SPECTRUM FINANCIAL INC
Adviser information for SPECTRUM FINANCIAL INC last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 243 | $292.3M |
| Non-Discretionary | 0 | $0 |
| Total | 243 | $292.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 218 | $38.3M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $244.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.0M |
| Charitable organizations | 9 | $2.6M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $4.4M |
| Other | 7 | $399,122 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesASSET ALLOCATION SERVICES |
|---|---|
| Compensation | % of AUMSERVICE FEE/SUB ADVISORY FEE |
Identifiers
| SEC RIA File Number | 801-33311 |
|---|---|
| SEC ERA File Number | 801-33311 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105618 |
| Legal Entity Identifier | None |
Principal Office
272 BENDIX ROAD, STE 600VIRGINIA BEACH
VA
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: 757-463-7600, Fax: 757-463-1232
Websites
Chief Compliance Officer
COLLINS, MARY K
PRESIDENT
272 BENDIX ROAD, STE 600
VIRGINIA BEACH
VA
United States
Tel:
757-463-7600
M****@*****************M
(Full email address available in API data)
Industry Affiliates
| HUNDREDFOLD ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DOUDERA, RALPH, JOHN | Individual | – | CEO | 03/2003 | > 75% |
| COLLINS, MARY, K | Individual | – | PRESIDENT | 03/2004 | < 5% |
| COLLINS, MARY, K | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2004 | < 5% |