SPECTRUM FINANCIAL MANAGEMENT
FRIEDLANDER, BRENDA S Legal Name
Adviser information for SPECTRUM FINANCIAL MANAGEMENT last updated from Form ADV on March 27th, 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 | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 138 | $222.6M |
| Non-Discretionary | 5 | $5.3M |
| Total | 143 | $227.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 63 | $32.6M |
| HNW Individuals | 80 | $195.3M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-62255 |
|---|---|
| SEC ERA File Number | 801-62255 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127746 |
| Legal Entity Identifier | None |
Principal Office
899 NORTHGATE DRIVESUITE 305
SAN RAFAEL
CA
United States
Monday - Friday, 8:30 - 5:00
Tel: 415-472-7300, Fax: 415-472-7357
Websites
Chief Compliance Officer
BRENDA FRIEDLANDER
OWNER
899 NORTHGATE DRIVE, SUITE 305
SAN RAFAEL
CA
United States
Tel:
415-472-7300
Fax:
415-472-7357
B*****@************************M
(Full email address available in API data)
Regulatory Contact
LAUREN FRIEDLANDER
ADMIN ASSISTANT
899 NORTHGATE DRIVE, SUITE 305
SAN RAFAEL
CA
United States
Tel:
415-472-7300
Fax:
415-472-7357
A****@************************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 |
|---|---|---|---|---|---|
| FRIEDLANDER, BRENDA, SUE | Individual | – | CHIEF COMPLIANCE OFFICER/OWNER | 07/2003 | > 75% |