AdvisorCensus / Financial advisors / New York / New York / Spectrum Group Management
Spectrum Group Management
Filed as SPECTRUM GROUP MANAGEMENT · Legal name Spectrum Group Management LLC
Spectrum Group Management is an exempt reporting adviser in Huntington, NY, filing reports since 2025. Exempt reporting advisers do not report regulatory assets under management on Form ADV.
Quick answers
From the filingWhere is Spectrum Group Management located?
Spectrum Group Management's principal office is in Huntington, NY, according to its Form ADV.
How does Spectrum Group Management report to regulators?
Spectrum Group Management is an exempt reporting adviser, filing reports since 2025. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 157363.
How have Spectrum Group Management's assets and staff changed since 2021?
In the Form ADV data for Spectrum Group Management: Regulatory assets under management: $338,789,357 in the October 2021 data and $175,954,337 in the October 2025 data, down 48%. Total employees: 9 in October 2021 and 6 in October 2025. Assets under management move with markets as well as with clients coming and going.
Does Spectrum Group Management report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/157363
What changed in Spectrum Group Management's recent Form ADV filings?
In the January 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.ENot reported.
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DNot reported.
A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.GNot reported.
Registration and firm details
Items 1, 2, 5- Legal name
- Spectrum Group Management LLC
- Reporting status
- Exempt reporting adviser. Status as filed: ERA - Active.
- Reporting since
- 2025 (0 years)
- Employees
- Total: Not reported. Performing investment advisory functions: Not reported.
- Wrap fee program participation
- Not reported.
- States registered or notice-filed
- Not reported.
Exempt reporting advisers file a shorter form and are examined by no regulator on a routine schedule. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | Not reported | March 23, 2026 |
| October 2025 | $175,954,337 | 6 | May 23, 2025 |
| October 2024 | $177,118,308 | 6 | March 27, 2024 |
| October 2023 | $353,160,549 | 6 | March 29, 2023 |
| October 2022 | $404,077,826 | 6 | September 8, 2022 |
| October 2021 | $338,789,357 | 9 | March 29, 2021 |
Regulatory assets under management: $338,789,357 in the October 2021 data and $175,954,337 in the October 2025 data, down 48%.
Total employees: 9 in October 2021 and 6 in October 2025.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- January 2026
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Spectrum Group Management (CRD 157363): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/spectrum-group-management-huntington-ny-157363