Spectrum Strategic Capital Management, LLC (Lake Oswego)

Name: Spectrum Strategic Capital Management, LLC
Address: 4949 Sw Meadows Road, Lake Oswego, OR, 97035 3147
Telephone: (503) 746-9666

Spectrum Strategic Capital Management, LLC is a large advisory firm based in Lake Oswego. It manages $154.5 million of regulatory assets for 551 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of California, Illinois, Oregon, Texas, and Washington.

Spectrum Strategic Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Spectrum Strategic Capital Management: assets under management

The assets under management (AUM) of Spectrum Strategic Capital Management, LLC is $154.5 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 78% since the beginning of its operation, and $482.83 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $154.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $280.4 thousand each.

Spectrum Strategic Capital Management has custody of $25.22 million in cash and securities for 41 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 73% of the total AUM. The second-largest asset type is exchange traded securities, which make up 12% of the firm’s portfolio. Investments in investment grade corporate bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Spectrum Strategic Capital Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Spectrum Strategic Capital Management serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Spectrum Strategic Capital Management is high net worth individuals with 55 clients and $98.29 million of assets under management. Among the 11 most similar advisory firms, Spectrum Strategic Capital Management has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $149.13 million for 226 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Spectrum Strategic Capital Management doesn't advise any private funds.

Careers at Spectrum Strategic Capital Management, LLC

The company employs 8 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Schwartz	Member	1 Sep 2001	Other	4340529
Nichols Milbank Cutting	Member	1 Sep 2001	Other	4405054
Loretta Michelle Sorem	Member	1 Sep 2001	Other	4326004
Benjamin Scott Meeker	Member	1 Sep 2001	Other	4325697
Greg Bachman	Member and director of financial services	1 Jul 2004	Other	2948151
Nichols Milbank Cutting	Chief compliance officer	1 Jan 2006	Other	4405054
Greg Bachman	Member, chief investment officer & director of financial planning	1 Jan 2016	Other	2948151

Based in Lake Oswego

The principal office where Spectrum Strategic Capital Management, LLC performs its advisory services is located at 4949 Sw Meadows Road, Lake Oswego, OR 97035 3147, which is also the mailing address of the firm. An additional office of the firm is in Corvallis, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (503) 746-9666 or by fax (503) 343-9539. The normal business hours are 8:30 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at sscapm.com.