# Spectrum Asset Management, Inc. (NB/CA): Form 13F holdings

An institutional investment manager in NEWPORT BEACH, CA. SEC CIK 1632078.

- Quarter ended: 2026-06-30
- Filed: 2026-08-03
- Reported value: $360.4m
- Positions: 116 (130 lines in the filing's table; lines for the same security and option type are added together here)
- Compared with: the 13F for the quarter ended 2026-03-31
- Filing: https://www.sec.gov/Archives/edgar/data/1632078/000163207826000009/

## Holdings

As filed, largest first. Reported value is what the manager stated at the quarter end (Jun 30, 2026), in US dollars; it is filing data, not a price. Weight is the share of the total reported value.

| Issuer | Class | Reported value | Weight | Shares | Put or call | Change on the quarter before |
| --- | --- | ---: | ---: | ---: | --- | --- |
| [WELLS FARGO & CO (WFC)](/companies/wfc.md) | COM | $33.7m | 9.3% | 407,194 |  | Reduced −7,500 |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | $26.8m | 7.4% | 125,941 |  | Added +51,104 |
| VANGUARD BD INDEX FDS | VANGUARD ULTRA | $24.3m | 6.7% | 487,873 |  | Added +21,317 |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | $18.3m | 5.1% | 524,862 |  | Added +49,759 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | $12.9m | 3.6% | 273,257 |  | Added +138,571 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | $12.1m | 3.4% | 254,816 |  | Reduced −554 |
| [ISHARES GOLD TR (IAU)](/companies/iau.md) | ISHARES NEW | $12.1m | 3.3% | 159,602 |  | Reduced −724 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | $11.0m | 3.1% | 246,980 |  | Reduced −1,236 |
| ISHARES TR | IBOXX INV CP ETF | $9.5m | 2.6% | 86,909 |  | New +86,909 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST INTER EQ | $7.2m | 2.0% | 252,509 |  | Added +1,837 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US | $7.1m | 2.0% | 139,879 |  | Reduced −4,137 |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | $6.8m | 1.9% | 245,930 |  | Added +76,387 |
| [ALPHABET INC (GOOGL)](/companies/googl.md) | CAP STK CL C | $6.7m | 1.8% | 18,831 |  | Reduced −117 |
| [CISCO SYS INC (CSCO)](/companies/csco.md) | COM | $6.4m | 1.8% | 54,772 |  | Reduced −375 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | $6.1m | 1.7% | 181,120 |  | Added +6,697 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST U.S. | $5.6m | 1.6% | 118,323 |  | Reduced −880 |
| EXXON MOBIL CORP | COM | $5.5m | 1.5% | 40,281 |  | Reduced −171 |
| [CHEVRON CORPORATION (CVX)](/companies/cvx.md) | COM | $5.4m | 1.5% | 32,322 |  | Added +3 |
| ISHARES TR | MSCI USA MIN ETF | $5.1m | 1.4% | 52,587 |  | Added +3,308 |
| [EMCOR GROUP INC (EME)](/companies/eme.md) | COM | $4.6m | 1.3% | 5,525 |  | Reduced −824 |
| [WALMART INC (WMT)](/companies/wmt.md) | COM | $4.6m | 1.3% | 40,432 |  | Reduced −112 |
| [ABBVIE INC (ABBV)](/companies/abbv.md) | COM | $4.6m | 1.3% | 18,159 |  | Added +29 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | $4.5m | 1.3% | 92,169 |  | New +92,169 |
| ISHARES TR | 0-3 MTH TREASURY | $4.4m | 1.2% | 43,369 |  | New +43,369 |
| ISHARES INC | MSCI EMRG CHN | $4.2m | 1.2% | 41,062 |  | New +41,062 |
| [ILLUMINA INC (ILMN)](/companies/ilmn.md) | COM | $4.1m | 1.2% | 23,586 |  | Added +1,150 |
| [DUKE ENERGY CORP NEW (DUK)](/companies/duk.md) | COM NEW | $3.7m | 1.0% | 29,511 |  | Reduced −7 |
| ISHARES INC | MSCI JAPN SMCETF | $3.7m | 1.0% | 35,337 |  | Added +1,439 |
| [SCHWAB CHARLES CORP (SCHW)](/companies/schw.md) | COM | $3.7m | 1.0% | 40,174 |  | Added +136 |
| [L3HARRIS TECHNOLOGIES INC (LHX)](/companies/lhx.md) | COM | $3.7m | 1.0% | 12,730 |  | Reduced −3 |
| [MICROSOFT CORP (MSFT)](/companies/msft.md) | COM | $3.6m | 1.0% | 9,740 |  | Reduced −484 |
| [NOVARTIS AG (NVS)](/companies/nvs.md) | SPONSORED ADR | $3.6m | 1.0% | 22,804 |  | Reduced −3,471 |
| [FREEPORT MCMORAN INC (FCX)](/companies/fcx.md) | CL B | $3.5m | 1.0% | 55,922 |  | Added +1,610 |
| [EMERSON ELEC CO (EMR)](/companies/emr.md) | COM | $3.4m | 0.9% | 23,718 |  | Reduced −100 |
| [EDWARDS LIFESCIENCES CORP (EW)](/companies/ew.md) | COM | $3.3m | 0.9% | 36,010 |  | Added +15 |
| SCHWAB STRATEGIC TR | INT-TRM U.S TRES | $3.2m | 0.9% | 130,560 |  | Reduced −8,549 |
| [BERKSHIRE HATHAWAY INC DEL (BRK-B)](/companies/brk-b.md) | CL B NEW | $3.2m | 0.9% | 6,423 |  | Reduced −22 |
| SELECT SECTOR SPDR TR | ST STR ENERG ETF | $3.2m | 0.9% | 60,038 |  | Added +1,367 |
| SERIES PORTFOLIOS TR | ELDR AAA CLO ETF | $3.2m | 0.9% | 124,361 |  | Added +8,958 |
| ISHARES TR | ESG AWR MSCI USA | $2.8m | 0.8% | 17,089 |  | Added +758 |
| [SOLSTICE ADVANCED MATLS INC (SOLS)](/companies/sols.md) | COM SHS | $2.7m | 0.7% | 30,289 |  | Added +15,296 |
| LINDE PLC | SHS | $2.4m | 0.7% | 4,717 |  | Reduced −15 |
| [STATE STR SPDR S&P 500 ETF T (SPY)](/companies/spy.md) | TR UNIT | $2.4m | 0.7% | 3,224 |  | Reduced −169 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | $2.3m | 0.6% | 80,233 |  | Reduced −9,626 |
| [ORACLE CORP (ORCL)](/companies/orcl.md) | COM | $2.3m | 0.6% | 15,806 |  | Reduced −82 |
| [BERKSHIRE HATHAWAY INC DEL (BRK-B)](/companies/brk-b.md) | CL A | $2.2m | 0.6% | 3 |  | Unchanged |
| [HONEYWELL INTL INC (HON)](/companies/hon.md) | COM | $2.0m | 0.6% | 8,865 |  | New +8,865 |
| [HONEYWELL AEROSPACE INC (HONA)](/companies/hona.md) | COM | $2.0m | 0.5% | 8,850 |  | New +8,850 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US | $1.8m | 0.5% | 40,032 |  | Reduced −660 |
| [ALPHABET INC (GOOGL)](/companies/googl.md) | CAP STK CL A | $1.8m | 0.5% | 5,096 |  | Reduced −261 |
| [APPLE INC (AAPL)](/companies/aapl.md) | COM | $1.8m | 0.5% | 6,103 |  | Added +1,361 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | $1.5m | 0.4% | 28,381 |  | Unchanged |
| FIRST TR EXCHNG TRADED FD VI | FT VEST U.S. | $1.3m | 0.4% | 32,760 |  | Added +25,795 |
| [COSTCO WHOLESALE CORPORATION (COST)](/companies/cost.md) | COM | $1.3m | 0.4% | 1,413 |  | Added +1 |
| [VISA INC (V)](/companies/v.md) | COM CL A | $1.3m | 0.4% | 3,836 |  | Added +4 |
| [RTX CORPORATION (RTX)](/companies/rtx.md) | COM | $1.2m | 0.3% | 6,533 |  | Added +14 |
| [MCKESSON CORP (MCK)](/companies/mck.md) | COM | $1.2m | 0.3% | 1,600 |  | Unchanged |
| VANGUARD INDEX FDS | GROWTH ETF | $1.1m | 0.3% | 13,308 |  | Added +11,088 |
| [GE VERNOVA INC (GEV)](/companies/gev.md) | COM | $969.7k | 0.3% | 825 |  | Unchanged |
| [GE AEROSPACE (GE)](/companies/ge.md) | COM NEW | $963.1k | 0.3% | 2,577 |  | Unchanged |
| ISHARES TR | CORE S&P SCP ETF | $942.5k | 0.3% | 6,355 |  | Added +188 |
| [MARVELL TECHNOLOGY INC (MRVL)](/companies/mrvl.md) | COM | $907.4k | 0.3% | 3,046 |  | Reduced −2,357 |
| [NVIDIA CORPORATION (NVDA)](/companies/nvda.md) | COM | $883.9k | 0.2% | 4,417 |  | Added +2,359 |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | $798.8k | 0.2% | 11,211 |  | Reduced −376 |
| [TESLA INC (TSLA)](/companies/tsla.md) | COM | $732.0k | 0.2% | 1,740 |  | Added +762 |
| ISHARES INC | MSCI MEXICO ETF | $724.9k | 0.2% | 9,630 |  | Added +344 |
| ISHARES TR | 20 YR TR BD ETF | $723.3k | 0.2% | 8,370 |  | Unchanged |
| FIRST TR EXCHNG TRADED FD VI | FT VEST UQ EQT | $721.7k | 0.2% | 15,460 |  | Unchanged |
| [DEERE & CO (DE)](/companies/de.md) | COM | $720.6k | 0.2% | 1,133 |  | Added +3 |
| ASML HLDG NV | N Y REGISTRY SHS | $708.2k | 0.2% | 356 |  | Unchanged |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000IDX | $680.5k | 0.2% | 2,009 |  | Reduced −35 |
| [AMAZON COM INC (AMZN)](/companies/amzn.md) | COM | $657.1k | 0.2% | 2,757 |  | Reduced −1,232 |
| [STMICROELECTRONICS N V (STM)](/companies/stm.md) | NY REGISTRY | $633.0k | 0.2% | 8,453 |  | New +8,453 |
| [COGNEX CORP (CGNX)](/companies/cgnx.md) | COM | $585.7k | 0.2% | 8,087 |  | New +8,087 |
| [MCDONALDS CORP (MCD)](/companies/mcd.md) | COM | $583.9k | 0.2% | 2,160 |  | Added +8 |
| ISHARES TR | 1 3 YR TREAS BD | $574.8k | 0.2% | 7,000 |  | New +7,000 |
| GLOBAL X FDS | GLOBAL X URANIUM | $572.9k | 0.2% | 13,111 |  | New +13,111 |
| ISHARES TR | IBONDS 27 TRM TS | $572.8k | 0.2% | 25,605 |  | Reduced −2,385 |
| [ELI LILLY & CO (LLY)](/companies/lly.md) | COM | $538.5k | 0.1% | 449 |  | Unchanged |
| [GENERAL DYNAMICS CORP (GD)](/companies/gd.md) | COM | $499.5k | 0.1% | 1,410 |  | Unchanged |
| [BROADCOM INC (AVGO)](/companies/avgo.md) | COM | $493.3k | 0.1% | 1,306 |  | New +1,306 |
| [WEYERHAEUSER CO (WY)](/companies/wy.md) | COM NEW | $489.7k | 0.1% | 20,457 |  | New +20,457 |
| [FRANCO NEV CORP (FNV)](/companies/fnv.md) | COM | $488.6k | 0.1% | 2,344 |  | Unchanged |
| MEDTRONIC PLC | SHS | $472.9k | 0.1% | 5,990 |  | Reduced −30,237 |
| VANGUARD INDEX FDS | TOTAL STK MKT | $461.4k | 0.1% | 1,247 |  | Reduced −109 |
| [PFIZER INC (PFE)](/companies/pfe.md) | COM | $454.8k | 0.1% | 18,885 |  | Added +288 |
| [BWX TECHNOLOGIES INC (BWXT)](/companies/bwxt.md) | COM | $452.0k | 0.1% | 2,322 |  | Unchanged |
| [SEMPRA (SRE)](/companies/sre.md) | COM | $446.0k | 0.1% | 4,810 |  | Added +32 |
| [CATERPILLAR INC (CAT)](/companies/cat.md) | COM | $438.7k | 0.1% | 412 |  | Reduced −199 |
| GLOBAL X FDS | GLBL X MLP ETF | $430.5k | 0.1% | 8,110 |  | Added +148 |
| [FORGENT POWER SOLUTIONS INC (FPS)](/companies/fps.md) | COM SHS CL A | $386.8k | 0.1% | 6,925 |  | New +6,925 |
| SPDR SERIES TRUST | ST STR BLO 1 ETF | $382.6k | 0.1% | 4,175 |  | Reduced −850 |
| [ARISTA NETWORKS INC (ANET)](/companies/anet.md) | COM SHS | $344.7k | <0.1% | 2,029 |  | Unchanged |
| [INTERNATIONAL BUSINESS MACHS (IBM)](/companies/ibm.md) | COM | $337.5k | <0.1% | 1,200 |  | Unchanged |
| ISHARES TR | IBONDS 26 TRM TS | $325.3k | <0.1% | 14,211 |  | Reduced −2,164 |
| [VERTEX PHARMACEUTICALS INC (VRTX)](/companies/vrtx.md) | COM | $314.9k | <0.1% | 634 |  | Unchanged |
| ISHARES TR | IBONDS 28 TRM TS | $312.0k | <0.1% | 14,094 |  | Reduced −598 |
| [PEPSICO INC (PEP)](/companies/pep.md) | COM | $299.8k | <0.1% | 2,214 |  | Added +22 |
| [NEWMONT CORP (NEM)](/companies/nem.md) | COM | $295.2k | <0.1% | 3,161 |  | Added +8 |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | $293.1k | <0.1% | 5,845 |  | Unchanged |
| ISHARES TR | CORE S&P500 ETF | $292.8k | <0.1% | 391 |  | Reduced −190 |
| [SPDR GOLD TR (GLD)](/companies/gld.md) | GOLD SHS | $287.3k | <0.1% | 780 |  | Reduced −92 |
| [MORNINGSTAR INC (MORN)](/companies/morn.md) | COM | $285.4k | <0.1% | 1,829 |  | Added +5 |
| [BANK OF AMER CORP (BAC)](/companies/bac.md) | COM | $285.1k | <0.1% | 5,003 |  | Added +1 |
| [WELLS FARGO & CO (WFC)](/companies/wfc.md) | PUT | $284.9k | <0.1% | $100,000 principal | Put | New +100,000 |
| SPDR INDEX SHS FDS | ST STR PO EX ETF | $278.3k | <0.1% | 5,522 |  | Unchanged |
| [AGNICO EAGLE MINES LTD (AEM)](/companies/aem.md) | COM | $256.0k | <0.1% | 1,650 |  | Unchanged |
| [ALTRIA GROUP INC (MO)](/companies/mo.md) | COM | $248.6k | <0.1% | 3,405 |  | Unchanged |
| [UNITEDHEALTH GROUP INC (UNH)](/companies/unh.md) | COM | $223.6k | <0.1% | 538 |  | New +538 |
| ISHARES TR | RUS 1000 ETF | $221.5k | <0.1% | 541 |  | Reduced −206 |
| [HEARTBEAM INC (BEATW)](/companies/beatw.md) | COM | $75.3k | <0.1% | 100,400 |  | Added +6,000 |
| [LOANDEPOT INC (LDI)](/companies/ldi.md) | COM CL A | $15.0k | <0.1% | 12,000 |  | Added +2,000 |
| [TENON MEDICAL INC (TNON)](/companies/tnon.md) | \*W EXP 06/16/202 | $7.3k | <0.1% | 679,420 |  | Unchanged |
| TENON MEDICAL INC | COM | $3.5k | <0.1% | 10,650 |  | Unchanged |
| [NVIDIA CORPORATION (NVDA)](/companies/nvda.md) | PUT | $1.6k | <0.1% | $5,000 principal | Put | Reduced −10,000 |
| [APPLE INC (AAPL)](/companies/aapl.md) | PUT | $193 | <0.1% | $200 principal | Put | Unchanged |

## Sold out

Held at the end of the quarter before and not reported this quarter.

| Issuer | Class | Reported value | Weight | Shares | Put or call | Change on the quarter before |
| --- | --- | ---: | ---: | ---: | --- | --- |
| [EDISON INTL (EIX)](/companies/eix.md) | COM | $0 | 0.0% | 0 |  | Sold out −2,749 |
| ELBIT SYS LTD | ORD | $0 | 0.0% | 0 |  | Sold out −872 |
| ETF OPPORTUNITIES TRUST | HEDGEYE CAPITAL | $0 | 0.0% | 0 |  | Sold out −346,494 |
| [GOLDMAN SACHS PHYSICAL GOLD (AAAU)](/companies/aaau.md) | UNIT | $0 | 0.0% | 0 |  | Sold out −77,204 |
| HONEYWELL INTL INC | COM | $0 | 0.0% | 0 |  | Sold out −17,720 |
| ISHARES INC | MSCI BRAZIL ETF | $0 | 0.0% | 0 |  | Sold out −21,534 |
| ISHARES TR | EAFE VALUE ETF | $0 | 0.0% | 0 |  | Sold out −2,734 |
| [META PLATFORMS INC (META)](/companies/meta.md) | CL A | $0 | 0.0% | 0 |  | Sold out −356 |

Source: SEC EDGAR, Form 13F-HR, accession 0001632078-26-000009. Last ingested by Listed: Oct 22, 2026, 05:26 ET. No prices; not investment advice.