SPECTRUM INVESTMENT ADVISORS, INC.
Adviser information for SPECTRUM INVESTMENT ADVISORS, INC. last updated from Form ADV on March 22nd, 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 | Wisconsin, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 17 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 978 | $719.4M |
| Non-Discretionary | 8 | $5.4M |
| Total | 986 | $724.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 159 | $40.9M |
| HNW Individuals | 210 | $304.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 33 | $369.3M |
| Charitable organizations | 0 | $0 |
| 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 | 13 | $10.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 104 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)ADVICE ON MATTERS NOT INVOLVING SECURITIES. |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesBY PLAN PARTICIPANT FLAT FEES |
Principal Office
6329 WEST MEQUON ROADMEQUON
WI
United States
Monday - Friday, 8:00 A.M.-5:00 P.M.
Tel: 262-238-4010, Fax: 262-512-2704
Chief Compliance Officer
JONATHAN J. MARSHALL
EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND DIRECTOR
6329 WEST MEQUON ROAD
MEQUON
WI
United States
Tel:
262-238-4010
Fax:
262-512-2704
J*********@*******************M
(Full email address available in API data)
Regulatory Contact
MANUEL ROSADO
PRESIDENT
6329 WEST MEQUON ROAD
MEQUON
WI
United States
Tel:
262-238-4010
Fax:
262-512-2704
M******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DEMET, MATTHEW, PAUL | Individual | – | SR. VICE PRESIDENT BUSINESS DEVELOPMENT AND PARTNER | 06/2019 | 5-10% |
| MARSHALL, JAMES, FRANCIS | Individual | – | CHAIRMAN, FOUNDER AND PARTNER | 06/2019 | 10-25% |
| MARSHALL, JONATHAN, JAMES | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER AND DIRECTOR | 01/2011 | 50-75% |
| ROSADO, MANUEL, NMN | Individual | – | PRESIDENT AND PARTNER | 06/2019 | 5-10% |
| WHITE, BRIAN, EUGENE | Individual | – | WEALTH MANAGER AND PARTNER | 11/2007 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 31st, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 261K | 3K | – |
| ABBVIE INC | COM | 464K | 3K | – |
| APPLE INC | COM | 939K | 4K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 827K | 2K | – |
| COSTCO WHSL CORP NEW | COM | 201K | 236 | – |
| DIMENSIONAL ETF TRUST | US CORE EQT MKT | 22M | 587K | – |
| DIMENSIONAL ETF TRUST | INTL CORE EQT MK | 15M | 495K | – |
| FIDELITY COVINGTON TRUST | ENHANCED LARGE | 21M | 666K | – |
| FIDELITY COVINGTON TRUST | VLU FACTOR ETF | 736K | 13K | – |
| INNOVATOR ETFS TRUST | INTRNL DEV JULY | 389K | 14K | – |
| INVESCO EXCH TRADED FD TR II | EQUAL WEGT 0-30 | 11M | 390K | – |
| ISHARES TR | CORE MSCI TOTAL | 12M | 183K | – |
| ISHARES TR | MBS ETF | 12M | 126K | – |
| ISHARES TR | CORE US AGGBD ET | 5M | 47K | – |
| ISHARES TR | NATIONAL MUN ETF | 887K | 8K | – |
| MICROSOFT CORP | COM | 626K | 1K | – |
| NVIDIA CORPORATION | COM | 395K | 3K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 222K | 409 | – |
| VANGUARD ADMIRAL FDS INC | MIDCP 400 VAL | 693K | 8K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 4M | 18K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 18M | 36K | – |
| VANGUARD INDEX FDS | SM CP VAL ETF | 7M | 39K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 375K | 1K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 2M | 26K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 254K | 1K | – |