# SPECTRUM ASSET MANAGEMENT, INC.

SPECTRUM ASSET MANAGEMENT, INC. of STAMFORD, CT is an SEC-registered investment adviser.

## Registration

- CRD: 18217
- Type: SEC-registered investment adviser
- SEC file number: 801-30405
- Location: 2 HIGH RIDGE PARK, 2ND FLOOR, STAMFORD, CT, 06905
- Phone: 203-322-0189
- Latest filing: 2018-12-04
- Regulatory AUM: $23.6B
- Discretionary AUM: $19.6B
- Non-discretionary AUM: $3.9B
- Clients: 21
- Accounts: 82

## Officers, owners & control persons (17)

| Name | Role | Location |
| --- | --- | --- |
| BASSETT CRAIG L | TREASURER | — |
| EUCHER RALPH CRAIG | DIRECTOR | — |
| SUSSMAN BERNARD MARTIN | EXECUTIVE DIRECTOR; PRINCIPAL | — |
| LIEB MARK ALAN | EXECUTIVE DIRECTOR; PRESIDENT & CHIEF EXECUTIVE OFFICER; PRINCIPAL | — |
| CROSSLEY LISA DIANE | CHIEF COMPLIANCE OFFICER; DIRECTOR OF COMPLIANCE | — |
| JACOBY LEWIS PHILLIP | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER; MANAGING DIRECTOR/PORTFOLIO MANAGER; SENIOR VICE PRESIDENT, PORTFOLIO MANAGER | — |
| URCIUOLI JOSEPH JOHN | MANAGING DIRECTOR & DIRECTOR OF RESEARCH; SENIOR VICE PRESIDENT, DIRECTOR OF RESEARCH | — |
| MCCAUGHAN JAMES PATRICK | CHAIRMAN OF THE BOARD | — |
| HOWALD TIM | EXECUTIVE VICE PRESIDENT | — |
| HIBBS RICHARD W | DIRECTOR | — |
| ORLANDO JEAN MARIE | FINANCIAL & OPERATIONS PRINCIPAL; FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | — |
| HANCZOR JOSEPH ANDREW | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| BYER MATTHEW ROSS | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | — |
| FRANCIS DENNIS PAUL | CHAIRMAN OF THE BOARD | — |
| WOLTJEN ROLLIN CLARK | EXECUTIVE VICE PRESIDENT | — |
| REEG GLORIA DARLENE | DIRECTOR | — |
| NEWTON LISA CROSSLEY | CHIEF COMPLIANCE OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/18217/brochure
- Similar advisers: https://search.stillhousedata.com/firm/18217/similar
- Related entities: https://search.stillhousedata.com/firm/18217/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/18217

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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.