW COM 22160K105 1504 2612 SH SOLE Spectrum Asset Management, Inc. 2612 0 0 DANAHER CORPORATION COM 235851102 906 3089 SH SOLE Spectrum Asset Management, Inc. 3089 0 0 DEERE & CO COM 244199105 1493 3593 SH SOLE Spectrum Asset Management, Inc. 3593 0 0 DISNEY WALT CO COM 254687106 460 3352 SH SOLE Spectrum Asset Management, Inc. 3352 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 3093 27700 SH SOLE Spectrum Asset Management, Inc. 27700 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 15 134 SH DFND Spectrum Asset Management, Inc. 0 0 134 EDISON INTL COM 281020107 320 4559 SH SOLE Spectrum Asset Management, Inc. 4559 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 320 2716 SH SOLE Spectrum Asset Management, Inc. 2716 0 0 EMERSON ELEC CO COM 291011104 2577 26285 SH SOLE Spectrum Asset Management, Inc. 26285 0 0 EXXON MOBIL CORP COM 30231G102 5223 63238 SH SOLE Spectrum Asset Management, Inc. 63238 0 0 EXXON MOBIL CORP COM 30231G102 14 165 SH DFND Spectrum Asset Management, Inc. 0 0 165 GENERAL DYNAMICS CORP COM 369550108 3987 16530 SH SOLE Spectrum Asset Management, Inc. 16530 0 0 GENERAL DYNAMICS CORP COM 369550108 12 50 SH DFND Spectrum Asset Management, Inc. 0 0 50 GLOBAL X FDS GLBL X MLP ETF 37954Y343 619 15357 SH SOLE Spectrum Asset Management, Inc. 15357 0 0 GOLD TR ISHARES NEW 464285204 4670 126812 SH SOLE Spectrum Asset Management, Inc. 126812 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1365 4136 SH SOLE Spectrum Asset Management, Inc. 4136 0 0 HONEYWELL INTL INC COM 438516106 3531 18147 SH SOLE Spectrum Asset Management, Inc. 18147 0 0 ILLUMINA INC COM 452327109 276 790 SH SOLE Spectrum Asset Management, Inc. 790 0 0 INTEL CORP COM 458140100 2934 59210 SH SOLE Spectrum Asset Management, Inc. 59210 0 0 INTEL CORP COM 458140100 13 260 SH DFND Spectrum Asset Management, Inc. 0 0 260 INTUIT COM 461202103 843 1754 SH SOLE Spectrum Asset Management, Inc. 1754 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 277 765 SH SOLE Spectrum Asset Management, Inc. 765 0 0 ISHARES TR CORE TOTAL USD 46434V613 17519 352983 SH SOLE Spectrum Asset Management, Inc. 352983 0 0 ISHARES TR US TREAS BD ETF 46429B267 14325 575056 SH SOLE Spectrum Asset Management, Inc. 575056 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 10969 108224 SH SOLE Spectrum Asset Management, Inc. 108224 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 2175 28037 SH SOLE Spectrum Asset Management, Inc. 28037 0 0 ISHARES TR EAFE VALUE ETF 464288877 1603 31900 SH SOLE Spectrum Asset Management, Inc. 31900 0 0 ISHARES TR EAFE GRWTH ETF 464288885 1466 15226 SH SOLE Spectrum Asset Management, Inc. 15226 0 0 ISHARES TR CORE S&P500 ETF 464287200 629 1386 SH SOLE Spectrum Asset Management, Inc. 1386 0 0 ISHARES TR RUS 1000 ETF 464287622 616 2463 SH SOLE Spectrum Asset Management, Inc. 2463 0 0 ISHARES TR NATIONAL MUN ETF 464288414 553 5040 SH SOLE Spectrum Asset Management, Inc. 5040 0 0 ISHARES TR IBONDS 23 TRM TS 46436E882 547 21809 SH SOLE Spectrum Asset Management, Inc. 21809 0 0 ISHARES TR CORE US AGGBD ET 464287226 381 3554 SH SOLE Spectrum Asset Management, Inc. 3554 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 346 4150 SH SOLE Spectrum Asset Management, Inc. 4150 0 0 ISHARES TR CORE 1 5 YR USD 46432F859 314 6477 SH SOLE Spectrum Asset Management, Inc. 6477 0 0 ISHARES TR FALN ANGLS USD 46435G474 310 11162 SH SOLE Spectrum Asset Management, Inc. 11162 0 0 ISHARES TR 20 YR TR BD ETF 464287432 248 1875 SH SOLE Spectrum Asset Management, Inc. 1875 0 0 ISHARES TR TIPS BD ETF 464287176 244 1959 SH SOLE Spectrum Asset Management, Inc. 1959 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 206 3090 SH SOLE Spectrum Asset Management, Inc. 3090 0 0 ISHARES TR CORE S&P SCP ETF 464287804 202 1875 SH SOLE Spectrum Asset Management, Inc. 1875 0 0 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 2225 44896 SH SOLE Spectrum Asset Management, Inc. 44896 0 0 ISHARES U S ETF TR GSCI CMDTY STGY 46431W853 299 7472 SH SOLE Spectrum Asset Management, Inc. 7472 0 0 KINDER MORGAN INC DEL COM 49456B101 2620 138559 SH SOLE Spectrum Asset Management, Inc. 138559 0 0 M & T BK CORP COM 55261F104 245 1445 SH SOLE Spectrum Asset Management, Inc. 1445 0 0 MARRIOTT INTL INC NEW CL A 571903202 355 2020 SH SOLE Spectrum Asset Management, Inc. 2020 0 0 MCDONALDS CORP COM 580135101 361 1458 SH SOLE Spectrum Asset Management, Inc. 1458 0 0 MEDTRONIC PLC SHS G5960L103 3098 27921 SH SOLE Spectrum Asset Management, Inc. 27921 0 0 MEDTRONIC PLC SHS G5960L103 15 132 SH DFND Spectrum Asset Management, Inc. 0 0 132 MICROSOFT CORP COM 594918104 5367 17407 SH SOLE Spectrum Asset Management, Inc. 17407 0 0 MICROSOFT CORP COM 594918104 10 34 SH DFND Spectrum Asset Management, Inc. 0 0 34 MORNINGSTAR INC COM 617700109 492 1800 SH SOLE Spectrum Asset Management, Inc. 1800 0 0 NIKE INC CL B 654106103 599 4454 SH SOLE Spectrum Asset Management, Inc. 4454 0 0 NORTHROP GRUMMAN CORP COM 666807102 257 574 SH SOLE Spectrum Asset Management, Inc. 574 0 0 NVIDIA CORPORATION COM 67066G104 883 3237 SH SOLE Spectrum Asset Management, Inc. 3237 0 0 ORACLE CORP COM 68389X105 2950 35660 SH SOLE Spectrum Asset Management, Inc. 35660 0 0 PEPSICO INC COM 713448108 546 3260 SH SOLE Spectrum Asset Management, Inc. 3260 0 0 PFIZER INC COM 717081103 355 6855 SH SOLE Spectrum Asset Management, Inc. 6855 0 0 PFIZER INC COM 717081103 15 288 SH DFND Spectrum Asset Management, Inc. 0 0 288 PIONEER NAT RES CO COM 723787107 229 917 SH SOLE Spectrum Asset Management, Inc. 917 0 0 PNC FINL SVCS GROUP INC COM 693475105 203 1100 SH SOLE Spectrum Asset Management, Inc. 1100 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 11987 850713 SH SOLE Spectrum Asset Management, Inc. 850713 0 0 PUBLIC STORAGE COM 74460D109 2673 6850 SH SOLE Spectrum Asset Management, Inc. 6850 0 0 QUALCOMM INC COM 747525103 2745 17965 SH SOLE Spectrum Asset Management, Inc. 17965 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 362 3649 SH SOLE Spectrum Asset Management, Inc. 3649 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 17 171 SH DFND Spectrum Asset Management, Inc. 0 0 171 ROCKWELL AUTOMATION INC COM 773903109 829 2960 SH SOLE Spectrum Asset Management, Inc. 2960 0 0 ROYAL BK CDA COM 780087102 221 2000 SH SOLE Spectrum Asset Management, Inc. 2000 0 0 SCHWAB CHARLES CORP COM 808513105 4916 58314 SH SOLE Spectrum Asset Management, Inc. 58314 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 21128 295946 SH SOLE Spectrum Asset Management, Inc. 295946 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 9222 123257 SH SOLE Spectrum Asset Management, Inc. 123257 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 7827 213150 SH SOLE Spectrum Asset Management, Inc. 213150 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 2020 37839 SH SOLE Spectrum Asset Management, Inc. 37839 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 7171 93819 SH SOLE Spectrum Asset Management, Inc. 93819 0 0 SEMPRA COM 816851109 3296 19606 SH SOLE Spectrum Asset Management, Inc. 19606 0 0 SHELL PLC SPON ADS 780259305 346 6300 SH SOLE Spectrum Asset Management, Inc. 6300 0 0 SKYLINE CHAMPION CORPORATION COM 830830105 215 3910 SH SOLE Spectrum Asset Management, Inc. 3910 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 763 22249 SH SOLE Spectrum Asset Management, Inc. 22249 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1313 2908 SH SOLE Spectrum Asset Management, Inc. 2908 0 0 STRYKER CORPORATION COM 863667101 915 3421 SH SOLE Spectrum Asset Management, Inc. 3421 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 796 7635 SH SOLE Spectrum Asset Management, Inc. 7635 0 0 TESLA INC COM 88160R101 2247 2085 SH SOLE Spectrum Asset Management, Inc. 2085 0 0 TEXAS INSTRS INC COM 882508104 312 1700 SH SOLE Spectrum Asset Management, Inc. 1700 0 0 UNITEDHEALTH GROUP INC COM 91324P102 525 1029 SH SOLE Spectrum Asset Management, Inc. 1029 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 251 3220 SH SOLE Spectrum Asset Management, Inc. 3220 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3665 12743 SH SOLE Spectrum Asset Management, Inc. 12743 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 814 3577 SH SOLE Spectrum Asset Management, Inc. 3577 0 0 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 576 11242 SH SOLE Spectrum Asset Management, Inc. 11242 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 4493 57542 SH SOLE Spectrum Asset Management, Inc. 57542 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 609 2940 SH SOLE Spectrum Asset Management, Inc. 2940 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1198 24946 SH SOLE Spectrum Asset Management, Inc. 24946 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2306 45268 SH SOLE Spectrum Asset Management, Inc. 45268 0 0 VISA INC COM CL A 92826C839 484 2182 SH SOLE Spectrum Asset Management, Inc. 2182 0 0 VOLITIONRX LTD COM 928661107 167 55596 SH SOLE Spectrum Asset Management, Inc. 55596 0 0 WALMART INC COM 931142103 2644 17755 SH SOLE Spectrum Asset Management, Inc. 17755 0 0 WELLS FARGO CO NEW COM 949746101 598 12334 SH SOLE Spectrum Asset Management, Inc. 12334 0 0