# SPECTRUM ASSET MANAGEMENT INC

SPECTRUM ASSET MANAGEMENT INC of NEWPORT BEACH, CA is an SEC-registered investment adviser.

## Registration

- CRD: 111007
- Type: SEC-registered investment adviser
- SEC file number: 801-30377
- Location: 1301 DOVE STREET, SUITE 720, NEWPORT BEACH, CA, 92660-2453
- Phone: 949-717-3400
- Latest filing: 2026-03-18
- Regulatory AUM: $657.3M
- Discretionary AUM: $657.3M
- Clients: 12
- Accounts: 932

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Charities, Corporations, Other

## Officers, owners & control persons (12)

| Name | Role | Location |
| --- | --- | --- |
| [Roland Duane Kelly](https://search.stillhousedata.com/person/671144) | TRUSTEE OF KELLY FAMILY TRUST DTD 08/28/1984 | — |
| [Ryan Lee Kelly](https://search.stillhousedata.com/person/671145) | CHIEF EXECUTIVE OFFICER OF SPECTRUM ASSET MANAGEMENT & TRUSTEE OF RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | — |
| [Marc Duane Kelly](https://search.stillhousedata.com/person/671146) | SHAREHOLDER | — |
| [Tony Kyuwhan Jung](https://search.stillhousedata.com/person/671147) | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | — |
| [KELLY DAVID LEE](https://search.stillhousedata.com/person/754738) | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER OF SPECTRUM ASSET MANAGEMENT & TRUSTEE OF RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | — |
| [KELLY ROLAND D](https://search.stillhousedata.com/person/791809) | CHAIRMAN | — |
| [KELLY MARC DUANE](https://search.stillhousedata.com/person/791810) | CHAIRMAN; CHAIRMAN OF SPECTRUM ASSET MANAGEMENT & TRUSTEE OF KELLY FAMILY TRUST DTD 08/28/1984; SHAREHOLDER (+1 more) | — |
| [REITZ E KELLY](https://search.stillhousedata.com/person/791811) | SHAREHOLDER | — |
| [DALTON DENNIS H](https://search.stillhousedata.com/person/791812) | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER; CHIEF COMPLIANCE & OPERATING OFFICER; CHIEF OPERATING OFFICER | — |
| [KELLY STACEY M](https://search.stillhousedata.com/person/792596) | SHAREHOLDER | — |
| [JUNG TONY K](https://search.stillhousedata.com/person/823071) | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | — |
| [JUNG TONY KYUWHAN](https://search.stillhousedata.com/person/833972) | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | — |


## Branch offices (4)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| — | — | 1 | 949-717-3400 |
| — | — | 1 | 949-717-3400 |
| — | — | 1 | 949-717-3400 |
| — | — | 1 | 949-717-3400 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/111007/brochure
- Similar advisers: https://search.stillhousedata.com/firm/111007/similar
- Related entities: https://search.stillhousedata.com/firm/111007/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/111007

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.