13F-HR filed by Spectrum Asset Management, Inc. (NB/CA)
Spectrum Asset Management, Inc. (NB/CA) filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-08-11, with 118 holding rows worth $334,007,000.
- Accession
- 0001632078-21-000006
- Filer
- CIK 1632078
- Filed
- 2021-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A holdings report, 132 entries on the cover page, a total value of $334,007,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $334,007,000 with VALUE read as thousands by filing date, 13F file number 028-16433. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 296,804 | $24,549,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 324,111 | $22,159,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 395,394 | $21,102,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 99,111 | $14,466,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 509,107 | $13,542,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 245,971 | $13,157,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 230,815 | $9,106,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 161,236 | $8,346,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 70,232 | $7,935,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Growth | 922908736 | COM | 24,664 | $7,074,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 63,529 | $6,815,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 46435G425 | COM | 62,407 | $6,145,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 62,229 | $5,598,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Chevron Corporation | 166764100 | COM | 53,416 | $5,595,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 19,868 | $5,382,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 96,288 | $5,187,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 169,780 | $5,087,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Charles Schwab Corp | 808513105 | COM | 62,028 | $4,516,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Honeywell Technologies | 438516106 | COM | 19,150 | $4,201,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXXON MOBIL CORP | 30231G102 | COM | 64,628 | $4,076,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Accenture Plc Class A | G1151C101 | COM | 13,730 | $4,047,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 52,070 | $4,041,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Gold Trust | 464285204 | COM | 116,032 | $3,911,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EMERSON ELEC CO COM | 291011104 | Stock | 38,078 | $3,665,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 33,577 | $3,501,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Medtronic Plc | G5960L103 | COM | 28,036 | $3,480,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 42,100 | $3,459,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 64,456 | $3,391,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walmart Inc. | 931142103 | COM | 23,871 | $3,366,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 28,633 | $3,302,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 17,305 | $3,257,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Berkshire Hathaway Inc | 084670702 | COM | 11,616 | $3,228,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 8,490 | $3,222,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Oracle Corporation | 68389X105 | COM | 41,100 | $3,199,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 59,959 | $3,178,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AbbVie,Inc. | 00287Y109 | COM | 27,860 | $3,138,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intel Corp | 458140100 | COM | 52,036 | $2,922,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SEMPRA COM | 816851109 | Stock | 21,621 | $2,864,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Duke Energy Corporation | 26441C204 | COM | 27,790 | $2,744,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 13,355 | $2,675,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Qualcomm Incorporated | 747525103 | COM | 18,375 | $2,626,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 52,050 | $2,611,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CORESITE RLTY CORP | 21870Q105 | COM | 19,335 | $2,602,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 46,375 | $2,598,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Lockheed Martin Corporation | 539830109 | COM | 6,800 | $2,573,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Apple Inc | 037833100 | COM | 18,776 | $2,572,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 138,804 | $2,530,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| McDonalds Corporation | 580135101 | COM | 10,881 | $2,513,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PUBLIC STORAGE COM | 74460D109 | REIT | 8,305 | $2,497,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 48,195 | $2,472,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CYRUSONE INC | 23283R100 | COM | 32,400 | $2,317,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Abbott Laboratories | 002824100 | COM | 19,127 | $2,217,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUCOR CORP COM | 670346105 | Stock | 17,915 | $1,719,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 33,095 | $1,705,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Visa Inc | 92826C839 | COM | 6,316 | $1,477,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 9,390 | $1,388,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FRANCO NEV CORP COM | 351858105 | Stock | 9,285 | $1,347,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intuit Inc. | 461202103 | COM | 2,740 | $1,343,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Tesla Motors, Inc | 88160R101 | COM | 1,835 | $1,247,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Danaher Corporation | 235851102 | COM | 4,590 | $1,232,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDW | 78463X889 | COM | 33,220 | $1,222,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Costco Wholesale Corporation | 22160K105 | COM | 2,988 | $1,182,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NVIDIA Corp | 67066G104 | COM | 1,380 | $1,104,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 7,303 | $1,094,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMETEK INC COM | 031100100 | Stock | 8,180 | $1,092,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COGNEX CORP | 192422103 | COM | 12,220 | $1,027,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 10,785 | $1,013,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Stryker Corporation | 863667101 | COM | 3,865 | $1,004,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPY | 78462F103 | SHS | 2,293 | $982,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IDEX CORP COM | 45167R104 | Stock | 4,345 | $956,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORDSON CORP | 655663102 | COM | 4,215 | $925,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 21,160 | $904,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 9,249 | $893,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BADGER METER INC COM | 056525108 | Stock | 9,070 | $890,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VTI | 922908769 | COM | 3,847 | $857,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 2,960 | $847,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Wells Fargo & Company | 949746101 | COM | 17,245 | $781,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NIKE,Inc. Class B | 654106103 | COM | 4,557 | $704,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walt Disney Co | 254687106 | COM | 3,912 | $688,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 243 | $609,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 10,820 | $597,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 2,466 | $597,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 241 | $588,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amazon.com, Inc | 023135106 | COM | 151 | $519,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Adobe Inc | 00724F101 | COM | 845 | $495,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PepsiCo,Inc. | 713448108 | COM | 3,341 | $495,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD MALVERN FDS | 922020805 | SHS | 8,964 | $470,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MORNINGSTAR INC COM | 617700109 | Stock | 1,800 | $463,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 9,500 | $434,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UnitedHealth Group Inc | 91324P102 | COM | 1,024 | $410,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287457 | COM | 4,475 | $386,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO QQQ TR | 46090E103 | COM | 1,085 | $385,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Deere & Company | 244199105 | COM | 1,070 | $377,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 7,310 | $374,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 3,565 | $369,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 5,650 | $354,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Advanced Micro Devices,Inc. | 007903107 | COM | 3,763 | $353,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Altria Group Inc | 02209S103 | COM | 7,369 | $351,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 16,022 | $338,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Raytheon Technologies Corporation | 75513E101 | COM | 3,863 | $330,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Texas Instruments Incorporated | 882508104 | COM | 1,700 | $327,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 8,394 | $324,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BP PLC SPONSORED ADR | 055622104 | ADR | 11,593 | $306,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 7,175 | $281,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 2,020 | $276,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 616 | $265,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EDISON INTL COM | 281020107 | Stock | 4,559 | $264,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| M & T BK CORP COM | 55261F104 | Stock | 1,745 | $254,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,862 | $250,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 6,300 | $245,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bank of America Corp | 060505104 | COM | 5,917 | $244,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,795 | $217,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 1,100 | $210,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 574 | $209,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BK CDA COM | 780087102 | Stock | 2,000 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VOLITIONRX LTD | 928661107 | COM | 55,596 | $183,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 13,780 | $178,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 11,150 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001632078-21-000006 | this filing | 2021-08-11 | acceptance time not in the bulk data set |