SPECTRUM FINANCIAL INC
SEC RegisteredTransforming the Way You Invest
About the firm
Spectrum Financial has managed client assets since 1989 using Spectrum's active risk management methodology, refined through decades of market cycles and delivered by a complete investment services team. The firm manages investments for individuals, institutions, and financial representatives, offering actively managed mutual funds and comprehensive money management through its AssetMaxx methodology.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Active risk management with daily portfolio monitoring, integrated brokerage services, and performance-driven actively managed mutual funds delivered through the AssetMaxx comprehensive money management methodology.
Who they serve
Individuals, institutions, and financial representatives, including wealth preservationists, families planning generationally, philanthropically-minded investors, and advisors using Spectrum's mutual funds in client portfolios.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 213 | $34M |
| Charitable Organizations | 2 | $1.9M |
| State/Municipal Entities | 9 | — |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
2 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| All available Strategies (quarterly rate) | 1.92% |
| Leveraged High Yield (quarterly rate) | 2.52% |
Data as of March 19, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. SPECTRUM FINANCIAL INC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
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