Spectrum Financial Management

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Last updated: February 18th, 2020. Data source: SEC filings.


Spectrum Financial Management, federally registered in 2003, is a Registered Investment Advisor (RIA) in 1 state(s) with a licensed staff of 1 advisors. Spectrum Financial Management manages $140.3 million and provides investment advisory services for 126 clients (1:126 advisor/client ratio). This firm does not have a disciplinary history.

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Firm Information


Feature Value
Rank (United States) Top 20%
Advisors Directory View Directory
Avg Advisor Years Registered 17
Percentage of Advisors Trusted 100%
Minimum Investment $500,000
Average Client Balance $1,113,131
Total AUM $140.3 million
Advisor / Client Ratio 1:126
Headquarters San Rafael, CA
SEC Filings View SEC IAPD CRD #127746
State(s) Registered CA

SEC data last verified 02/18/2020. For the most up-to-date information, please view the applicable SEC and FINRA reports above. By visiting these sites, you are subject to their terms of use (IAPD, BrokerCheck). Any data inaccuracies, please contact our team. All requests for updated information should also be reported directly to the SEC and/or FINRA.



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