# SPECTRUM ASSET MANAGEMENT, INC.

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

## Registration

- CRD: 300463
- Type: SEC-registered investment adviser
- SEC file number: 801-30405
- Location: 2 HIGH RIDGE PARK, STAMFORD, CT, 06905
- Phone: 203-322-0189
- Latest filing: 2026-08-05
- Regulatory AUM: $18.3B
- Discretionary AUM: $13.9B
- Non-discretionary AUM: $4.4B
- Clients: 27
- Accounts: 74

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (12)

| Name | Role | Location |
| --- | --- | --- |
| Mark Alan Lieb | PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| Lewis Phillip Jacoby | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | — |
| Joseph John Urciuoli | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | — |
| Jean Marie Orlando | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | — |
| Joseph Andrew Hanczor | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| Matthew Ross Byer | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | — |
| LIEB MARK ALAN | PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| JACOBY LEWIS PHILLIP | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | — |
| URCIUOLI JOSEPH JOHN | EXECUTIVE DIRECTOR & HEAD OF RESEARCH; MANAGING DIRECTOR & HEAD OF RESEARCH | — |
| ORLANDO JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | — |
| HANCZOR JOSEPH ANDREW | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| BYER MATTHEW ROSS | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | — |


## Disclosures (5)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/300463/brochure
- Similar advisers: https://search.stillhousedata.com/firm/300463/similar
- Related entities: https://search.stillhousedata.com/firm/300463/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/300463

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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.