CIK: 0001632078
Total reported value
$314.8M
Reporting period: 2026-03-31 · Number of holdings: 121
Spectrum Asset Management, Inc. (NB/CA) disclosed 121 holdings in its latest 13F filing for the period ending 2026-03-31, with total reported value of $314.8M and a quarterly turnover rate of 43.5%.
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Spectrum Asset Management, Inc. (NB/CA)'s disclosed holdings carry a Herfindahl concentration index of 0.033 — mathematically equivalent to about 30 equally-sized positions, well below its 121 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.60), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 33% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Trim CLOX
-78.9% -$11.0M
Trim USMV
-59.9% -$7.0M
Add HECA
+95.2% $5.1M
Trim EWW
-78.8% -$2.3M
Trim SCHR
-38.1% -$2.2M
Trim EWZ
-77.6% -$2.2M
Showing top 107 holdings (of 121 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | WFC | Wells Fargo & Co | Stock-Financials | 10.49% | +10.49% | NEW | |
| 2 | VUSB | Vanguard Ultra Short Bond Et | ETF-Other | 7.38% | -0.14% | +3.13% | |
| 3 | SCHV | Schwab US Large-cap Value | ETF-Other | 4.60% | +0.56% | +16.19% | |
| 4 | RSP | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 4.56% | — | +2.17% | |
| 5 | IAU | Ishares Gold Trust | ETF-Commodities | 4.49% | -0.07% | -4.86% | |
| 6 | DSEP | Ft Vest U.s. Equity Deep Buf | ETF-Other | 3.57% | -0.32% | -1.66% | |
| 7 | DMAR | Ft Vest US Equity Deep Buffe | ETF-Other | 3.34% | +0.08% | +5.73% | |
| 8 | HECA | Hedgeye Capital Allocat ETF | ETF-Other | 3.18% | +1.54% | +95.18% | |
| 9 | XOM | Exxon Mobil CORP | Stock-Energy | 2.18% | +0.62% | +4.09% | |
| 10 | YMAR | Ft Vt Int Equ M B- Mar-us I | ETF-Other | 2.18% | +2.18% | NEW | |
| 11 | DFEB | Ft Vest U.s. Equity Deep Buf | ETF-Other | 2.17% | — | +3.28% | |
| 12 | CVX | Chevron CORP | Stock-Energy | 2.12% | +0.59% | +7.50% | |
| 13 | DMAY | Ft Vest US Equity Deep Buffe | ETF-Other | 1.92% | — | -0.61% | |
| 14 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 1.73% | -0.28% | -1.09% | |
| 15 | DDEC | Ft Vest U.s. Equity Deep Buf | ETF-Other | 1.68% | — | -0.66% | |
| 16 | SCHG | Schwab US Large-cap Growth | ETF-Other | 1.61% | -0.72% | -18.38% | |
| 17 | WMT | Walmart INC | Stock-Consumer Staples | 1.60% | — | -9.14% | |
| 18 | EME | Emcor Group INC | Stock-Industrials | 1.49% | +0.19% | -0.38% | |
| 19 | USMV | Ishares Msci USA Min Vol Fac | ETF-Other | 1.45% | -2.41% | -59.86% | |
| 20 | LHX | L3harris Technologies INC | Stock-Industrials | 1.40% | +0.15% | +0.07% | |
| 21 | CSCO | Cisco Systems INC | Stock-Tech | 1.36% | -0.23% | -10.97% | |
| 22 | SCHF | Schwab Intl Equity ETF | ETF-Other | 1.33% | -0.52% | -26.60% | |
| 23 | NVS | Novartis Ag-sponsored Adr | Stock-Healthcare | 1.27% | — | -0.05% | |
| 24 | HON | Honeywell International INC | Stock-Industrials | 1.27% | — | -14.62% | |
| 25 | ABBV | Abbvie INC | Stock-Healthcare | 1.25% | — | +0.25% | |
| 26 | DUK | Duke Energy CORP | Stock-Utilities | 1.23% | +0.08% | +0.01% | |
| 27 | MSFT | Microsoft CORP | Stock-Tech | 1.20% | -0.74% | -15.13% | |
| 28 | SCHW | Schwab (charles) CORP | Stock-Financials | 1.20% | — | +0.01% | |
| 29 | XLE | Ss Energy Select Sector | ETF-Other | 1.14% | +0.31% | +5.11% | |
| 30 | AAAU | Goldman Sachs Physical Gold | ETF-Commodities | 1.13% | +0.13% | +9.07% | |
| 31 | SCHR | Schwab Intermediate-term US | ETF-Other | 1.10% | -0.78% | -38.12% | |
| 32 | SCJ | Ishares Msci Japan Small-cap | ETF-Other | 1.05% | — | +1.11% | |
| 33 | FCX | Freeport-mcmoran INC | Stock-Materials | 1.01% | +1.01% | NEW | |
| 34 | MDT | Medtronic plc | Stock-Healthcare | 1.01% | — | +0.12% | |
| 35 | EMR | Emerson Electric Co | Stock-Industrials | 0.99% | — | -0.23% | |
| 36 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.98% | -0.22% | -10.20% | |
| 37 | CLOX | Eldridge Aaa Clo ETF | ETF-Other | 0.94% | -3.71% | -78.86% | |
| 38 | EW | Edwards Lifesciences CORP | Stock-Healthcare | 0.92% | — | +0.63% | |
| 39 | ILMN | Illumina INC | Stock-Healthcare | 0.88% | +0.88% | NEW | |
| 40 | LIN | Linde plc | Stock-Materials | 0.75% | — | +0.38% | |
| 41 | ORCL | Oracle CORP | Stock-Tech | 0.74% | -0.41% | -10.25% | |
| 42 | ESGU | Ishares Esg Aware Msci USA | ETF-Other | 0.73% | — | +7.83% | |
| 43 | SCHB | Schwab US Broad Market ETF | ETF-Other | 0.72% | — | +11.55% | |
| 44 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.70% | — | +22.01% | |
| 45 | BRK-A | Berkshire Hathaway Inc-cl A | Stock-Other | 0.68% | — | — | |
| 46 | DJAN | Ft Vest U.s. Equity Deep Buf | ETF-Other | 0.55% | +0.55% | NEW | |
| 47 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.49% | — | +6.69% | |
| 48 | COST | Costco Wholesale CORP | Stock-Consumer Staples | 0.45% | — | -5.36% | |
| 49 | MCK | Mckesson CORP | Stock-Healthcare | 0.44% | — | — | |
| 50 | DNOV | Ft Vest US Equity Deep Buffe | ETF-Other | 0.43% | — | — |
Performance for Q3 2026
+2%
Performance Last 4 Quarters
+17.5%
Based on 81% of reported portfolio value with available pricing
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2026-03-31 | 121 | $314.8M | 44 | |
| 2025-12-31 | 119 | $299.8M | 26 | |
| 2025-09-30 | 120 | $284.4M | 55 | |
| 2025-06-30 | 107 | $230.1M | 0 | |
| 2025-03-31 | 93 | $225.1M | 100 | |
| 2024-12-31 | 104 | $222.6M | 0 | |
| 2024-09-30 | 106 | $236.4M | 0 | |
| 2024-06-30 | 104 | $216.2M | 0 | |
| 2024-03-31 | 115 | $233.2M | 0 | |
| 2023-12-31 | 115 | $225.9M | 0 | |
| 2023-09-30 | 103 | $190.4M | 0 | |
| 2023-06-30 | 101 | $201.0M | 0 | |
| 2023-03-31 | 98 | $202.1M | 0 | |
| 2022-12-31 | 108 | $206.3M | 0 | |
| 2022-09-30 | 100 | $195.4M | 0 | |
| 2022-06-30 | 102 | $202.5M | 0 | |
| 2022-03-31 | 123 | $254.9M | 0 | |
| 2021-12-31 | 136 | $354.6M | 0 | |
| 2021-09-30 | 128 | $325.4M | 0 | |
| 2021-06-30 | 132 | $334.0M | 99 | |
| 2021-03-31 | 133 | $324.6M | 33 | |
| 2020-12-31 | 105 | $279.6M | 35 | |
| 2020-09-30 | 99 | $238.6M | 26 | |
| 2020-06-30 | 89 | $193.5M | 70 | |
| 2020-03-31 | 77 | $104.8M | 90 | |
| 2019-12-31 | 91 | $181.4M | 30 | |
| 2019-09-30 | 82 | $156.2M | 15 | |
| 2019-06-30 | 82 | $159.3M | 28 | |
| 2019-03-31 | 84 | $148.7M | 27 | |
| 2018-12-31 | 74 | $126.1M | 40 | |
| 2018-09-30 | 89 | $167.8M | 48 | |
| 2018-06-30 | 65 | $113.0M | 13 | |
| 2018-03-31 | 69 | $113.7M | 35 | |
| 2017-12-31 | 77 | $130.8M | 28 | |
| 2017-09-30 | 73 | $116.7M | 13 | |
| 2017-06-30 | 67 | $108.3M | 21 | |
| 2017-03-31 | 68 | $108.8M | 18 | |
| 2016-12-31 | 60 | $103.3M | 54 | |
| 2016-09-30 | 48 | $92.6M | 28 | |
| 2016-06-30 | 49 | $84.7M | 22 | |
| 2016-03-31 | 48 | $79.7M | 45 | |
| 2015-12-31 | 59 | $88.1M | 29 | |
| 2015-09-30 | 53 | $85.3M | 32 | |
| 2015-06-30 | 67 | $116.0M | 22 | |
| 2015-03-31 | 59 | $113.4M | 22 | |
| 2014-12-31 | 62 | $120.7M | 0 |
Spectrum Asset Management, Inc. (NB/CA)'s most significant position changes for 2026-03-31: New buy: Wells Fargo & Co (WFC); New buy: Ft Vt Int Equ M B- Mar-us I (YMAR); Sold out: Vanguard Ftse Europe ETF (VGK); Sold out: Vanguard Int High Dvd Yld In (VYMI); New buy: Freeport-mcmoran INC (FCX).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | HECA | Hedgeye Capital Allocat ETF | +1.5% | +95.18% | Add |
| 2 | XOM | Exxon Mobil CORP | +0.6% | +4.09% | Add |
| 3 | CVX | Chevron CORP | +0.6% | +7.50% | Add |
| 4 | SCHV | Schwab US Large-cap Value | +0.6% | +16.19% | Add |
| 5 | XLE | Ss Energy Select Sector | +0.3% | +5.11% | Add |
| 6 | SOLS | Solstice Adv Materials INC | +0.3% | +219.14% | Add |
| 7 | EME | Emcor Group INC | +0.2% | -0.38% | Trim |
| 8 | LHX | L3harris Technologies INC | +0.2% | +0.07% | Add |
| 9 | AMZN | Amazon.com INC | +0.1% | +145.78% | Add |
| 10 | AAAU | Goldman Sachs Physical Gold | +0.1% | +9.07% | Add |
| 11 | DMAR | Ft Vest US Equity Deep Buffe | +0.1% | +5.73% | Add |
| 12 | DUK | Duke Energy CORP | +0.1% | +0.01% | Add |
| 13 | IAU | Ishares Gold Trust | -0.1% | -4.86% | Trim |
| 14 | VUSB | Vanguard Ultra Short Bond Et | -0.1% | +3.13% | Add |
| 15 | BRK-B | Berkshire Hathaway Inc-cl B | -0.2% | -10.20% | Trim |
| 16 | CSCO | Cisco Systems INC | -0.2% | -10.97% | Trim |
| 17 | VUG | Vanguard Growth ETF | -0.2% | -34.36% | Trim |
| 18 | GOOG | Alphabet Inc-cl C | -0.3% | -1.09% | Trim |
| 19 | DSEP | Ft Vest U.s. Equity Deep Buf | -0.3% | -1.66% | Trim |
| 20 | ORCL | Oracle CORP | -0.4% | -10.25% | Trim |
| 21 | SCHF | Schwab Intl Equity ETF | -0.5% | -26.60% | Trim |
| 22 | SCHG | Schwab US Large-cap Growth | -0.7% | -18.38% | Trim |
| 23 | MSFT | Microsoft CORP | -0.7% | -15.13% | Trim |
| 24 | EWZ | Ishares Msci Brazil ETF | -0.8% | -77.56% | Trim |
| 25 | SCHR | Schwab Intermediate-term US | -0.8% | -38.12% | Trim |
| 26 | EWW | Ishares Msci Mexico ETF | -0.8% | -78.80% | Trim |
| 27 | USMV | Ishares Msci USA Min Vol Fac | -2.4% | -59.86% | Trim |
| 28 | CLOX | Eldridge Aaa Clo ETF | -3.7% | -78.86% | Trim |
| 29 | WFC | Wells Fargo & Co | — | NEW | New buy |
| 30 | YMAR | Ft Vt Int Equ M B- Mar-us I | — | NEW | New buy |
| 31 | VGK | Vanguard Ftse Europe ETF | — | EXIT | Sold out |
| 32 | VYMI | Vanguard Int High Dvd Yld In | — | EXIT | Sold out |
| 33 | FCX | Freeport-mcmoran INC | — | NEW | New buy |
| 34 | ILMN | Illumina INC | — | NEW | New buy |
| 35 | ABT | Abbott Laboratories | — | EXIT | Sold out |
| 36 | FLJP | Franklin Ftse Japan ETF | — | EXIT | Sold out |
| 37 | LNG | Cheniere Energy INC | — | EXIT | Sold out |
| 38 | DJAN | Ft Vest U.s. Equity Deep Buf | — | NEW | New buy |
| 39 | IJR | Ishares Core S&p Small-cap E | — | NEW | New buy |
| 40 | GEV | GE Vernova INC | — | NEW | New buy |
| 41 | CIBR | First Trust Nasdaq Cybersecu | — | EXIT | Sold out |
| 42 | SHY | Ishares 1-3 Year Treasury Bo | — | EXIT | Sold out |
| 43 | MRVL | Marvell Technology INC | — | NEW | New buy |
| 44 | JOF | Japan Smaller Capitalization | — | EXIT | Sold out |
| 45 | QCOM | Qualcomm INC | — | EXIT | Sold out |
| 46 | GD | General Dynamics CORP | — | NEW | New buy |
| 47 | EWJ | Ishares Msci Japan ETF | — | EXIT | Sold out |
| 48 | BWXT | Bwx Technologies INC | — | NEW | New buy |
| 49 | BIL | Ss Spdr Bb 1-3m T-bill ETF | — | NEW | New buy |
| 50 | RMD | Resmed INC | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2026-03-31 | 2026-04-22 | 13F-HR | View on EDGAR |
| 2025-12-31 | 2026-01-26 | 13F-HR | View on EDGAR |
| 2025-09-30 | 2025-10-23 | 13F-HR | View on EDGAR |
| 2025-06-30 | 2025-07-23 | 13F-HR | View on EDGAR |
| 2025-03-31 | 2025-04-16 | 13F-HR | View on EDGAR |
| 2024-12-31 | 2025-01-28 | 13F-HR | View on EDGAR |
| 2024-09-30 | 2024-10-22 | 13F-HR | View on EDGAR |
| 2024-06-30 | 2024-07-12 | 13F-HR | View on EDGAR |
| 2024-03-31 | 2024-04-23 | 13F-HR | View on EDGAR |
| 2023-12-31 | 2024-01-25 | 13F-HR | View on EDGAR |
| 2023-09-30 | 2023-10-18 | 13F-HR | View on EDGAR |
| 2023-06-30 | 2023-08-02 | 13F-HR | View on EDGAR |
| 2023-03-31 | 2023-04-17 | 13F-HR | View on EDGAR |
| 2022-12-31 | 2023-01-27 | 13F-HR | View on EDGAR |
| 2022-09-30 | 2022-10-25 | 13F-HR | View on EDGAR |
| 2022-06-30 | 2022-07-14 | 13F-HR | View on EDGAR |
| 2022-03-31 | 2022-04-28 | 13F-HR | View on EDGAR |
| 2021-12-31 | 2022-02-14 | 13F-HR | View on EDGAR |
| 2021-09-30 | 2021-11-12 | 13F-HR | View on EDGAR |
| 2021-06-30 | 2021-08-11 | 13F-HR | View on EDGAR |
| 2021-03-31 | 2021-09-10 | Amendment | View on EDGAR |
| 2021-03-31 | 2021-05-11 | 13F-HR | View on EDGAR |
| 2020-12-31 | 2021-01-20 | 13F-HR | View on EDGAR |
| 2020-09-30 | 2020-10-19 | 13F-HR | View on EDGAR |
| 2020-06-30 | 2020-07-22 | 13F-HR | View on EDGAR |
| 2020-03-31 | 2020-04-22 | 13F-HR | View on EDGAR |
| 2019-12-31 | 2020-02-07 | 13F-HR | View on EDGAR |
| 2019-09-30 | 2019-11-15 | Amendment | View on EDGAR |
| 2019-09-30 | 2019-10-24 | 13F-HR | View on EDGAR |
| 2019-06-30 | 2019-07-16 | 13F-HR | View on EDGAR |
| 2019-03-31 | 2019-04-16 | 13F-HR | View on EDGAR |
| 2018-12-31 | 2019-01-28 | 13F-HR | View on EDGAR |
| 2018-09-30 | 2018-10-29 | 13F-HR | View on EDGAR |
| 2018-06-30 | 2018-08-06 | 13F-HR | View on EDGAR |
| 2018-03-31 | 2018-05-04 | 13F-HR | View on EDGAR |
| 2017-12-31 | 2018-02-12 | 13F-HR | View on EDGAR |
| 2017-09-30 | 2017-11-03 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-07-28 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-04-28 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-02-03 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-10-25 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-08-12 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-29 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-02-02 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-10-19 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-07-22 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-04-29 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-02-09 | 13F-HR | View on EDGAR |
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