SPECTRUM ASSET Overview

Spectrum Asset Management Inc. is an investment advisor that manages 17.6 BN dollars in regulatory AUM and has 18 employees, of which 8 perform investment advisory functions.

The manager's has disclosed holdings from 12/31/03 to 09/30/16. The fund's latest filing disclosed 247MM in positions, representing 1% of the manager's regulatory AUM.

SPECTRUM ASSET StockAlpha

-10.5%
Top 25%
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Fundamental & Technical Factor Exposure

Market Cap Beta Volatility
Momentum (12M) Momentum (6M) Momentum (3M)
Price/Book Price/Earnings Price/Cash Flow
Dividend Yield Sales Growth Earnings Growth
ROE ROA ROC
EBIDTA Margin Debt/Assets Hedge Fund Crowding

SPECTRUM ASSET Since Last Filing Return Details

Ticker Size Sector Stock Move StockAlpha Attribution Days to Liquidate Trade Crowdedness
WFCPRL 43.57% Financials 23.76% 1.91% 0 0%
HSBC+A 14.02% Financials 7.38% -1.46% 0 1%
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FEATURED IN
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SPECTRUM ASSET Founders and Key Employees

Name Title In Position Since
Mark Alan Lieb President & Chief Executive Officer January-2010
Lewis Phillip Jacoby Executive Director & Chief Investment Officer January-2010
Joseph John Urciuoli Managing Director & Director Of Research January-2010
Jean Marie Orlando Financial & Operations Principal February-2000
Joseph Andrew Hanczor Chief Compliance Officer August-2009
Matthew Ross Byer Executive Director & Chief Operating Officer January-2010

SPECTRUM ASSET Brokers, Custodians, Auditors and Administrators

Type Company

SPECTRUM ASSET Investment Strategy

Methods of Analysis, Investment Strategies and Risk of Loss



Introduction: Spectrum’s methods of analysis and investment strategies reflect a commitment to fundamental research. The integrated global process is team-oriented. Spectrum’s Credit
and Research Team draws upon the input of the substantial research resources of Principal

4
Global Investors. A significant amount of our time and resources is focused on gathering and analyzing the information necessary to our bottom-up process. Our methods emphasize traditional financial analysis within the context of broad industry and economic trends.






As of December 31, 2014, the preferred securities market was comprised of approximately
$485 billion in outstanding par value paper. Spectrum screens this market for quality and liquidity according to the following criteria:

Quality - Spectrum’s investment universe is comprised of preferred securities that ...
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SPECTRUM ASSET Portfolio Concentration

SPECTRUM ASSET Location

2 HIGH RIDGE PARK
2ND FLOOR
STAMFORD, Connecticut
UNITED STATES, 06905

SPECTRUM ASSET Contact Information

Phone Number: 203-322-0189
Fax Number: 203-968-1455
Website:

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