Spectrum Asset Management, Inc. (NB/CA)

Q3 2026 13F-HR Holdings

Location
Newport Beach, CA
Holdings as of
9/30/2026
Date filed
10/19/2026
Form type
13F-HR
Num holdings
112
Total value ($000)
$346,342
Net value change ($000)
-14,104 (-3.9%)
New positions
11
Sold out positions
14
Turnover %
9.5%
Sector allocation + QoQ delta (equities-only)
Prev filing: 7/31/2026 Next filing: — SEC filing

Snapshot: Change Analysis

Compared to Q2 2026
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
EXXONMOBIL HOLDINGS CORP 6,453 NEW
XLV 5,195 NEW
SCHWAB STRATEGIC TRUST 2,561 37.6%
ILMN 2,178 52.5%
MSFT 1,289 35.5%
MLPX 1,281 NEW
CVX 1,158 21.6%
CALI 1,057 NEW
SLB 1,005 NEW
SCHG 966 15.8%
Top Reduces (Value $000, Stocks/ETFs)
RSP -8,458 -31.6%
LQD -8,162 -86.1%
XOM -5,507 -100.0%
EMXC -4,201 -100.0%
WFC -2,527 -7.5%
SGOV -1,490 -34.1%
GOOGL -1,199 -18.0%
VUSB -939 -3.9%
LHX -733 -19.8%
EWW -725 -100.0%
Instrument mix + QoQ Δ (ex-options)
Derivatives reported exposure ($000): 270 (0.1% of total reported value)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type