Spectrum Management Group

Overview

SPECTRUM MANAGEMENT GROUP, LLC is organized as a limited liability company under Indiana law and operates under the primary advisory business name SPECTRUM WEALTH MANAGEMENT. [F1][F2][F7] Its principal office is in Indianapolis, United States, and the filing lists zero additional offices conducting investment-advisory business. [F5][F6] The firm reported six employees, all performing investment-advisory functions. [F9]

History

The firm’s fiscal year ends in December. [F8] Its SEC investment-adviser file number is 801-71751, and its CRD number is 154532. [F3][F4]

Leadership

Robert Cletus Phillips is Managing Member, Chief Executive Officer, President and Shareholder. [F10] Leslie Diane Thompson is Managing Member, Chief Financial Officer, Chief Compliance Officer, Secretary and Shareholder. [F11]

Services

The firm reported financial planning as an advisory service. [F12] Its services include portfolio management for individuals and/or small businesses. [F13] It also provides portfolio management for businesses or institutional clients. [F14] Additional reported services include pension consulting and selecting other advisers, including private-fund managers. [F15][F16]

What the firm offers

• Investment management
• Financial planning

Client focus

Reported client categories included individuals, high-net-worth individuals, pension or profit-sharing plans, a charitable organization and a corporation or other business. [F20] The filing identified 96 individuals, 130 high-net-worth individuals, three pension or profit-sharing plans, one charitable organization and one corporation or other business. [F20]

Assets and minimums

As of December 19, 2022, regulatory assets under management totaled $977,118,622 across 1,142 accounts. [F17] Discretionary regulatory assets under management were $955,832,371 across 1,104 accounts, while non-discretionary regulatory assets under management were $21,286,251 across 38 accounts. [F18][F19] Reported client assets included $35,691,415 for individuals other than high-net-worth individuals and $878,531,181 for high-net-worth individuals. [F21][F22] Pension and profit-sharing plans represented $48,647,784, charitable organizations represented $13,421,833, and corporations or other businesses represented $826,409. [F23][F24][F25]

FAQs

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Sources

1. SEC Form ADV , accessed December 19, 2022.

Claim or correct this profile

This profile is a factual summary written in our own words from public sources. It is for information only. It is not an endorsement, rating, ranking or recommendation, and it is not investment advice. MultiFamilyOffices.com is not affiliated with the SEC or with this firm unless stated. Form ADV figures are self-reported by the firm.