Spectrum Asset Management, Inc. (NB/CA)
Sector Allocation
- Other50.2%$173.8M
- Financials21.3%$73.7M
- Technology8.3%$28.7M
- Healthcare6.1%$21.1M
- Energy4.2%$14.5M
- Industrials4.2%$14.5M
- Consumer Staples2.1%$7.4M
- Materials2.1%$7.2M
- Utilities1.1%$3.7M
- Consumer Discretionary0.4%$1.5M
AUM History
13fpro.ai/research/fund/spectrum-asset-management-inc-nb-ca-1632078
Conviction and streaks
Diversifying · top 10 = 45.5%From the fund's last 12 quarters of 13F filings: positions held longest at size, and names it added to or trimmed several quarters running.
Largest positions — Q3 2026
WFC
$31.1M- VANGUARD$23.3M
IVZ
$18.3M- SCHWAB$17.8M
- FIRST$13.1M
- FIRST$13.0M
IAU
$12.7M- FIRST$11.2M
- SCHWAB$9.4M
- FIRST$7.3M
- FIRST$7.1M
- SCHWAB$7.1M
CVX
$6.5MXOM.R34088
$6.5MILMN
$6.3MCSCO
$5.8M- FIRST$5.6M
GOOG
$5.5M- SELECT$5.2M
- ISHARES$5.1M
Top 20 stock positions. Options are left out: 13F reports them at the underlying's value.
13fpro.ai/research/fund/spectrum-asset-management-inc-nb-ca-1632078
Spectrum Asset Management, Inc. (NB/CA) 13F holdings — Q3 2026
$346.3M portfolio (-4.3% QoQ) · 112 holdings · Q3 2026 13F · top 10 are 46% of the stock portfolio
Includes $270K of put/call options ($270K puts, $0 calls), which 13F rules report at the value of the underlying shares, not the premium at risk. Stocks alone: $346.1M. Weights use the stock portfolio.
$31.1M
9.0% of stocks
-5%This quarter+1.0%Since filed3 qtrsHeldAIQuality62.1#733Est. buyEstimated buy price is Pro: unlock with a free trialTrimmed 2 qtrs in a row- 2
VANGUARD BD INDEX FDS - VANGUARD ULTRA
$23.3M
6.8% of stocks
-3%This quarter—Since filed—HeldAIQuality—Est. buy— $18.3M
5.3% of stocks
-30%This quarter+0.8%Since filed4+ qtrsHeld- 4
SCHWAB STRATEGIC TR - US LCAP VA ETF
$17.8M
5.2% of stocks
+2%This quarter—Since filed—HeldAIQuality—Est. buy— - 5
FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT
$13.1M
3.8% of stocks
-0.2%This quarter—Since filed—HeldAIQuality—Est. buy— - 6
FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT
$13.0M
3.8% of stocks
+5%This quarter—Since filed—HeldAIQuality—Est. buy— $12.7M
3.7% of stocks
+2%This quarter-3.1%Since filed4+ qtrsHeld- 8
FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT
$11.2M
3.3% of stocks
-0.5%This quarter—Since filed—HeldAIQuality—Est. buy— - 9
SCHWAB STRATEGIC TR - INTL EQTY ETF
$9.4M
2.7% of stocks
+39%This quarter—Since filed—HeldAIQuality—Est. buy— - 10
FIRST TR EXCHNG TRADED FD VI - FT VEST INTER EQ
$7.3M
2.1% of stocks
-0.3%This quarter—Since filed—HeldAIQuality—Est. buy—
| # | Company | Value | Weight | This quarter | Since filed | Held | AI quality | Est. buy | |
|---|---|---|---|---|---|---|---|---|---|
| 1 | $31.1M | 9.0% | -5% | +1.0% | 3 qtrsTrimmed 2 qtrs in a row | 62.1#733 | Estimated buy price is Pro: unlock with a free trial | ||
| 2 | VANGUARD BD INDEX FDS - VANGUARD ULTRA | $23.3M | 6.8% | -3% | — | — | — | — | |
| 3 | $18.3M | 5.3% | -30% | +0.8% | 4+ qtrs | — | Estimated buy price is Pro: unlock with a free trial | ||
| 4 | SCHWAB STRATEGIC TR - US LCAP VA ETF | $17.8M | 5.2% | +2% | — | — | — | — | |
| 5 | FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT | $13.1M | 3.8% | -0.2% | — | — | — | — | |
| 6 | FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT | $13.0M | 3.8% | +5% | — | — | — | — | |
| 7 | $12.7M | 3.7% | +2% | -3.1% | 4+ qtrs | — | Estimated buy price is Pro: unlock with a free trial | ||
| 8 | FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT | $11.2M | 3.3% | -0.5% | — | — | — | — | |
| 9 | SCHWAB STRATEGIC TR - INTL EQTY ETF | $9.4M | 2.7% | +39% | — | — | — | — | |
| 10 | FIRST TR EXCHNG TRADED FD VI - FT VEST INTER EQ | $7.3M | 2.1% | -0.3% | — | — | — | — |
All holdings — Spectrum Asset Management, Inc. (NB/CA) (Q3 2026)
112 disclosed positions from the Form 13F-HR on SEC EDGAR, with quarter-over-quarter share changes. Largest by value first; the ten above are not repeated.
| # | Company | Held | Source | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 11 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST US | — | $7.1M | 2.0% | 138K | -2% | — | — | 13F |
| 12 | — | SCHWAB STRATEGIC TR - US LCAP GR ETFetf/fund | — | $7.1M | 2.0% | 197K | +9% | — | — | 13F |
| 13 | CHEVRON CORP | Energy | $6.5M | 1.9% | 32K | -1% | 4+ qtrs | 63.7 | 13F | |
| 14 | EXXON MOBIL CORP | Energy | $6.5M | 1.9% | 40K | -2% | 4+ qtrs | 57.8 | 13F | |
| 15 | ILLUMINA, INC. | Healthcare | $6.3M | 1.8% | 23K | -2% | 3 qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 16 | CISCO SYSTEMS, INC. | Technology | $5.8M | 1.7% | 54K | -2% | 4+ qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 17 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST U.S. | — | $5.6M | 1.6% | 116K | -2% | — | — | 13F |
| 18 | Alphabet Inc. | Technology | $5.5M | 1.6% | 16K | -15% | 4+ qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 19 | — | SELECT SECTOR SPDR TR - ST STR CARE ETFetf/fund | — | $5.2M | 1.5% | 31K | New | — | — | 13F |
| 20 | — | ISHARES TR - MSCI USA MIN ETFetf/fund | — | $5.1M | 1.5% | 53K | +0.4% | — | — | 13F |
| 21 | MICROSOFT CORP | Technology | $4.9M | 1.4% | 9,596 | -1% | 4+ qtrsTrimmed 3 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 22 | AbbVie Inc. | Healthcare | $4.6M | 1.3% | 18K | -2% | 4+ qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 23 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT | — | $4.5M | 1.3% | 90K | -2% | — | — | 13F |
| 24 | Walmart Inc. | Consumer Staples | $4.2M | 1.2% | 40K | -0.3% | 4+ qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 25 | EMCOR Group, Inc. | Industrials | $4.1M | 1.2% | 5,377 | -3% | 4+ qtrsTrimmed 2 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 26 | — | ISHARES INC - MSCI JAPN SMCETF | — | $4.0M | 1.1% | 36K | +2% | |||
| 27 | $SCHW | SCHWAB CHARLES CORP | Financials | $3.8M | 1.1% | 39K | -2% | |||
| 28 | $FCX | FREEPORT-MCMORAN INC | Materials | $3.8M | 1.1% | 55K | -2% | |||
| 29 | — | SELECT SECTOR SPDR TR - ST STR ENERG ETF | — | $3.7M | 1.1% | 61K | +0.9% | |||
| 30 | $EMR | EMERSON ELECTRIC CO | Industrials | $3.6M | 1.0% | 23K | -3% | |||
| 31 | $DUK | Duke Energy CORP | Utilities | $3.3M | 0.9% | 29K | -2% | |||
| 32 | — | SERIES PORTFOLIOS TR - ELDR AAA CLO ETF | — | $3.3M | 0.9% | 127K | +2% | |||
| 33 | $NVS | NOVARTIS AG | Healthcare | $3.2M | 0.9% | 22K | -2% | |||
| 34 | $BRK.B | BERKSHIRE HATHAWAY INC | Financials | $3.1M | 0.9% | 6,313 | -2% | |||
| 35 | $EW | Edwards Lifesciences Corp | Healthcare | $3.0M | 0.9% | 35K | -3% | |||
| 36 | $LHX | L3HARRIS TECHNOLOGIES, INC. /DE/ | Technology | $3.0M | 0.9% | 13K | -2% | |||
| 37 | — | ISHARES TR - ESG AWR MSCI USA | — | $2.9M | 0.8% | 18K | +3% | |||
| 38 | — | ISHARES TR - 0-3 MTH TREASURY | — | $2.9M | 0.8% | 29K | -34% | |||
| 39 | — | SCHWAB STRATEGIC TR - INT-TRM U.S TRES | — | $2.7M | 0.8% | 113K | -14% | |||
| 40 | $SPY | SPDR S&P 500 ETF TRUST | — | $2.5M | 0.7% | 3,221 | -0.1% | |||
| 41 | — | SCHWAB STRATEGIC TR - US BRD MKT ETF | — | $2.4M | 0.7% | 82K | +2% | |||
| 42 | $BRK.A | BERKSHIRE HATHAWAY INC | Financials | $2.2M | 0.7% | 3 | — | |||
| 43 | $LIN | LINDE PLC | Materials | $2.2M | 0.6% | 4,619 | -2% | |||
| 44 | $ORCL | ORACLE CORP | Technology | $2.1M | 0.6% | 15K | -2% | |||
| 45 | $SOLS | Solstice Advanced Materials Inc. | Healthcare | $2.0M | 0.6% | 36K | +17% | |||
| 46 | $AAPL | Apple Inc. | Technology | $2.0M | 0.6% | 5,929 | -3% | |||
| 47 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST US | — | $1.9M | 0.5% | 40K | -0.9% | |||
| 48 | $GOOGL | Alphabet Inc. | Technology | $1.8M | 0.5% | 5,104 | +0.2% | |||
| 49 | $HON | HONEYWELL INTERNATIONAL INC | Industrials | $1.6M | 0.5% | 7,389 | -17% | |||
| 50 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT | — | $1.5M | 0.4% | 28K | -0.4% | |||
| 51 | — | VANGUARD INDEX FDS - MRNGSTR GRWT ETF | — | $1.4M | 0.4% | 16K | +19% | |||
| 52 | $V | VISA INC. | Financials | $1.4M | 0.4% | 3,840 | +0.1% | |||
| 53 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST U.S. | — | $1.4M | 0.4% | 33K | — | |||
| 54 | $MCK | MCKESSON CORP | Consumer Staples | $1.4M | 0.4% | 1,600 | — | |||
| 55 | $HONA | Honeywell Aerospace Inc. | Industrials | $1.3M | 0.4% | 8,632 | -2% | |||
| 56 | — | ISHARES TR - IBOXX INV CP ETF | — | $1.3M | 0.4% | 13K | -85% | |||
| 57 | $COST | COSTCO WHOLESALE CORP /NEW | Consumer Staples | $1.3M | 0.4% | 1,410 | -0.2% | |||
| 58 | — | GLOBAL X FDS - GLB X MLP ENRG I | — | $1.3M | 0.4% | 18K | New | |||
| 59 | $RTX | RTX Corp | Industrials | $1.2M | 0.3% | 6,527 | -0.1% | |||
| 60 | — | BLACKROCK ETF TRUST II - ISHA SH TERM ETF | — | $1.1M | 0.3% | 21K | New | |||
| 61 | $NVDA | NVIDIA CORP | Technology | $1.0M | 0.3% | 4,413 | -0.1% | |||
| 62 | $SLB | SLB LIMITED/NV | Energy | $1.0M | 0.3% | 21K | New | |||
| 63 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST US EQT | — | $909K | 0.3% | 18K | +204% | |||
| 64 | — | VANGUARD TAX-MANAGED FDS - VAN FTSE DEV MKT | — | $883K | 0.3% | 13K | +12% | |||
| 65 | — | ISHARES TR - CORE S&P SCP ETF | — | $883K | 0.3% | 6,488 | +2% | |||
| 66 | $GEV | GE Vernova Inc. | Industrials | $822K | 0.2% | 865 | +5% | |||
| 67 | — | ISHARES TR - U.S. MED DVC ETF | — | $802K | 0.2% | 16K | New | |||
| 68 | $GE | GENERAL ELECTRIC CO | Industrials | $801K | 0.2% | 2,564 | -0.5% | |||
| 69 | $MRVL | Marvell Technology, Inc. | Technology | $798K | 0.2% | 3,019 | -0.9% | |||
| 70 | $DE | DEERE & CO | Industrials | $765K | 0.2% | 1,136 | +0.3% | |||
| 71 | — | FIRST TR EXCHNG TRADED FD VI - FT VEST UQ EQT | — | $743K | 0.2% | 15K | — | |||
| 72 | — | VANGUARD SCOTTSDALE FDS - VNG RUS1000IDX | — | $691K | 0.2% | 2,009 | — | |||
| 73 | $AMZN | AMAZON COM INC | Consumer Discretionary | $691K | 0.2% | 2,773 | +0.6% | |||
| 74 | — | ISHARES TR - 20 YR TR BD ETF | — | $651K | 0.2% | 8,370 | — | |||
| 75 | — | SPDR SERIES TRUST - ST STR BLO 1 ETF | — | $584K | 0.2% | 6,375 | +53% | |||
| 76 | — | ISHARES TR - IBONDS 27 TRM TS | — | $577K | 0.2% | 26K | +1.0% | |||
| 77 | — | ISHARES TR - 1 3 YR TREAS BD | — | $568K | 0.2% | 7,000 | — | |||
| 78 | $FNV | FRANCO NEVADA Corp | Materials | $553K | 0.2% | 2,324 | -0.9% | |||
| 79 | $PFE | PFIZER INC | Healthcare | $547K | 0.2% | 19K | +1% | |||
| 80 | $PR | Permian Resources Corp | Energy | $542K | 0.2% | 26K | New | |||
| 81 | $VLTO | Veralto Corp | Technology | $540K | 0.2% | 5,717 | New | |||
| 82 | $MDT | Medtronic plc | Healthcare | $522K | 0.1% | 6,001 | +0.2% | |||
| 83 | $LLY | ELI LILLY & Co | Healthcare | $515K | 0.1% | 445 | -0.9% | |||
| 84 | $MCD | MCDONALDS CORP | Consumer Discretionary | $501K | 0.1% | 2,170 | +0.5% | |||
| 85 | — | VANGUARD INDEX FDS - MRNGSTR TTL STK | — | $467K | 0.1% | 1,247 | — | |||
| 86 | $STM | STMicroelectronics N.V. | Technology | $447K | 0.1% | 8,383 | -0.8% | |||
| 87 | — | GLOBAL X FDS - GLBL X MLP ETF | — | $440K | 0.1% | 8,258 | +2% | |||
| 88 | $CLS | CELESTICA INC | Technology | $394K | 0.1% | 1,091 | New | |||
| 89 | $SRE | SEMPRA | Utilities | $381K | 0.1% | 4,844 | +0.7% | |||
| 90 | $NEM | NEWMONT Corp /DE/ | Materials | $365K | 0.1% | 3,168 | +0.2% | |||
| 91 | $MORN | Morningstar, Inc. | Financials | $349K | 0.1% | 1,834 | +0.3% | |||
| 92 | $TSLA | Tesla, Inc. | Consumer Discretionary | $336K | 0.1% | 947 | -46% | |||
| 93 | $CAT | CATERPILLAR INC | Industrials | $335K | 0.1% | 413 | +0.2% | |||
| 94 | $VRTX | VERTEX PHARMACEUTICALS INC / MA | Healthcare | $331K | 0.1% | 634 | — | |||
| 95 | — | ISHARES TR - IBONDS 28 TRM TS | — | $308K | 0.1% | 14K | -0.3% | |||
| 96 | — | ISHARES TR - IBOND DEC 2030 | — | $304K | 0.1% | 16K | New | |||
| 97 | $AEM | AGNICO EAGLE MINES LTD | Materials | $302K | 0.1% | 1,650 | — | |||
| 98 | $GLD | SPDR GOLD TRUST | Financials | $294K | 0.1% | 773 | -0.9% | |||
| 99 | — | ISHARES TR - CORE S&P500 ETF | — | $284K | 0.1% | 371 | -5% | |||
| 100 | $PEP | PEPSICO INC | Consumer Staples | $284K | 0.1% | 2,238 | +1% | |||
| 101 | — | SPDR INDEX SHS FDS - ST STR PO EX ETF | — | $277K | 0.1% | 5,522 | — | |||
| 102 | $BAC | BANK OF AMERICA CORP /DE/ | Financials | $272K | 0.1% | 5,004 | +0.0% | |||
| 103 | $WFC PUT | WELLS FARGO & COMPANY/MN | Financials | $269K | — | 80K | -20% | |||
| 104 | $IBM | INTERNATIONAL BUSINESS MACHINES CORP | Technology | $264K | 0.1% | 1,200 | — | |||
| 105 | $FPS | Forgent Power Solutions, Inc. | Technology | $259K | 0.1% | 6,925 | — | |||
| 106 | $MO | ALTRIA GROUP, INC. | Consumer Staples | $233K | 0.1% | 3,405 | — | |||
| 107 | — | ISHARES TR - RUS 1000 ETF | — | $225K | 0.1% | 541 | — | |||
| 108 | — | VANGUARD INDEX FDS - MRNGSTR VAL ETF | — | $223K | 0.1% | 1,034 | New | |||
| 109 | $BEAT | HeartBeam, Inc. | Healthcare | $37K | 0.0% | 100K | — | |||
| 110 | $LDI | loanDepot, Inc. | Financials | $7K | 0.0% | 12K | — | |||
| 111 | $TNON | Tenon Medical, Inc. | Healthcare | $4K | 0.0% | 679K | — | |||
| 112 | $NVDA PUT | NVIDIA CORP | Technology | $516 | — | 5,000 | — |
What changed in Q3 2026
Against the previous quarter's 13F: 10 new, 33 added to, 50 trimmed, 13 sold out. Share-count changes; largest moves by dollar size first.
New positions (10)
- SELECT SECTOR SPDR TR - ST STR CARE ETF$5.2M
first bought this quarter
- GLOBAL X FDS - GLB X MLP ENRG I$1.3M
first bought this quarter
- BLACKROCK ETF TRUST II - ISHA SH TERM ETF$1.1M
first bought this quarter
$SLBSLB LIMITED/NV$1.0M
first bought this quarter
- ISHARES TR - U.S. MED DVC ETF$802K
first bought this quarter
$PRPermian Resources Corp$542K
first bought this quarter
+4 more in the Excel export
Added to (33)
- SCHWAB STRATEGIC TR - INTL EQTY ETF+39%
now $9.4M
- SCHWAB STRATEGIC TR - US LCAP GR ETF+9%
now $7.1M
- SCHWAB STRATEGIC TR - US LCAP VA ETF+2%
now $17.8M
$SOLSSolstice Advanced Materials Inc.+17%
now $2.0M · held 4+ qtrs, 3 adds in a row
now $12.7M · held 4+ qtrs
- VANGUARD INDEX FDS - MRNGSTR GRWT ETF+19%
now $1.4M
+27 more in the Excel export
Trimmed (50)
now $18.3M · held 4+ qtrs
- ISHARES TR - IBOXX INV CP ETF-85%
now $1.3M
- ISHARES TR - 0-3 MTH TREASURY-34%
now $2.9M
now $31.1M · held 3 qtrs, 2 trims in a row
now $5.5M · held 4+ qtrs
- VANGUARD BD INDEX FDS - VANGUARD ULTRA-3%
now $23.3M
+44 more in the Excel export
Holdings by quarter
Every 13F Spectrum Asset Management, Inc. (NB/CA) has filed, 40 earlier quarters. Pick one to see what it held then.
Is it too late to follow Spectrum Asset Management, (NB/CA)?
Q3 2026 13F filed with the SEC on Oct 19, 2026. Prices are closing prices as of Oct 26, 2026.
Average quality of Spectrum Asset Management, (NB/CA)'s top 20 holdings: 66/100 (our AI quality score, weighted by position size; 17 of the 20 are scored)
Top 10 since filing
+0.4%
Value-weighted move of the 10 largest stock positions
Turnover
5%
Last quarter
Top 10 weight
46%
Share of the stock portfolio in its 10 largest positions
Held 4+ quarters
72%
Share of portfolio value in positions held a year or more
Highest-quality names it owns(among its 100 largest positions)
The 8 highest-scoring companies in this portfolio are a Pro feature.
How these are measured
- Moves since the quarter-end and since the filing date use our own daily closing prices, from the close on (or just before) each date to the latest close.
- Turnover is the lesser of shares bought or sold in a quarter, valued at the quarter-end prices in the 13F, divided by the average of the two quarters' stock portfolio values.
- Quarters held and add/trim streaks count back only through quarters whose filed holdings add up to the filing's own cover-page total (back to Q4 2025 for this fund). A change counts as an add or a trim when the split-adjusted share count moves by more than 1%.
- Estimate, not the fund's reported cost. For each quarter in the current holding period in which the fund's share count rose (split-adjusted), we take that quarter's average daily close and weight it by the shares added; sales do not change an average cost. Quarters where the stock's price history and the 13F's own implied price disagree by more than 2x are left out.
- Put and call option rows report the value of the underlying shares, not a position the fund paid for, so they are left out of all of the above.
Portfolio Overview
Spectrum Asset Management, Inc. (NB/CA) disclosed 112 positions worth $346.3M in its Form 13F-HR for Q3 2026 — $346.1M in common stock plus $269,750 of put/call option positions (reported at underlying notional value, not premium at risk), led by $WFC (WELLS FARGO & COMPANY/MN) at 9.0% of the equity portfolio. During the quarter the fund opened 10 new positions and exited 13. The portfolio is most concentrated in Other (50.2% of disclosed assets). All figures are sourced directly from Spectrum Asset Management, Inc. (NB/CA)’s Form 13F-HR filing with the SEC under CIK 1632078.
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AI-Powered Hedge Fund Analysis: Spectrum Asset Management, Inc. (NB/CA)
13F Pro is an AI hedge fund tracker and stock research platform. For Spectrum Asset Management, Inc. (NB/CA) (SEC CIK: 1632078), the platform ingests every quarterly Form 13F filing and applies AI-powered analysis on top — 10 specialized AI analysts (value, growth, momentum, macro, activist, and more) debate the fund's top positions and publish AI-generated analysis with cited SEC sources.
Every holding in Spectrum Asset Management, Inc. (NB/CA)'s portfolio is scored on an AI quality ranking built from its SEC filings (ROIC, FCF margin, revenue growth, institutional flow, earnings quality, shareholder dilution, and more). Track accumulation and distribution quarter over quarter, identify conviction positions, and see AI stock analysis for each position — alongside 8,700+ other institutional filers and 2,800+ AI-ranked companies.